-----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, JAaNxJw0nBGEG/2pla13H8/H3ZtSxk/j8j7tzvcpOFTp6EIC5dfUzQ/O+KXrr+/I tP7tpJ5BcNw3ZW8h6ih98Q== 0000919530-08-000004.txt : 20080428 0000919530-08-000004.hdr.sgml : 20080428 20080428101252 ACCESSION NUMBER: 0000919530-08-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080331 FILED AS OF DATE: 20080428 DATE AS OF CHANGE: 20080428 EFFECTIVENESS DATE: 20080428 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: 08779592 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 march0813f.txt MARCH 31 2008 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2008 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 April 18, 2008 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: 138 Form 13F Information Table Value Total: $285,398,495 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 - ---------------------------- ------------- --------- --------- ------- --- ---- ------- --------- ----- ------- ------- INGERSOLL-RAND COMPANY LTD CL A G4776G101 2523 56585 SH SOLE 56585 TYCO INTL LTD BERMUDA SHS G9143X208 2190 49718 SH SOLE 49718 ALVARION LTD SHS M0861T100 887 122400 SH SOLE 122400 AUDIOCODES LTD ORD M15342104 299 74600 SH SOLE 74600 A D C TELECOMMUNICATIONS COM NEW 000886309 612 50624 SH SOLE 50624 AT&T INC COM 00206R102 2842 74201 SH SOLE 74201 AU OPTRONICS CORP SPONSORED ADR 002255107 643 37389 SH SOLE 37389 ABERDEEN ASIA PACIFIC INCOM COM 003009107 1730 279090 SH SOLE 279090 ABERDEEN AUSTRALIA EQTY FD COM 003011103 774 50900 SH SOLE 50900 ADAPTEC INC COM 00651F108 40 13600 SH SOLE 13600 ADVANTAGE ENERGY INCOME FD TR UNIT 00762L101 2103 183985 SH SOLE 183985 AFFILATED COMPUTER SERVICES CL A 008190100 694 13850 SH SOLE 13850 ALASKA AIR GROUP INC COM 011659109 343 17480 SH SOLE 17480 AMERICAN CAPITAL STRATEGIES COM 024937104 2052 60066 SH SOLE 60066 AMERICAN SOFTWARE INC CL A 029683109 178 28350 SH SOLE 28350 AMGEN INC COM 031162100 4484 107327 SH SOLE 107327 ANALOG DEVICES INC COM 032654105 3377 114410 SH SOLE 114410 APPLIED MATLS INC COM 038222105 8254 423076 SH SOLE 423076 ARCH COAL INC COM 039380100 248 5700 SH SOLE 5700 ARCHER DANIELS MIDLAND CO COM 039483102 3780 91836 SH SOLE 91836 AUDIBLE INC COM NEW 05069A302 893 77923 SH SOLE 77923 AUDIOVOX CORP CL A 050757103 890 83350 SH SOLE 83350 BCE INC COM NEW 05534B760 915 27133 SH SOLE 27133 BALLARD PWR SYS INC COM 05858H104 146 35700 SH SOLE 35700 BANCO BILBAO VIZCAYA ARGENT SPONSORED ADR 05946K101 738 33551 SH SOLE 33551 BANCO BRADESCO S A SP ADR PFD NEW 059460303 266 9600 SH SOLE 9600 BANCROFT FUND LTD COM 059695106 904 50200 SH SOLE 50200 BANK NOVA SCOTIA HALIFAX COM 064149107 1114 24650 SH SOLE 24650 BEA SYS INC COM 073325102 1813 94648 SH SOLE 94648 BLACKROCK INSD MUN 2008 TRM COM 09247K109 1136 75399 SH SOLE 75399 BRISTOL MYERS SQUIBB CO COM 110122108 2074 97357 SH SOLE 97357 BROOKS AUTOMATION INC COM 114340102 1584 163013 SH SOLE 163013 CHEVRON CORP NEW COM 166764100 387 4530 SH SOLE 4530 CISCO SYS INC COM 17275R102 5951 247033 SH SOLE 247033 CLAYMORE ETF TRUST 2 S&P GBL