-----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, E3CSV51jC5WYeuzS1bWFHXGNtm+Dee2FllpJJz2EKd0jmJc3bLdqCdss2OJvkexh JL+KuGcpVAYDnEpYvym3bA== 0000919530-10-000002.txt : 20100202 0000919530-10-000002.hdr.sgml : 20100202 20100202095658 ACCESSION NUMBER: 0000919530-10-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100202 DATE AS OF CHANGE: 20100202 EFFECTIVENESS DATE: 20100202 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: 10565321 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 dec0913f.txt DECEMBER 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: December 31, 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 January 29, 2010 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: 125 Form 13F Information Table Value Total: $308,448,508 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 - ---------------------------- ------------- --------- --------- ------- --- ---- ------- --------- ----- ------- ------- FRESH DEL MONTE PRODUCE INC ORD G36738105 515 23300 SH SOLE 23300 INGERSOLL-RAND PLC SHS G47791101 577 16150 SH SOLE 16150 SINA CORP ORD G81477104 770 17050 SH SOLE 17050 TYCO INTERNATIONAL LTD SHS H89128104 1196 33531 SH SOLE 33531 ALVARION LTD SHS M0861T100 413 110403 SH SOLE 110403 AT&T INC COM 00206R102 1799 64189 SH SOLE 64189 AU OPTRONICS CORP SPONSORED ADR 002255107 243 20269 SH SOLE 20269 ABBOTT LABS COM 002824100 4253 78775 SH SOLE 78775 ABERDEEN ASIA PACIFIC INCOM COM 003009107 2053 330009 SH SOLE 330009 ABERDEEN AUSTRALIA EQTY FD I COM 003011103 2884 236950 SH SOLE 236950 ADAPTEC INC COM 00651F108 441 131500 SH SOLE 131500 AFFILATED COMPUTER SERVICES CL A 008190100 600 10050 SH SOLE 10050 ALCATEL-LUCENT SPONSORED ADR 013904305 40 12000 SH SOLE 12000 AMERICAN CAP LTD COM 02503Y103 51 21050 SH SOLE 21050 AMERICAN DEFENSE SYS INC COM 025351107 24 60000 SH SOLE 60000 AMERICAN SOFTWARE INC CL A 029683109 275 45898 SH SOLE 45898 AMGEN INC COM 031162100 6957 122984 SH SOLE 122984 ANALOG DEVICES INC COM 032654105 4625 146450 SH SOLE 146450 APPLIED MATLS INC COM 038222105 3580 256815 SH SOLE 256815 ARCH COAL INC COM 039380100 792 35574 SH SOLE 35574 ARCHER DANIELS MIDLAND CO COM 039483102 1711 54656 SH SOLE 54656 BCE INC COM NEW 05534B760 5920 214408 SH SOLE 214408 BAXTER INTL INC COM 071813109 238 4050 SH SOLE 4050 BRISTOL MYERS SQUIBB CO COM 110122108 6363 251991 SH SOLE 251991 BROOKS AUTOMATION INC COM 114340102 288 33584 SH SOLE 33584 CENOVUS ENERGY INC COM 15135U109 895 35500 SH SOLE 35500 CISCO SYS INC COM 17275R102 7158 298994 SH SOLE 298994 CLAYMORE ETF TRUST 2 S&P GBL WATER 18383Q507 936 50800 SH SOLE 50800 CLAYMORE EXCHANAGE-TRADED FD ALPH SHS CHINA 18385P101 1024 40600 SH SOLE 40600 COCA COLA CO COM 191216100 3098 54358 SH SOLE 54358 COMMUNITY BK SYS INC COM 203607106 481 24900 SH SOLE 24900 COMPANHIA PARANAENSE ENERG C SPON ADR PFD 