0000919530-18-000015.txt : 20181102 0000919530-18-000015.hdr.sgml : 20181102 20181102144655 ACCESSION NUMBER: 0000919530-18-000015 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181102 DATE AS OF CHANGE: 20181102 EFFECTIVENESS DATE: 20181102 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: 181156636 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 primary_doc.xml 13F-HR LIVE false true false 0000919530 XXXXXXXX 09-30-2018 09-30-2018 JOHN G ULLMAN & ASSOCIATES INC

51 EAST MARKET STREET P O BOX 1424 CORNING NY 14830

13F HOLDINGS REPORT 028-03893 N John G. Ullman 607-936-3785 John G. Ullman Corning NY 11-02-2018 0 129 550039 true INFORMATION TABLE 2 inftable.xml SEPTEMBER EDGAR FILING 2018 3M CO COM 88579Y101 1053 4996 SH SOLE 0 0 4996 A. O. SMITH CORP COM 831865209 432 8100 SH SOLE 0 0 8100 ABBOTT LABORATORIES COM 002824100 13147 179214 SH SOLE 0 0 179214 AECOM COM 00766T100 6711 205500 SH SOLE 0 0 205500 ALPHABET INC COM 02079K107 610 511 SH SOLE 0 0 511 ALPHABET INC COM 02079K305 1906 1579 SH SOLE 0 0 1579 AMERICAN SOFTWARE INC COM 029683109 6995 576705 SH SOLE 0 0 576705 AMGEN INC COM 031162100 2413 11643 SH SOLE 0 0 11643 ANDEAVOR COM 03349M105 232 1514 SH SOLE 0 0 1514 APPLE INC COM 037833100 1457 6454 SH SOLE 0 0 6454 ARGAN INC AGX COM 04010E109 2386 55500 SH SOLE 0 0 55500 AT&T INC COM 00206R102 674 20058 SH SOLE 0 0 20058 AVALON ADVANCED MATERIALS INC COM 05337L106 1 18750 SH SOLE 0 0 18750 BAKER HUGHES A GE CO COM 05722G100 541 16000 SH SOLE 0 0 16000 BANK OF NOVA SCOTIA COM 064149107 6224 104384 SH SOLE 0 0 104384 BAXTER INTERNATIONAL INC COM 071813109 4454 57771 SH SOLE 0 0 57771 BCE INC COM 05534B760 9678 238845 SH SOLE 0 0 238845 BERKSHIRE HATHAWAY INC COM 084670702 701 3275 SH SOLE 0 0 3275 BLACKROCK INC COM 09247X101 477 1011 SH SOLE 0 0 1011 BLUE BIRD CORP COM 095306106 652 26600 SH SOLE 0 0 26600 BRISTOL-MYERS SQUIBB CO COM 110122108 10376 167140 SH SOLE 0 0 167140 BROOKS AUTOMATION INC COM 114340102 5196 148335 SH SOLE 0 0 148335 CALAMP CORP COM 128126109 4611 192450 SH SOLE 0 0 192450 CANADIAN WESTERN BANK COM 13677F101 203 7700 SH SOLE 0 0 7700 CELGENE CORP COM 151020104 502 5608 SH SOLE 0 0 5608 CIENA CORP COM 171779309 8591 275000 SH SOLE 0 0 275000 CIGNA CORP COM 125509109 375 1800 SH SOLE 0 0 1800 CISCO SYSTEMS INC COM 17275R102 1148 23600 SH SOLE 0 0 23600 COCA-COLA CO COM 191216100 834 18056 SH SOLE 0 0 18056 CONDUENT INC COM 206787103 4670 207401 SH SOLE 0 0 207401 CORNING INC COM 219350105 23565 667590 SH SOLE 0 0 667590 CORNING NATURAL GAS HOLDING CO COM 219387107 217 12048 SH SOLE 0 0 12048 DANAHER CORP COM 235851102 566 5213 SH SOLE 0 0 5213 DENTSPLY SIRONA INC COM 24906P109 5340 141500 SH SOLE 0 0 141500 DOUGLAS DYNAMICS INC COM 25960R105 246 5600 SH SOLE 0 0 5600 DOWDUPONT INC COM 26078J100 211 3278 SH SOLE 0 0 3278 DUKE ENERGY CORP COM 26441C204 3515 43933 SH SOLE 0 0 43933 ELI LILLY AND CO COM 532457108 