-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Cgeus6OQYf0mwAasSBX8lyoCa9QWBQfgoe09jxpHMQdZL9uBtdb3YTGnipTlX5eS EuoRFLsOVSY51FNVslXxQQ== 0000919530-09-000008.txt : 20091029 0000919530-09-000008.hdr.sgml : 20091029 20091029103737 ACCESSION NUMBER: 0000919530-09-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091029 DATE AS OF CHANGE: 20091029 EFFECTIVENESS DATE: 20091029 FILER: COMPANY DATA: COMPANY CONFORMED NAME: JOHN G ULLMAN & ASSOCIATES INC CENTRAL INDEX KEY: 0000919530 IRS NUMBER: 101113141 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03893 FILM NUMBER: 091143533 BUSINESS ADDRESS: STREET 1: 51 EAST MARKET STREET STREET 2: P O BOX 1424 CITY: CORNING STATE: NY ZIP: 14830 BUSINESS PHONE: 6079363785 MAIL ADDRESS: STREET 1: 51 EAST MARKET STREET STREET 2: P O BOX 1424 CITY: CORNING STATE: NY ZIP: 14830 13F-HR 1 sept0913f.txt EDGAR SEPTEMBER 30, 2009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2009 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: John G.Ullman & Associates, Inc. Address: P.O. Box 1424 Corning, NY 14830 13F File Number: The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: John G. Ullman Title: President Phone: 607-936-3785 Signature, Place, and Date of Signing: John G. Ullman Corning, New York October 26, 2009 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 100 Form 13F Information Table Value Total: $200,200,500 FORM 13F INFORMATION TABLE TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (X $1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ---------------------------- ------------- --------- --------- ------- --- ---- ------- --------- ----- ------- ------- COVIDIEN PLC SHS G2554F105 1991 46027 SH SOLE 46027 FRESH DEL MONTE PRODUCE INC ORD G36738105 538 23800 SH SOLE 23800 INGERSOLL-RAND PLC SHS G47791101 548 17860 SH SOLE 17860 SINA CORP ORD G81477104 890 23450 SH SOLE 23450 TYCO INTERNATIONAL LTD SHS H89128104 2487 72128 SH SOLE 72128 AT&T INC COM 00206R102 3614 133785 SH SOLE 133785 AU OPTRONICS CORP SPONSORED ADR 002255107 196 20269 SH SOLE 20269 ABBOTT LABS COM 002824100 3974 80325 SH SOLE 80325 ABERDEEN ASIA PACIFIC INCOM COM 003009107 2051 331309 SH SOLE 331309 ABERDEEN AUSTRALIA EQTY FD I COM 003011103 2955 247050 SH SOLE 247050 ADAPTEC INC COM 00651F108 386 115500 SH SOLE 115500 AFFILATED COMPUTER SERVICES CL A 008190100 566 10450 SH SOLE 10450 AMERICAN CAP LTD COM 02503Y103 70 21570 SH SOLE 21570 AMERICAN DEFENSE SYS INC COM 025351107 32 60000 SH SOLE 60000 AMERICAN SOFTWARE INC CL A 029683109 274 41898 SH SOLE 41898 AMGEN INC COM 031162100 5897 97904 SH SOLE 97904 ANALOG DEVICES INC COM 032654105 2908 105450 SH SOLE 105450 APPLIED MATLS INC COM 038222105 2167 161965 SH SOLE 161965 ARCH COAL INC COM 039380100 832 37600 SH SOLE 37600 ARCHER DANIELS MIDLAND CO COM 039483102 3086 105613 SH SOLE 105613 BCE INC COM NEW 05534B760 4532 183708 SH SOLE 183708 BAXTER INTL INC COM 071813109 228 4000 