WATER 18383Q507 933 39700 SH SOLE 39700 COCA COLA CO COM 191216100 5942 97619 SH SOLE 97619 COMPANHIA PARANAENSE ENERG SPON ADR PFD 20441B407 798 48850 SH SOLE 48850 COOPER COS INC COM NEW 216648402 2072 60175 SH SOLE 60175 CORNING INC COM 219350105 14989 623519 SH SOLE 623519 COVANCE INC COM 222816100 360 4344 SH SOLE 4344 CUMMINS INC COM 231021106 1472 31450 SH SOLE 31450 DENTSPLY INTL INC NEW COM 249030107 1334 34550 SH SOLE 34550 DRESSER-RAND GROUP INC COM 261608103 2186 71100 SH SOLE 71100 DUKE ENERGY CORP NEW COM 26441C105 3223 180542 SH SOLE 180542 E M C CORP MASS COM 268648102 506 35270 SH SOLE 35270 EBAY INC COM 278642103 1499 50250 SH SOLE 50250 ELAN PLC ADR 284131208 388 18620 SH SOLE 18620 ELLSWORTH FUND LTD COM 289074106 3298 428369 SH SOLE 428369 ELMIRA SVGS BK FSB N Y COM 289660102 1158 62248 SH SOLE 62248 EMERSON ELEC CO COM 291011104 7398 143762 SH SOLE 143762 ENERGY CONVERSION DEVICES I COM 292659109 1057 35350 SH SOLE 35350 EVERGREEN SOLAR INC COM 30033R108 349 37700 SH SOLE 37700 EXXON MOBIL CORP COM 30231G102 1795 21218 SH SOLE 21218 FUELCELL ENERGY INC COM 35952H106 130 19550 SH SOLE 19550 GARDNER DENVER INC COM 365558105 1979 53355 SH SOLE 53355 GENENTECH INC COM NEW 368710406 5888 72531 SH SOLE 72531 GENERAL ELECTRIC CO COM 369604103 5062 136778 SH SOLE 136778 GERON CORP COM 374163103 227 46425 SH SOLE 46425 GRANITE CONSTR INC COM 387328107 4049 123793 SH SOLE 123793 GREAT PLAINS ENERGY INC COM 391164100 1998 81061 SH SOLE 81061 HALLIBURTON CO COM 406216101 527 13400 SH SOLE 13400 HARDINGE INC COM 412324303 2783 202252 SH SOLE 202252 HEADWATERS INC COM 42210P102 433 32850 SH SOLE 32850 HELIX ENERGY SOLUTIONS GRP COM 42330P107 723 22950 SH SOLE 22950 HEWLETT PACKARD CO COM 428236103 323 7066 SH SOLE 7066 HOLOGIC INC COM 436440101 1624 29216 SH SOLE 29216 HONDA MOTOR LTD AMERN SHS 438128308 915 31750 SH SOLE 31750 HUMAN GENOME SCIENCES INC COM 444903108 243 41200 SH SOLE 41200 ITT CORP NEW COM 450911102 1833 35378 SH SOLE 35378 IDACORP INC COM 451107106 5422 168865 SH SOLE 168865 INTEL CORP COM 458140100 5905 278823 SH SOLE 278823 INTERNATIONAL BUSINESS MACH COM 459200101 1549 13453 SH SOLE 13453 ISHARES INC MSCI AUSTRIA 464286202 1938 57650 SH SOLE 57650 ISHARES INC MSCI BRAZIL 464286400 2284 29650 SH SOLE 29650 ISHARES INC MSCI SINGAPORE 464286673 1030 80650 SH SOLE 80650 ISHARES INC MSCI SWITZERLD 464286749 1086 41950 SH SOLE 41950 ISHARES INC MSCI JAPAN 464286848 1479 119550 SH SOLE 119550 ISHARES TR MSCI EAFE IDX 464287465 2148 29870 SH SOLE 29870 JDS UNIPHASE CORP COM PAR $0.001 46612J507 218 16262 SH SOLE 16262 JOHNSON & JOHNSON COM 478160104 18021 277799 SH SOLE 277799 KLA-TENCOR CORP COM 482480100 425 11450 SH SOLE 11450 KT CORP SPONSORED ADR 48268K101 1498 63080 SH SOLE 63080 KOOKMIN BK NEW SPONSORED ADR 50049M109 950 16950 SH SOLE 16950 KOPIN CORP COM 500600101 752 282700 SH SOLE 282700 LILLY ELI & CO COM 532457108 2045 39645 SH SOLE 39645 LINDSAY CORP COM 535555106 4527 44179 SH SOLE 44179 MDU RES GROUP INC COM 552690109 619 25200 SH SOLE 25200 ML MACADAMIA