403 3751 SH SOLE 0 0 3751 ELMIRA SAVINGS BANK COM 289660102 4968 243556 SH SOLE 0 0 243556 EMERSON ELECTRIC CO COM 291011104 32427 423441 SH SOLE 0 0 423441 EVERGY INC COM 30034W106 8992 163735 SH SOLE 0 0 163735 EVOQUA WATER TECHNOLOGIES CORP COM 30057T105 222 12500 SH SOLE 0 0 12500 EXELON CORP COM 30161N101 4117 94310 SH SOLE 0 0 94310 EXXON MOBIL CORP COM 30231G102 34519 406019 SH SOLE 0 0 406019 FLOWSERVE CORP COM 34354P105 10141 185435 SH SOLE 0 0 185435 GENERAL ELECTRIC CO COM 369604103 5085 450480 SH SOLE 0 0 450480 GENERAL MOTORS CO COM 37045V100 328 9750 SH SOLE 0 0 9750 GILEAD SCIENCES INC COM 375558103 247 3200 SH SOLE 0 0 3200 GLAXOSMITHKLINE PLC COM 37733W105 4320 107535 SH SOLE 0 0 107535 GRANITE CONSTRUCTION INC COM 387328107 12202 267009 SH SOLE 0 0 267009 HALLIBURTON CO COM 406216101 5220 128800 SH SOLE 0 0 128800 HEWLETT PACKARD ENTERPRISE CO COM 42824C109 388 23800 SH SOLE 0 0 23800 HOLOGIC INC COM 436440101 254 6200 SH SOLE 0 0 6200 HOME DEPOT INC COM 437076102 203 978 SH SOLE 0 0 978 HONEYWELL INTERNATIONAL INC COM 438516106 8324 50022 SH SOLE 0 0 50022 IDACORP INC COM 451107106 4630 46664 SH SOLE 0 0 46664 II-VI INC COM 902104108 331 7000 SH SOLE 0 0 7000 ILLINOIS TOOL WORKS INC COM 452308109 325 2301 SH SOLE 0 0 2301 INGERSOLL-RAND PLC COM G47791101 9734 95153 SH SOLE 0 0 95153 INTEL CORP COM 458140100 15051 318278 SH SOLE 0 0 318278 INTERNATIONAL BUSINESS MACHINE COM 459200101 12798 84640 SH SOLE 0 0 84640 INTREXON CORP COM 46122T102 258 15000 SH SOLE 0 0 15000 IQVIA HOLDINGS INC COM 46266C105 439 3385 SH SOLE 0 0 3385 JOHNSON & JOHNSON COM 478160104 13899 100597 SH SOLE 0 0 100597 JOHNSON CONTROLS INTERNATIONAL COM G51502105 589 16816 SH SOLE 0 0 16816 LABORATORY CORPORATION OF AMER COM 50540R409 485 2792 SH SOLE 0 0 2792 LANDEC CORP COM 514766104 4885 339209 SH SOLE 0 0 339209 LINDSAY CORP COM 535555106 11728 116998 SH SOLE 0 0 116998 MANHATTAN SCIENTIFICS INC COM 563122100 2 145000 SH SOLE 0 0 145000 MCDONALD'S CORP COM 580135101 263 1570 SH SOLE 0 0 1570 MDU RESOURCES GROUP INC COM 552690109 9010 350731 SH SOLE 0 0 350731 MERCK & CO INC COM 58933Y105 17768 250463 SH SOLE 0 0 250463 MICRON TECHNOLOGY INC COM 595112103 393 8700 SH SOLE 0 0 8700 MICROSOFT CORP COM 594918104 11490 100462 SH SOLE 0 0 100462 MOSAIC CO COM 61945C103 1933 59500 SH SOLE 0 0 59500 NEW YORK COMMUNITY BANCORP INC COM 649445103 2769 267008 SH SOLE 0 0 267008 NEXTERA ENERGY INC COM 65339F101 6877 41034 SH SOLE 0 0 41034 OCLARO INC COM 67555N206 363 40600 SH SOLE 0 0 40600 OGE ENERGY CORP COM 670837103 10810 297633 SH SOLE 0 0 297633 ON SEMICONDUCTOR CORP COM 682189105 223 12100 SH SOLE 0 0 12100 ORBOTECH LTD COM M75253100 3973 66842 SH SOLE 0 0 66842 OWENS CORNING NEW COM COM 690742101 2855 52600 SH SOLE 0 0 52600 PAYCHEX INC COM 704326107 288 3912 SH SOLE 0 0 3912 PEPSICO INC COM 713448108 456 4075 SH SOLE 0 0 4075 PFIZER INC COM 717081103 19781 448845 SH SOLE 