20441B407 1455 67850 SH SOLE 67850 CORNING INC COM 219350105 12288 636357 SH SOLE 636357 COVANCE INC COM 222816100 328 6019 SH SOLE 6019 CUBIST PHARMACEUTICALS INC COM 229678107 1577 83150 SH SOLE 83150 CUTERA INC COM 232109108 646 75910 SH SOLE 75910 DENTSPLY INTL INC NEW COM 249030107 3057 86934 SH SOLE 86934 DRESSER-RAND GROUP INC COM 261608103 695 22000 SH SOLE 22000 DUKE ENERGY CORP NEW COM 26441C105 6548 380469 SH SOLE 380469 E M C CORP MASS COM 268648102 421 24090 SH SOLE 24090 ELAN PLC ADR 284131208 109 16704 SH SOLE 16704 ELECTRO OPTICAL SCIENCES INC COM 285192100 926 89800 SH SOLE 89800 ELMIRA SVGS BK FSB N Y COM 289660102 1220 72858 SH SOLE 72858 EMERSON ELEC CO COM 291011104 9159 215009 SH SOLE 215009 ENCANA CORP COM 292505104 1095 33800 SH SOLE 33800 ENDO PHARMACEUTICALS HLDGS I COM 29264F205 1163 56700 SH SOLE 56700 ENERGY CONVERSION DEVICES IN COM 292659109 1715 162250 SH SOLE 162250 EXELON CORP COM 30161N101 3946 80750 SH SOLE 80750 EXXON MOBIL CORP COM 30231G102 11145 163434 SH SOLE 163434 FUEL SYS SOLUTIONS INC COM 35952W103 982 23800 SH SOLE 23800 GENERAL ELECTRIC CO COM 369604103 443 29286 SH SOLE 29286 GENZYME CORP COM 372917104 2062 42080 SH SOLE 42080 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 2144 50750 SH SOLE 50750 GOOGLE INC CL A 38259P508 338 545 SH SOLE 545 GRANITE CONSTR INC COM 387328107 9677 287504 SH SOLE 287504 HALLIBURTON CO COM 406216101 4356 144768 SH SOLE 144768 HARDINGE INC COM 412324303 236 42996 SH SOLE 42996 HOLOGIC INC COM 436440101 1615 111401 SH SOLE 111401 HONEYWELL INTL INC COM 438516106 2116 53980 SH SOLE 53980 ITT CORP NEW COM 450911102 3782 76028 SH SOLE 76028 IDACORP INC COM 451107106 7138 223425 SH SOLE 223425 INTEL CORP COM 458140100 1954 95791 SH SOLE 95791 ISHARES INC MSCI BRAZIL 464286400 2805 37600 SH SOLE 37600 ISHARES INC MSCI SINGAPORE 464286673 3344 291055 SH SOLE 291055 ISHARES INC MSCI JAPAN 464286848 202 20750 SH SOLE 20750 ISHARES TR INDEX FTSE XNHUA IDX 464287184 1118 26450 SH SOLE 26450 ITRON INC COM 465741106 1054 15600 SH SOLE 15600 JOHNSON & JOHNSON COM 478160104 18498 287192 SH SOLE 287192 LILLY ELI & CO COM 532457108 5812 162750 SH SOLE 162750 LINDSAY CORP COM 535555106 3993 100201 SH SOLE 100201 MDU RES GROUP INC COM 552690109 1889 80050 SH SOLE 80050 MARKET VECTORS ETF TR AFRICA ETF 57060U787 1282 45150 SH SOLE 45150 MEDTRONIC INC COM 585055106 4592 104400 SH SOLE 104400 MERCK & CO INC NEW COM 58933Y105 1022 27960 SH SOLE 27960 MEXICO FD INC COM 592835102 2416 110253 SH SOLE 110253 MONSANTO CO NEW COM 61166W101 3434 42000 SH SOLE 42000 NALCO HOLDING COMPANY COM 62985Q101 1705 66850 SH SOLE 66850 NEOGEN CORP COM 640491106 1963 83142 SH SOLE 83142 NET SERVICOS DE COMUNICACAO SPONSD ADR NEW 64109T201 469 34700 SH SOLE 34700 NETEASE COM INC SPONSORED ADR 64110W102 310 8250 SH SOLE 8250 NOVARTIS A G SPONSORED