-----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, PCp2MYYmz73xtENQ9YLXAZhEhLjE49qztgxnMrSbFmXABm+nd2KSuWHrAexu8JBG XbvmNA3tkl6JSrF8eT7T+A== 0000919530-09-000006.txt : 20090727 0000919530-09-000006.hdr.sgml : 20090727 20090727112425 ACCESSION NUMBER: 0000919530-09-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090727 DATE AS OF CHANGE: 20090727 EFFECTIVENESS DATE: 20090727 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: 09963820 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 jun0913f.txt JUNE 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: June 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 July 24, 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: 119 Form 13F Information Table Value Total: $230,872,665 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 1545 41256 SH SOLE 41256 FRESH DEL MONTE PRODUCE INC ORD G36738105 399 24550 SH SOLE 24550 INGERSOLL-RAND COMPANY LTD CL A G4776G101 390 18660 SH SOLE 18660 SINA CORP ORD G81477104 259 8800 SH SOLE 8800 TYCO INTERNATIONAL LTD SHS H89128104 1749 67315 SH SOLE 67315 AT&T INC COM 00206R102 3376 135890 SH SOLE 135890 AU OPTRONICS CORP SPONSORED ADR 002255107 199 20563 SH SOLE 20563 ABBOTT LABS COM 002824100 3195 67925 SH SOLE 67925 ABERDEEN ASIA PACIFIC INCOM COM 003009107 1857 332709 SH SOLE 332709 ABERDEEN AUSTRALIA EQTY FD I COM 003011103 2309 245400 SH SOLE 245400 ADAPTEC INC COM 00651F108 277 104500 SH SOLE 104500 ADVANTAGE ENERGY INCOME FD TR UNIT 00762L101 470 111600 SH SOLE 111600 AFFILATED COMPUTER SERVICES CL A 008190100 464 10450 SH SOLE 10450 AMERICAN CAP LTD COM 02503Y103 54 16910 SH SOLE 16910 AMERICAN SOFTWARE INC CL A 029683109 244 42298 SH SOLE 42298 AMGEN INC COM 031162100 5229 98769 SH SOLE 98769 ANALOG DEVICES INC COM 032654105 2639 106500 SH SOLE 106500 APPLIED MATLS INC COM 038222105 1799 163365 SH SOLE 163365 ARCH COAL INC COM 039380100 533 34700 SH SOLE 34700 ARCHER DANIELS MIDLAND CO COM 039483102 2900 108344 SH SOLE 108344 BCE INC COM NEW 05534B760 2002 96882 SH SOLE 96882 BANK NOVA SCOTIA HALIFAX COM 064149107 814 21700 SH SOLE 21700 BAXTER INTL INC COM 071813109 212 4000 SH SOLE 4000 BRISTOL MYERS SQUIBB CO COM 110122108 4121 202886 SH SOLE 202886 BROOKS AUTOMATION INC COM 114340102 85 18995 SH SOLE 18995 CHICAGO BRIDGE & IRON CO N V N Y REGISTRY SH167250109 231 18600 SH SOLE 18600 CISCO SYS INC COM 17275R102 5561 298174 SH SOLE 298174 CLAYMORE ETF TRUST 2 S&P GBL WATER 18383Q507 790 50400 SH SOLE 50400 COCA COLA CO COM 191216100 4511 93998 SH SOLE 93998 COMPANHIA PARANAENSE ENERG C SPON ADR PFD 20441B407 793 56150 SH SOLE 56150 CORNING INC COM 219350105 9879 615106 SH SOLE 615106 COVANCE INC COM 222816100 302 6134 SH SOLE 6134 DENTSPLY INTL INC NEW COM 249030107 1989 65050 SH SOLE 65050 DRESSER-RAND GROUP INC COM 261608103 887 34000 SH SOLE 34000 DUKE ENERGY CORP NEW COM 26441C105 3144 215505 SH SOLE 215505 E M C CORP MASS COM 268648102 369 28190 SH SOLE 28190 EBAY INC COM 278642103 926 54050 SH SOLE 54050 ELAN PLC ADR 284131208 106 16704 SH SOLE 16704 ELMIRA SVGS BK FSB N Y COM 289660102 1130 72185 SH SOLE 72185 EMERSON ELEC CO COM 291011104 6851 211450 SH SOLE 211450 ENCANA CORP COM 292505104 1727 34900 SH SOLE 34900 ENDO PHARMACEUTICALS HLDGS I COM 29264F205 1039 58000 SH SOLE 58000 ENERGY CONVERSION DEVICES IN COM 292659109 819 57900 SH SOLE 57900 EXXON MOBIL CORP COM 30231G102 7926 113370 SH SOLE 113370 GENERAL ELECTRIC CO COM 369604103 359 30639 SH SOLE 30639 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 1839 52050 SH SOLE 52050 GOOGLE INC COM 38259P508 272 645 SH SOLE 645 GRANITE CONSTR INC COM 387328107 6090 182983 SH SOLE 182983 HALLIBURTON CO COM 406216101 1615 78018 SH SOLE 78018 HARDINGE INC COM 412324303 185 43496 SH SOLE 43496 HEWLETT PACKARD CO COM 428236103 2020 52256 SH SOLE 52256 HOLOGIC INC COM 436440101 1523 106900 SH SOLE 106900 HONEYWELL INTL INC COM 438516106 1805 57480 SH SOLE 57480 ITT CORP NEW COM 450911102 