ORCHARDS L P DEP UNTI CL A 55307U107 830 259300 SH SOLE 259300 MEDTRONIC INC COM 585055106 3412 70545 SH SOLE 70545 MEXICO FD INC COM 592835102 2677 77269 SH SOLE 77269 MICROSOFT CORP COM 594918104 1479 52119 SH SOLE 52119 NALCO HOLDING COMPANY COM 62985Q101 784 37050 SH SOLE 37050 NEOGEN CORP COM 640491106 1407 56075 SH SOLE 56075 NET SERVICOS DE COMUNICACAO SPONSD ADR NEW 64109T201 640 60500 SH SOLE 60500 NETEASE COM INC SPONSORED ADR 64110W102 484 25200 SH SOLE 25200 NOVARTIS A G SPONSORED ADR 66987V109 4379 85481 SH SOLE 85481 OTTER TAIL CORP COM 689648103 1654 46750 SH SOLE 46750 PALL CORP COM 696429307 5636 160699 SH SOLE 160699 PENN WEST ENERGY TR TR UNIT 707885109 680 24300 SH SOLE 24300 P T TELEKOMUNIKASI INDONESI SPONSORED ADR 715684106 409 9750 SH SOLE 9750 PETMED EXPRESS INC COM 716382106 553 49850 SH SOLE 49850 PETRO-CDA COM 71644E102 1016 23400 SH SOLE 23400 PFIZER INC COM 717081103 3071 146710 SH SOLE 146710 PHARMACEUTICAL PROD DEV INC COM 717124101 1142 27250 SH SOLE 27250 POWERSHARES ETF TRUST WNDRHLL CLN EN 73935X500 990 50500 SH SOLE 50500 POWERSHARES ETF TRUST WATER RESOURCE 73935X575 767 39890 SH SOLE 39890 PROCTER & GAMBLE CO COM 742718109 3260 46532 SH SOLE 46532 QLOGIC CORP COM 747277101 1214 79100 SH SOLE 79100 QUIXOTE CORP COM 749056107 1600 192826 SH SOLE 192826 RED HAT INC COM 756577102 1074 58400 SH SOLE 58400 REGENERON PHARMACEUTICALS COM 75886F107 679 35400 SH SOLE 35400 ROPER INDS INC NEW COM 776696106 788 13250 SH SOLE 13250 SPDR SERIES TRUST LEHMN INTL ETF 78464A516 2884 49750 SH SOLE 49750 ST JUDE MED INC COM 790849103 1738 40233 SH SOLE 40233 SCHLUMBERGER LTD COM 806857108 3430 39423 SH SOLE 39423 SECURE COMPUTING CORP COM 813705100 95 14700 SH SOLE 14700 SIGMA ALDRICH CORP COM 826552101 435 7300 SH SOLE 7300 SMITH A O COM 831865209 2428 73880 SH SOLE 73880 SONUS NETWORKS INC COM 835916107 1134 329650 SH SOLE 329650 SPAIN FD COM 846330108 731 60200 SH SOLE 60200 STERIS CORP COM 859152100 3035 113125 SH SOLE 113125 SUN HYDRAULICS CORP COM 866942105 673 23000 SH SOLE 23000 SUNOCO INC COM 86764P109 207 3950 SH SOLE 3950 SUNTECH PWR HLDGS CO LTD ADR 86800C104 434 10700 SH SOLE 10700 SWISS HELVETIA FD INC COM 870875101 5470 337025 SH SOLE 337025 SYNGENTA AG SPONSORED ADR 87160A100 1041 17800 SH SOLE 17800 TALISMAN ENERGY INC COM 87425E103 1900 107348 SH SOLE 107348 TELEFONICA S A SPONSORED ADR 879382208 1120 12950 SH SOLE 12950 TELEFONOS DE MEXICO S A B SPONS ADR ORD 879403780 1692 45011 SH SOLE 45011 TELLABS INC COM 879664100 509 93350 SH SOLE 93350 TEXAS INSTRS INC COM 882508104 1782 63045 SH SOLE 63045 3M CO COM 88579Y101 7301 92240 SH SOLE 92240 TIME WARNER INC COM 887317105 1204 85905 SH SOLE 85905 TORTOISE ENERGY INFRASTRCTR COM 89147L100 318 10600 SH SOLE 10600 UNITED PARCEL SERVICE INC CL B 911312106 400 5475 SH SOLE 5475 VERISIGN INC COM 92343E102 294 8850 SH SOLE 8850 WATTS WATER TECHNOLOGIES IN CL A 942749102 2490 88837 SH SOLE 88837 YPF SOCIEDAD ANONIMA SPON ADR CL D 984245100 908 20682 SH SOLE 20682
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