SH SOLE 4000 BRISTOL MYERS SQUIBB CO COM 110122108 5724 254191 SH SOLE 254191 BROOKS AUTOMATION INC COM 114340102 131 16984 SH SOLE 16984 CISCO SYS INC COM 17275R102 6968 296024 SH SOLE 296024 CLAYMORE ETF TRUST 2 S&P GBL WATER 18383Q507 907 50800 SH SOLE 50800 COCA COLA CO COM 191216100 5566 103648 SH SOLE 103648 COMMUNITY BK SYS INC COM 203607106 455 24900 SH SOLE 24900 COMPANHIA PARANAENSE ENERG C SPON ADR PFD 20441B407 1547 87750 SH SOLE 87750 CORNING INC COM 219350105 9496 620231 SH SOLE 620231 COVANCE INC COM 222816100 325 5997 SH SOLE 5997 CUBIST PHARMACEUTICALS INC COM 229678107 1614 79900 SH SOLE 79900 CUTERA INC COM 232109108 652 75350 SH SOLE 75350 DENTSPLY INTL INC NEW COM 249030107 3113 90134 SH SOLE 90134 DRESSER-RAND GROUP INC COM 261608103 696 22400 SH SOLE 22400 DUKE ENERGY CORP NEW COM 26441C105 4378 278124 SH SOLE 278124 E M C CORP MASS COM 268648102 477 27990 SH SOLE 27990 EBAY INC COM 278642103 1250 52950 SH SOLE 52950 ELAN PLC ADR 284131208 119 16704 SH SOLE 16704 ELMIRA SVGS BK FSB N Y COM 289660102 1143 71438 SH SOLE 71438 EMERSON ELEC CO COM 291011104 8719 217550 SH SOLE 217550 ENCANA CORP COM 292505104 1988 34500 SH SOLE 34500 ENDO PHARMACEUTICALS HLDGS I COM 29264F205 1290 57000 SH SOLE 57000 ENERGY CONVERSION DEVICES IN COM 292659109 2091 180600 SH SOLE 180600 EXELON CORP COM 30161N101 3746 75500 SH SOLE 75500 EXXON MOBIL CORP COM 30231G102 9897 144256 SH SOLE 144256 FUEL SYS SOLUTIONS INC COM 35952W103 1242 34500 SH SOLE 34500 GENERAL ELECTRIC CO COM 369604103 469 28551 SH SOLE 28551 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 2013 50950 SH SOLE 50950 GOOGLE INC CL A 38259P508 270 545 SH SOLE 545 GRANITE CONSTR INC COM 387328107 7843 253479 SH SOLE 253479 HALLIBURTON CO COM 406216101 4028 148518 SH SOLE 148518 HARDINGE INC COM 412324303 269 43346 SH SOLE 43346 HOLOGIC INC COM 436440101 1783 109100 SH SOLE 109100 HONEYWELL INTL INC COM 438516106 2128 57280 SH SOLE 57280 ITT CORP NEW COM 450911102 3991 76528 SH SOLE 76528 IDACORP INC COM 451107106 6477 224975 SH SOLE 224975 INTEL CORP COM 458140100 1903 97227 SH SOLE 97227 ISHARES INC MSCI BRAZIL 464286400 2968 43885 SH SOLE 43885 ISHARES INC MSCI SINGAPORE 464286673 2401 223350 SH SOLE 223350 ISHARES INC MSCI JAPAN 464286848 211 21250 SH SOLE 21250 ISHARES TR INDEX FTSE XNHUA IDX 464287184 1082 26450 SH SOLE 26450 ITRON INC COM 465741106 1001 15600 SH SOLE 15600 JOHNSON & JOHNSON COM 478160104 17311 284297 SH SOLE 284297 KHD HUMBOLDT WEDAG INTL LTD COM 482462108 706 68000 SH SOLE 68000 LILLY ELI & CO COM 532457108 5171 156550 SH SOLE 156550 LINDSAY CORP COM 535555106 3147 79915 SH SOLE 79915 MDU RES GROUP INC COM 552690109 1708 81900 SH SOLE 81900 MARKET VECTORS ETF TR AFRICA ETF 57060U787 819 28268 SH SOLE 28268 MEDTRONIC INC COM 585055106 2957 80350 SH SOLE 80350 MERCK & CO INC COM 589331107 862 27250 SH SOLE 27250 MEXICO FD INC COM 592835102 2466 114527 SH SOLE 114527 MICROSOFT