SEC 13F Intelligence

Managers / Q3 2019 · view latest →

JOHN G ULLMAN & ASSOCIATES INC

CIK 0000919530 · 51 EAST MARKET STREET, P O BOX 1424, CORNING, NY, 14830 · 6079363785

Reported Value
$551M
Q3 2019
Positions
144
Filings on Record
30
2019–present window
Filed
Oct 21, 2019
original filing

Summary

John G Ullman & Associates Inc reported $551M in U.S.-listed holdings across 144 positions for Q3 2019.

Its largest position, EMR, represents 7.6% of the portfolio.

Compared with Q2 2019, the fund opened 14 new positions and exited 18.

Portfolio Metrics

Turnover
+9.1%
vs prior filed quarter
Top-10 Concentration
+36.1%
share of reported value
Largest Position
+7.6%
Emerson Elec
New / Exited
14 / 18
positions this quarter

Methodology: turnover is min(value bought, value sold) ÷ average reported value across the two quarters — value-based, so market moves inflate it slightly versus a share-based measure. Concentration and largest position are shares of the filing’s total reported value, options excluded. New/exited counts compare against the prior filed quarter. All figures derive solely from the fund’s 13F filings.

Reported Value by Quarter

13F Reported Value
Q4 ’18: $496MQ4 ’18Q1 ’19: $552MQ2 ’19: $569MQ3 ’19: $551MQ4 ’19: $581MQ4 ’19Q1 ’20: $377MQ2 ’20: $410MQ3 ’20: $483MQ4 ’20: $645MQ4 ’20Q1 ’21: $745MQ2 ’21: $768MQ3 ’21: $735MQ4 ’21: $727MQ4 ’21Q1 ’22: $722MQ2 ’22: $623MQ3 ’22: $572MQ1 ’23: $642,976Q1 ’23Q3 ’23: $611MQ4 ’23: $630MQ1 ’24: $652MQ2 ’24: $655MQ2 ’24Q3 ’24: $696MQ4 ’24: $680MQ1 ’25: $648MQ2 ’25: $674MQ2 ’25Q3 ’25: $743MQ4 ’25: $750MQ1 ’26: $754Mfilingsflow.com

Portfolio Composition

By security type
Common Stock: 71.6%Other: 20.5%ETP: 5.1%ADR: 2.7%Closed-End Fund: 0.0%
  • Common Stock · 71.6% · $394M
  • Other · 20.5% · $113M
  • ETP · 5.1% · $28M
  • ADR · 2.7% · $15M
  • Closed-End Fund · 0.0% · $132,000

Quarter-over-Quarter Changes full breakdown →

vs Q2 2019 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
XRXXEROX CORPNEW+116.8K116.8K+$3M$3M
4DHDANA INCNEW+179.8K179.8K+$3M$3M
ELANELANCO ANIMAL HEALTH INCNEW+90.8K90.8K+$2M$2M
ANETEURARISTA NETWORKS INC ANETNEW+9.8K9.8K+$2M$2M
HORIZON THERAPEUTICS PLCNEW+79.6K79.6K+$2M$2M
SKANSKA AB ORDFNEW+22.6K22.6K+$458,000$458,000
HLIOHELIOS TECHNOLOGIES INCNEW+9.1K9.1K+$369,000$369,000
ISHARES:NASDAQ BIOTECHNEW+2.9K2.9K+$289,000$289,000

Value changes conflate price moves with buying and selling — share changes are the real signal. Share counts are not split-adjusted.