ADR 66987V109 5008 92013 SH SOLE 92013 OTTER TAIL CORP COM 689648103 6815 274595 SH SOLE 274595 PALL CORP COM 696429307 8159 225379 SH SOLE 225379 PENN WEST ENERGY TR TR UNIT 707885109 498 28300 SH SOLE 28300 PFIZER INC COM 717081103 1583 87047 SH SOLE 87047 PHARMACEUTICAL PROD DEV INC COM 717124101 705 30095 SH SOLE 30095 POWERSHARES ETF TRUST GOLDEN DRG USX 73935X401 2147 89100 SH SOLE 89100 POWERSHARES ETF TRUST WNDRHLL CLN EN 73935X500 3562 323835 SH SOLE 323835 POWERSHARES ETF TRUST WATER RESOURCE 73935X575 1565 92845 SH SOLE 92845 QUEST DIAGNOSTICS INC COM 74834L100 721 11942 SH SOLE 11942 QUIXOTE CORP COM 749056107 70 11026 SH SOLE 11026 REGENERON PHARMACEUTICALS COM 75886F107 754 31187 SH SOLE 31187 ROPER INDS INC NEW COM 776696106 2121 40500 SH SOLE 40500 SPDR INDEX SHS FDS S & P CHINA ETF78463X400 970 13500 SH SOLE 13500 SPDR SERIES TRUST SHRT INTL ETF 78464A334 1657 45500 SH SOLE 45500 SPDR SERIES TRUST BRCLYS INTL ETF78464A516 2517 44285 SH SOLE 44285 ST JUDE MED INC COM 790849103 736 19999 SH SOLE 19999 SCHLUMBERGER LTD COM 806857108 3019 46378 SH SOLE 46378 SIGMA ALDRICH CORP COM 826552101 647 12800 SH SOLE 12800 SONUS NETWORKS INC COM 835916107 32 15300 SH SOLE 15300 SPECTRA ENERGY CORP COM 847560109 1149 56011 SH SOLE 56011 STERIS CORP COM 859152100 873 31200 SH SOLE 31200 STRYKER CORP COM 863667101 806 16011 SH SOLE 16011 SUN HYDRAULICS CORP COM 866942105 1830 69731 SH SOLE 69731 SUNCOR ENERGY INC NEW COM 867224107 1779 50384 SH SOLE 50384 SUNTECH PWR HLDGS CO LTD ADR 86800C104 356 21400 SH SOLE 21400 SWISS HELVETIA FD INC COM 870875101 4342 373625 SH SOLE 373625 SYNGENTA AG SPONSORED ADR 87160A100 3185 56600 SH SOLE 56600 TALISMAN ENERGY INC COM 87425E103 708 37998 SH SOLE 37998 TELE NORTE LESTE PART S A SPON ADR PFD 879246106 616 28750 SH SOLE 28750 TELEFONICA S A SPONSORED ADR 879382208 1070 12811 SH SOLE 12811 TELEFONOS DE MEXICO S A B SPONS ADR ORD L879403780 852 51364 SH SOLE 51364 TELMEX INTERNACIONAL SAB DE SPON ADR SR L 879690105 600 33800 SH SOLE 33800 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 1321 23511 SH SOLE 23511 TEXAS INSTRS INC COM 882508104 6108 234399 SH SOLE 234399 3M CO COM 88579Y101 3443 41648 SH SOLE 41648 TORTOISE ENERGY INFRASTRCTR C COM 89147L100 429 13817 SH SOLE 13817 UNITED TECHNOLGIES CORP COM 913017109 266 3835 SH SOLE 3835 VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 349 8500 SH SOLE 8500 WATTS WATER TECHNOLOGIES INC CL A 942749102 2082 67337 SH SOLE 67337 WISDOMTREE TRUST DRYFS CURR ETF 97717W133 1117 50750 SH SOLE 50750 WISDOMTREE TRUST CHINESE YUAN ET97717W182 2168 85995 SH SOLE 85995 WISDOMTREE TRUST BRAZILN RL ETF 97717W240 1272 47950 SH SOLE 47950 ZIMMER HLDGS INC COM 98956P102 3109 52600 SH SOLE 52600 ZOLTEK COS INC COM 98975W104 884 93000 SH SOLE 93000
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