3308 74328 SH SOLE 74328 IDACORP INC COM 451107106 5983 228875 SH SOLE 228875 INTEL CORP COM 458140100 1627 98283 SH SOLE 98283 INTERNATIONAL BUSINESS MACHS COM 459200101 549 5260 SH SOLE 5260 ISHARES INC MSCI BRAZIL 464286400 2343 44235 SH SOLE 44235 ISHARES INC MSCI SINGAPORE 464286673 1905 211250 SH SOLE 211250 ISHARES INC MSCI JAPAN 464286848 202 21450 SH SOLE 21450 ISHARES TR FTSE XNHUA IDX 464287184 1330 34650 SH SOLE 34650 JOHNSON & JOHNSON COM 478160104 15480 272541 SH SOLE 272541 KHD HUMBOLDT WEDAG INTL LTD COM 482462108 578 69300 SH SOLE 69300 LILLY ELI & CO COM 532457108 1951 56325 SH SOLE 56325 LINDSAY CORP COM 535555106 2656 80240 SH SOLE 80240 MDU RES GROUP INC COM 552690109 1565 82500 SH SOLE 82500 MERCK & CO INC COM 589331107 762 27250 SH SOLE 27250 MEXICO FD INC COM 592835102 1997 114819 SH SOLE 114819 MICROSOFT CORP COM 594918104 2765 116314 SH SOLE 116314 NALCO HOLDING COMPANY COM 62985Q101 1245 73950 SH SOLE 73950 NEOGEN CORP COM 640491106 1938 66870 SH SOLE 66870 NET SERVICOS DE COMUNICACAO SPONSD ADR NEW 64109T201 350 35800 SH SOLE 35800 NETEASE COM INC SPONSORED ADR 64110W102 612 17393 SH SOLE 17393 NOVARTIS A G SPONSORED ADR 66987V109 3957 97016 SH SOLE 97016 NOVEN PHARMACEUTICALS INC COM 670009109 350 24500 SH SOLE 24500 OTTER TAIL CORP COM 689648103 3612 165380 SH SOLE 165380 PALL CORP COM 696429307 4906 184699 SH SOLE 184699 PENN WEST ENERGY TR TR UNIT 707885109 314 24700 SH SOLE 24700 PEPSICO INC COM 713448108 227 4136 SH SOLE 4136 PETRO-CDA COM 71644E102 515 13400 SH SOLE 13400 PFIZER INC COM 717081103 507 33805 SH SOLE 33805 PHARMACEUTICAL PROD DEV INC COM 717124101 902 38850 SH SOLE 38850 POWERSHARES ETF TRUST GOLDEN DRG USX 73935X401 1506 70900 SH SOLE 70900 POWERSHARES ETF TRUST WNDRHLL CLN EN 73935X500 1173 116335 SH SOLE 116335 POWERSHARES ETF TRUST WATER RESOURCE 73935X575 1278 86845 SH SOLE 86845 PROCTER & GAMBLE CO COM 742718109 3182 62264 SH SOLE 62264 QLOGIC CORP COM 747277101 752 59300 SH SOLE 59300 QUEST DIAGNOSTICS INC COM 74834L100 659 11687 SH SOLE 11687 REGENERON PHARMACEUTICALS COM 75886F107 574 32037 SH SOLE 32037 ROPER INDS INC NEW COM 776696106 1928 42550 SH SOLE 42550 SPDR INDEX SHS FDS S & P CHINA ETF78463X400 1118 18400 SH SOLE 18400 SPDR SERIES TRUST BRCLYS INTL ETF78464A516 2473 45235 SH SOLE 45235 ST JUDE MED INC COM 790849103 840 20441 SH SOLE 20441 SCHLUMBERGER LTD COM 806857108 2554 47206 SH SOLE 47206 SIGMA ALDRICH CORP COM 826552101 2237 45133 SH SOLE 45133 SMITH A O COM 831865209 3001 92145 SH SOLE 92145 SONUS NETWORKS INC COM 835916107 25 15300 SH SOLE 15300 SPECTRA ENERGY CORP COM 847560109 954 56386 SH SOLE 56386 STERIS CORP COM 859152100 2452 94000 SH SOLE 94000 STRYKER CORP COM 863667101 676 17011 SH SOLE 17011 SUN HYDRAULICS CORP COM 866942105 1697 104931 SH SOLE 104931 SUNTECH PWR HLDGS CO LTD ADR 86800C104 402 22500 SH SOLE 22500 SWISS HELVETIA FD INC COM 870875101 2617 270675 SH SOLE 270675 SYNGENTA AG SPONSORED ADR 87160A100 2787 59900 SH SOLE 59900 TALISMAN ENERGY INC COM 87425E103 1012 70848 SH SOLE 70848 TELE NORTE LESTE PART S A SPON ADR PFD 879246106 1125 75650 SH SOLE 75650 TELEFONICA S A SPONSORED ADR 879382208 1880 27697 SH SOLE 27697 TELEFONOS DE MEXICO S A B SPONS ADR ORD L879403780 865 53364 SH SOLE 53364 TELMEX INTERNACIONAL SAB DE SPON ADR SR L 879690105 457 36100 SH SOLE 36100 TEXAS INSTRS INC COM 882508104 1607 75449 SH SOLE 75449 3M CO COM 88579Y101 3064 50983 SH SOLE 50983 TIME WARNER CABLE INC COM 88732J207 422 13336 SH SOLE 13336 TORTOISE ENERGY INFRASTRCTR C COM 89147L100 359 14110 SH SOLE 14110 UNITED TECHNOLGIES CORP COM 913017109 222 4270 SH SOLE 4270 VMWARE INC CL A COM 928563402 436 16000 SH SOLE 16000 WATTS WATER TECHNOLOGIES INC CL A 942749102 1553 72087 SH SOLE 72087 WYETH COM 983024100 1144 25200 SH SOLE 25200 ZIMMER HLDGS INC COM 98956P102 2302 54035 SH SOLE 54035 ZOLTEK COS INC COM 98975W104 789 81200 SH SOLE 81200
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