Holdings — Q3 2019

50 positions
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1EMREMERSON ELEC COhistory →COM7.55%$42M621.8K
2EXMOCEXXON MOBIL CORPhistory →COM4.53%$25M353.4K
3GLWCORNING INChistory →COM4.40%$24M848.9K
4BMYBRISTOL-MYERS SQUIBBhistory →COM3.82%$21M415.2K
5PFEPFIZER INChistory →COM3.00%$17M460.4K
6INTCINTEL CORPhistory →COM2.84%$16M303.6K
7GVAGRANITE CONSTRUCTIONhistory →COM2.56%$14M438.3K
8NVSNNOVARTIS AGhistory →ADR2.50%$14M158.1K
9GLAXOSMITHKLINE PLCCOM2.47%$14M319.1K
10MMM3M COhistory →COM2.46%$14M82.4K
11OGEOGE ENERGY CORPhistory →COM2.34%$13M284.0K
12JNJJOHNSON & JOHNSONhistory →COM2.20%$12M93.5K
13ISHR EDG MSCI MIN VOL EMG MKTETF2.15%$12M207.2K
14AMSWAUSDAMERICAN SOFTWARE INChistory →COM2.10%$12M770.9K
15DENTSPLY SIRONA INCCOM2.10%$12M216.9K
16BCEBCE INChistory →COM2.02%$11M230.3K
17FLOWSERVE CORPCOM2.01%$11M236.5K
18MDUM D U RESOURCES GRPhistory →COM1.99%$11M389.3K
19LNNLINDSAY CORPhistory →COM1.99%$11M118.1K
20MSFTMICROSOFT CORPhistory →COM1.76%$10M69.9K
21BNSBANK OF NOVA SCOTIAhistory →COM1.66%$9M160.5K
22HONGBPHONEYWELL INTL INChistory →COM1.48%$8M48.2K
23ABTABBOTT LABORATORIEShistory →COM1.36%$7M89.2K
24TE CONNECTIVITY LTD FCOM1.33%$7M78.6K
25TMOTHERMO FISHER SCIENTIFIC INChistory →COM1.32%$7M24.9K
26MRKMERCK & CO INChistory →COM1.29%$7M84.1K
27IBMIBM CORPhistory →COM1.27%$7M48.0K
28ADMARCHER DANIELS MIDLAND COhistory →COM1.12%$6M149.8K
29WTSWATTS WATER TECH INC CLASS Ahistory →COM1.11%$6M65.4K
30SLBSCHLUMBERGER LTD Fhistory →COM1.08%$6M174.2K
31INGERSOLL RAND PLC FCOM1.06%$6M47.5K
32INVSC S P GLOBAL WATER INDEX EETF1.06%$6M152.5K
33AECOM TECHNOLOGY CORPCOM1.03%$6M151.2K
34SPDR S&P EM MKTS SM CPETF1.02%$6M129.2K
35IDAIDACORP INCCOM0.93%$5M45.5K
36QUEST DIAGNOSTIC INCCOM0.92%$5M47.4K
37AZTABROOKS AUTOMATIONCOM0.90%$5M134.2K
38LUMENTUM HOLDINGS INCCOM0.88%$5M90.6K
39LDELANDEC CORPCOM0.80%$4M405.8K
40ISHARES MSCI AUSTRALIA ETFETF0.76%$4M189.0K
41DUKE ENERGY CORPCOM0.74%$4M42.8K
42HALHALLIBURTON CO HLDGCOM0.72%$4M210.4K
43OCOWENS CORNING FIBERGLASCOM0.69%$4M59.8K
44ISHARES MSCI CANADA ETFETF0.68%$4M128.8K
45ISHARES:MSCI PERUETF0.67%$4M105.8K
46XRXXEROX CORPCOM0.63%$3M116.8K
47ARGAN INCCOM0.63%$3M88.7K
48THE MOSAIC COCOM0.61%$3M164.6K
49PEGPUB SVC ENTERPISE GPCOM0.60%$3M53.2K
50NEXTERA ENERGY INCCOM0.60%$3M14.1K

Filing History

QuarterReported ValuePositionsFiledTypeLinks
Q1 2026$754M174May 6, 202613F-HRchanges · EDGAR ↗
Q4 2025$750M179Feb 5, 202613F-HRchanges · EDGAR ↗
Q3 2025$743M173Nov 5, 202513F-HRchanges · EDGAR ↗
Q2 2025$674M174Jul 29, 202513F-HRchanges · EDGAR ↗
Q1 2025$648M170May 6, 202513F-HRchanges · EDGAR ↗
Q4 2024$680M172Feb 5, 202513F-HRchanges · EDGAR ↗
Q3 2024$696M179Nov 8, 202413F-HRchanges · EDGAR ↗
Q2 2024$655M179Aug 8, 202413F-HRchanges · EDGAR ↗
Q1 2024$652M174May 6, 202413F-HRchanges · EDGAR ↗
Q4 2023$630M169Jan 31, 202413F-HRchanges · EDGAR ↗
Q3 2023$611M173Nov 1, 202313F-HRchanges · EDGAR ↗
Q2 2023under review177Aug 21, 202313F-HRchanges · EDGAR ↗
Q1 2023$642,976177May 5, 202313F-HRchanges · EDGAR ↗
Q4 2022under review169Feb 8, 202313F-HRchanges · EDGAR ↗
Q3 2022$572M157Oct 19, 202213F-HRchanges · EDGAR ↗
Q2 2022$623M157Jul 27, 202213F-HRchanges · EDGAR ↗
Q1 2022$722M168Apr 29, 202213F-HRchanges · EDGAR ↗
Q4 2021$727M162Jan 26, 202213F-HRchanges · EDGAR ↗
Q3 2021$735M160Nov 2, 202113F-HRchanges · EDGAR ↗
Q2 2021$768M156Jul 23, 202113F-HRchanges · EDGAR ↗
Q1 2021$745M154Apr 22, 202113F-HRchanges · EDGAR ↗
Q4 2020$645M152Feb 5, 202113F-HRchanges · EDGAR ↗
Q3 2020$483M128Nov 6, 202013F-HRchanges · EDGAR ↗
Q2 2020$410M109Jul 29, 202013F-HRchanges · EDGAR ↗
Q1 2020$377M101Apr 14, 202013F-HRchanges · EDGAR ↗
Q4 2019$581M142Jan 29, 202013F-HRchanges · EDGAR ↗
Q3 2019$551M144Oct 21, 201913F-HRchanges · EDGAR ↗
Q2 2019$569M148Aug 2, 201913F-HRchanges · EDGAR ↗
Q1 2019$552M128Apr 30, 201913F-HRchanges · EDGAR ↗
Q4 2018$496M129Jan 29, 201913F-HRchanges · EDGAR ↗

13F filings are due up to 45 days after quarter end, so holdings shown here lag the fund’s current book. Source: original SEC filing on EDGAR ↗.