SEC 13F Intelligence

Managers / Q3 2020 · view latest →

JOHN G ULLMAN & ASSOCIATES INC

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

Reported Value
$483M
Q3 2020
Positions
128
Filings on Record
30
2019–present window
Filed
Nov 6, 2020
original filing

Summary

John G Ullman & Associates Inc reported $483M in U.S.-listed holdings across 128 positions for Q3 2020.

Its largest position, EMR, represents 5.8% of the portfolio.

Compared with Q2 2020, the fund opened 23 new positions and exited 4.

Portfolio Metrics

Turnover
+2.1%
vs prior filed quarter
Top-10 Concentration
+36.8%
share of reported value
Largest Position
+5.8%
Emerson Elec
New / Exited
23 / 4
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: 73.8%Other: 20.5%ADR: 4.5%ETP: 0.7%NY Reg Shrs: 0.4%
  • Common Stock · 73.8% · $356M
  • Other · 20.5% · $99M
  • ADR · 4.5% · $22M
  • ETP · 0.7% · $3M
  • NY Reg Shrs · 0.4% · $2M

Quarter-over-Quarter Changes full breakdown →

vs Q2 2020 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
CA8ACACI INTERNATIONAL INCNEW+22.1K22.1K+$5M$5M
DOMINION ENERGY INCNEW+41.4K41.4K+$3M$3M
4DHDANA INCNEW+68.9K68.9K+$849,000$849,000
SOSOUTHERN CONEW+14.3K14.3K+$775,000$775,000
BPBP PLC F SPONSORED ADR 1 ADR RNEW+32.5K32.5K+$567,000$567,000
RBBRBB BANCORPNEW+49.7K49.7K+$564,000$564,000
MBCNMIDDLEFIELD BANC CORPNEW+26.5K26.5K+$512,000$512,000
BRK/BBERKSHIRE HATHAWAY CLASS BNEW+2.2K2.2K+$469,000$469,000

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

Holdings — Q3 2020

50 positions
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1EMREMERSON ELEC COhistory →COM5.81%$28M428.1K
2BMYBRISTOL-MYERS SQUIBBhistory →COM5.09%$25M407.6K
3GLWCORNING INChistory →COM4.38%$21M653.1K
4PFEPFIZER INChistory →COM4.17%$20M549.3K
5INTCINTEL CORPhistory →COM3.22%$16M300.1K
6GLAXOSMITHKLINE PLCCOM3.18%$15M408.0K
7JNJJOHNSON & JOHNSONhistory →COM2.83%$14M91.8K
8MDUM D U RESOURCES GRPhistory →COM2.73%$13M586.9K
9NVSNNOVARTIS AGhistory →ADR2.73%$13M151.5K
10OGEOGE ENERGY CORPhistory →COM2.69%$13M433.5K
11TA T & T INChistory →COM2.67%$13M451.9K
12MMM3M COhistory →COM2.57%$12M77.6K
13DENTSPLY SIRONA INCCOM2.45%$12M270.5K
14BCEBCE INChistory →COM2.40%$12M279.3K
15IBMIBM CORPhistory →COM2.31%$11M91.8K
16AMSWAUSDAMERICAN SOFTWARE INChistory →COM2.11%$10M727.3K
17CISCO SYSTEMS INCCOM2.07%$10M254.3K
18ARGAN INCCOM2.04%$10M235.3K
19MSFTMICROSOFT CORPhistory →COM1.80%$9M41.3K
20LNNLINDSAY CORPhistory →COM1.73%$8M86.4K
21TMOTHERMO FISHER SCIENTIFIC INChistory →COM1.71%$8M18.8K
22TE CONNECTIVITY LTD FCOM1.62%$8M80.3K
23ABTABBOTT LABORATORIEShistory →COM1.56%$8M69.5K
24TSMTAIWAN SEMICONDUCTR F SPONSOREhistory →ADR1.56%$8M93.2K
25ADMARCHER DANIELS MIDLAND COhistory →COM1.48%$7M153.5K
26MRKMERCK & CO INChistory →COM1.40%$7M81.4K
27HONGBPHONEYWELL INTL INChistory →COM1.34%$6M39.2K
28ELANELANCO ANIMAL HEALTH INChistory →COM1.25%$6M216.9K
29HORIZON THERAPEUTICS PLCCOM1.23%$6M76.5K
30AECOM TECHNOLOGY CORPCOM1.21%$6M139.3K
31FLOWSERVE CORPCOM1.17%$6M207.8K
32TMPTOMPKINS FINANCIAL CORP TMPhistory →COM1.15%$6M97.7K
33EXMOCEXXON MOBIL CORPhistory →COM1.14%$6M161.1K
34ALBALBEMARLE CORPhistory →COM1.12%$5M60.6K
35QUEST DIAGNOSTIC INCCOM1.09%$5M45.9K
36LITELUMENTUM HOLDINGS INCCOM0.99%$5M63.4K
37CA8ACACI INTERNATIONAL INCCOM0.98%$5M22.1K
38AVGOBROADCOM LTD AVGOCOM0.89%$4M11.8K
39AVANGRID INCCOM0.81%$4M78.0K
40VERIZON COMMUNICATNCOM0.78%$4M63.7K
41ASTEASTEC INDUSTRIES INCCOM0.74%$4M66.2K
42IDAIDACORP INCCOM0.74%$4M44.8K
43WTSWATTS WATER TECH INC CLASS ACOM0.69%$3M33.1K
44AZTABROOKS AUTOMATIONCOM0.68%$3M70.7K
45DOMINION ENERGY INCCOM0.68%$3M41.4K
46LDELANDEC CORPCOM0.67%$3M331.8K
47NXSTNEXSTAR BROADCASTING GROUP-A NCOM0.63%$3M33.9K
48PEGPUB SVC ENTERPISE GPCOM0.59%$3M51.8K
49CCKCROWN HOLDINGS INCCOM0.51%$2M32.1K
50AG8AGILENT TECHNOLOGIES INCCOM0.51%$2M24.4K

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 ↗.