0 0 448845 PHILLIPS 66 COM 718546104 523 4637 SH SOLE 0 0 4637 PUBLIC SERVICE ENTERPRISE GROU COM 744573106 3106 58835 SH SOLE 0 0 58835 QUEST DIAGNOSTICS INC COM 74834L100 5147 47696 SH SOLE 0 0 47696 REGENERON PHARMACEUTICALS INC COM 75886F107 364 900 SH SOLE 0 0 900 ROYAL DUTCH SHELL PLC COM 780259206 425 6243 SH SOLE 0 0 6243 SCHLUMBERGER NV COM 806857108 17358 284928 SH SOLE 0 0 284928 SENSATA TECHNOLOGIES HOLDING N COM G8060N102 282 5700 SH SOLE 0 0 5700 SHERWIN-WILLIAMS CO COM 824348106 333 731 SH SOLE 0 0 731 SIGNATURE BANK COM 82669G104 1872 16300 SH SOLE 0 0 16300 STANLEY BLACK & DECKER INC COM 854502101 2819 19250 SH SOLE 0 0 19250 SWISS HELVETIA FUND INC COM 870875101 2507 294636 SH SOLE 0 0 294636 TE CONNECTIVITY LTD COM H84989104 7122 81000 SH SOLE 0 0 81000 THERMO FISHER SCIENTIFIC INC COM 883556102 6529 26750 SH SOLE 0 0 26750 TUTOR PERINI CORP COM 901109108 1763 93752 SH SOLE 0 0 93752 VERIZON COMMUNICATIONS INC COM 92343V104 247 4628 SH SOLE 0 0 4628 VIAVI SOLUTIONS INC COM 925550105 2815 248250 SH SOLE 0 0 248250 WAL-MART STORES INC COM 931142103 871 9278 SH SOLE 0 0 9278 WALT DISNEY CO COM 254687106 422 3606 SH SOLE 0 0 3606 WATTS WATER TECHNOLOGIES INC COM 942749102 8952 107858 SH SOLE 0 0 107858 XEROX CORP COM 984121608 2364 87637 SH SOLE 0 0 87637 ZIMMER BIOMET HOLDINGS INC COM 98956P102 1471 11192 SH SOLE 0 0 11192 BP PLC ADR 055622104 445 9650 SH SOLE 0 0 9650 CHINA MOBILE LTD ADR 16941M109 254 5200 SH SOLE 0 0 5200 NOVARTIS AG ADR 66987V109 14002 162508 SH SOLE 0 0 162508 TAIWAN SEMICONDUCTOR MANUFACTU ADR 874039100 468 10600 SH SOLE 0 0 10600 TELECOM ARGENTINA SA ADR 879273209 200 11500 SH SOLE 0 0 11500 FRST TRST ISE GLB WND ENG INX ETF 33736G106 199 16000 SH SOLE 0 0 16000 INVSC QQQ TRUST SRS 1 ETF ETF 46090E103 302 1624 SH SOLE 0 0 1624 INVSC S P GLOBAL WATER INDEX E ETF 46138E263 5669 162516 SH SOLE 0 0 162516 INVSC WILDERHILL CLEAN ENERGY ETF 46137V134 1138 45900 SH SOLE 0 0 45900 ISHARES CORE US AGGREGATE BOND ETF 464287226 1935 18340 SH SOLE 0 0 18340 ISHARES MSCI AUSTRALIA ETF ETF 464286103 2325 105100 SH SOLE 0 0 105100 ISHARES MSCI CANADA ETF ETF 464286509 3621 125833 SH SOLE 0 0 125833 ISHARES MSCI EMERGING MARKETS ETF 464287234 382 8900 SH SOLE 0 0 8900 ISHARES MSCI SINGAPORE ETF ETF 46434G780 3160 130200 SH SOLE 0 0 130200 ISHARES:MSCI KLD 400 SOC ETF 464288570 555 5200 SH SOLE 0 0 5200 ISHARES:MSCI PERU ETF 464289842 3188 86356 SH SOLE 0 0 86356 ISHR EDG MSCI MIN VOL EMG MKT ETF 464286533 8336 140581 SH SOLE 0 0 140581 SPDR S&P EM MKTS SM CP ETF 78463X756 2155 48106 SH SOLE 0 0 48106 SPDR S&P REGIONAL BANKING ETF ETF 78464A698 767 12900 SH SOLE 0 0 12900 VANGUARD MATERIALS ETF ETF 92204A801 393 3000 SH SOLE 0 0 3000 VANGUARD S&P 500 ETF ETF 922908363 923 3456 SH SOLE 0 0 3456 VANGUARD SHORT-TERM BOND ETF ETF 921937827 987 12647 SH SOLE 0 0 12647 TORTOISE ENERGY INF CORP CEF 89147L100 3663 136025 SH SOLE 0 0 136025