CORP COM 594918104 3013 117149 SH SOLE 117149 NALCO HOLDING COMPANY COM 62985Q101 1485 72450 SH SOLE 72450 NEOGEN CORP COM 640491106 2146 66470 SH SOLE 66470 NET SERVICOS DE COMUNICACAO SPONSD ADR NEW 64109T201 408 35400 SH SOLE 35400 NETEASE COM INC SPONSORED ADR 64110W102 427 9350 SH SOLE 9350 NOVARTIS A G SPONSORED ADR 66987V109 4762 94516 SH SOLE 94516 OTTER TAIL CORP COM 689648103 4534 189480 SH SOLE 189480 PALL CORP COM 696429307 5896 182649 SH SOLE 182649 PENN WEST ENERGY TR TR UNIT 707885109 461 29100 SH SOLE 29100 PFIZER INC COM 717081103 553 33437 SH SOLE 33437 PHARMACEUTICAL PROD DEV INC COM 717124101 822 37450 SH SOLE 37450 POWERSHARES ETF TRUST GOLDEN DRG USX 73935X401 1862 80800 SH SOLE 80800 POWERSHARES ETF TRUST WNDRHLL CLN EN 73935X500 2841 261585 SH SOLE 261585 POWERSHARES ETF TRUST WATER RESOURCE 73935X575 1476 88345 SH SOLE 88345 PROCTER & GAMBLE CO COM 742718109 4791 82712 SH SOLE 82712 QUEST DIAGNOSTICS INC COM 74834L100 610 11687 SH SOLE 11687 REGENERON PHARMACEUTICALS COM 75886F107 606 31387 SH SOLE 31387 ROPER INDS INC NEW COM 776696106 2149 42150 SH SOLE 42150 SPDR INDEX SHS FDS S & P CHINA ET 78463X400 900 13500 SH SOLE 13500 SPDR SERIES TRUST BRCLYS INTL ETF78464A516 2588 44285 SH SOLE 44285 ST JUDE MED INC COM 790849103 790 20241 SH SOLE 20241 SCHLUMBERGER LTD COM 806857108 2769 46466 SH SOLE 46466 SIGMA ALDRICH CORP COM 826552101 677 12550 SH SOLE 12550 SMITH A O COM 831865209 3480 91345 SH SOLE 91345 SONUS NETWORKS INC COM 835916107 32 15300 SH SOLE 15300 SPECTRA ENERGY CORP COM 847560109 1058 55886 SH SOLE 55886 STERIS CORP COM 859152100 1032 33900 SH SOLE 33900 STRYKER CORP COM 863667101 773 17011 SH SOLE 17011 SUN HYDRAULICS CORP COM 866942105 1848 87731 SH SOLE 87731 SUNCOR ENERGY INC NEW COM 867224107 1913 55352 SH SOLE 55352 SUNTECH PWR HLDGS CO LTD ADR 86800C104 328 21600 SH SOLE 21600 SWISS HELVETIA FD INC COM 870875101 3693 306175 SH SOLE 306175 SYNGENTA AG SPONSORED ADR 87160A100 2720 59200 SH SOLE 59200 TALISMAN ENERGY INC COM 87425E103 691 39848 SH SOLE 39848 TELE NORTE LESTE PART S A SPON ADR PFD 879246106 572 30450 SH SOLE 30450 TELEFONICA S A SPONSORED ADR 879382208 1086 13097 SH SOLE 13097 TELEFONOS DE MEXICO S A B SPONS ADR ORD L879403780 917 52564 SH SOLE 52564 TELMEX INTERNACIONAL SAB DE SPON ADR SR L 879690105 491 35200 SH SOLE 35200 TEXAS INSTRS INC COM 882508104 4437 187299 SH SOLE 187299 3M CO COM 88579Y101 3106 42083 SH SOLE 42083 TORTOISE ENERGY INFRASTRCTR C COM 89147L100 378 14117 SH SOLE 14117 UNITED TECHNOLGIES CORP COM 913017109 230 3770 SH SOLE 3770 VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 331 8600 SH SOLE 8600 WATTS WATER TECHNOLOGIES INC CL A 942749102 2131 70437 SH SOLE 70437 WISDOMTREE TRUST CHINESE YUAN ET97717W182 1827 71995 SH SOLE 71995 WYETH COM 983024100 1171 24100 SH SOLE 24100 ZIMMER HLDGS INC COM 98956P102 2881 53900 SH SOLE 53900
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