0000919530-14-000008.txt : 20140507 0000919530-14-000008.hdr.sgml : 20140507 20140507100311 ACCESSION NUMBER: 0000919530-14-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140331 FILED AS OF DATE: 20140507 DATE AS OF CHANGE: 20140507 EFFECTIVENESS DATE: 20140507 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: 14819205 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 false false 0000919530 XXXXXXXX 03-31-2014 03-31-2014 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 PRESIDENT 607-936-3785 /s/John G. Ullman Corning NY 04-30-2014 0 147 539890 false
INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE THE ADT CORPORATIONCOM00101J106243181162SHSOLE 00811623M COCOM88579Y101843562175SHSOLE 0062175ABBOTT LABSCOM002824100195450747SHSOLE 0050747ABERDEEN AUSTRALIA EQTY FD ICOM0030111031901210471SHSOLE 00210471ADVANCED MICRO DEVICES INCCOM0079031074010000SHSOLE 0010000AEGION CORPCOM00770F104198678450SHSOLE 0078450ALLEGION PUB LTD COORD SHSG0176J1093857387SHSOLE 007387AMERICAN CAP LTDCOM02503Y103126680158SHSOLE 0080158AMERICAN SOFTWARE INCCL A0296831091505147973SHSOLE 00147973AMGEN INCCOM031162100808165522SHSOLE 0065522ANALOG DEVICES INCCOM0326541056152115766SHSOLE 00115766APPLE INCCOM03783310030255635SHSOLE 005635APPLIED MATLS INCCOM0382221053957193830SHSOLE 00193830ARCH COAL INCCOM0393801005511500SHSOLE 0011500ARGAN INCCOM04010E109198966917SHSOLE 0066917AT&T INCCOM00206R10237410662SHSOLE 0010662AVALON RARE METALS INCCOM0534701001218750SHSOLE 0018750BANK N S HALIFAXCOM064149107105318150SHSOLE 0018150BAXTER INTL INCCOM071813109141019161SHSOLE 0019161BCE INCCOM NEW05534B7608130188449SHSOLE 00188449BRISTOL MYERS SQUIBB COCOM11012210812081232552SHSOLE 00232552BROOKS AUTOMATION INCCOM1143401026374583188SHSOLE 00583188CALAVO GROWERS INCCOM128246105103329030SHSOLE 0029030CALGON CARBON CORPCOM129603106198290800SHSOLE 0090800CENOVUS ENERGY INCCOM15135U10958420166SHSOLE 0020166CHEMUNG FINL CORPCOM16402410161422642SHSOLE 0022642CHESAPEAKE ENERGY CORPCOM16516710727310667SHSOLE 0010667CHINA MOBILE LIMITEDSPONSORED ADR16941M109273159900SHSOLE 0059900CIENA CORPCOM NEW17177930924010550SHSOLE 0010550CISCO SYS INCCOM17275R1027113317320SHSOLE 00317320CLAYMORE EXCHANGE TRD FD TRGUGG S&P GBL WTR18383Q507196567720SHSOLE 0067720CLAYMORE EXCHANGE-TRD FD TRGUGG CHINA ALLCP18385P1013045121269SHSOLE 00121269COCA COLA COCOM19121610014404372591SHSOLE 00372591COMMUNITY BK SYS INCCOM2036071062295864SHSOLE 005864COMPANHIA PARANAENSE ENERG CSPON ADR PFD20441B407122893700SHSOLE 0093700CONOCOPHILLIPSCOM20825C1042653767SHSOLE 003767CORNING INCCOM219350105246861185702SHSOLE 001185702COVANCE INCCOM2228161004764580SHSOLE 004580COVIDIEN PLCSHSG2554F113141119150SHSOLE 0019150CUBIST PHARMACEUTICALS INCCOM229678107110315075SHSOLE 0015075DENTSPLY INTL INC NEWCOM249030107337373270SHSOLE 0073270DIAMOND OFFSHORE DRILLING INCOM25271C102261453600SHSOLE 0053600DISNEY WALT COCOM DISNEY254687106309738677SHSOLE 0038677DOLBY LABORATORIES INCCOM25659T107317871420SHSOLE 0071420DRESSER-RAND GROUP INCCOM2616081036932118685SHSOLE 00118685DUKE ENERGY CORP NEWCOM NEW26441C204580381473SHSOLE 0081473E M C CORP MASSCOM268648102256393520SHSOLE 0093520EGA EMERGING GLOBAL SHS TREGS BRAZ INF ETF268461829150893115SHSOLE 0093115EGA EMERGING GLOBAL SHS TREGS CHIN INF ETF26846183782049450SHSOLE 0049450ELMIRA SVGS BK ELMIRA N YCOM289660102147860363SHSOLE 0060363EMCOR GROUP INCCOM29084Q100143230600SHSOLE 0030600EMERSON ELEC COCOM29101110417214257695SHSOLE 00257695ENCANA CORPCOM2925051044328202450SHSOLE 00202450EQUAL ENERGY LTDCOM29390Q1095011000SHSOLE 0011000EXELON CORPCOM30161N1017110211850SHSOLE 00211850EXXON MOBIL CORPCOM30231G10222693232316SHSOLE 00232316FLOWSERVE CORPCOM34354P105405351735SHSOLE 0051735FREEPORT-MCMORAN COPPER & GOCOM35671D857308093125SHSOLE 0093125GENERAL ELECTRIC COCOM3696041034622178542SHSOLE 00178542GLAXOSMITHKLINE PLCSPONSORED ADR37733W10510505196611SHSOLE 00196611GOOGLE INCCL A38259P50822982062SHSOLE 002062GRANITE CONSTR INCCOM38732810710449261692SHSOLE 00261692GREAT PLAINS ENERGY INCCOM39116410010642393580SHSOLE 00393580GSV CAP CORPCOM36191J10160960100SHSOLE 0060100HALLIBURTON COCOM40621610170712000SHSOLE 0012000HARDINGE INCCOM41232430389362006SHSOLE 0062006HOLOGIC INCCOM436440101145667700SHSOLE 0067700HONEYWELL INTL INCCOM438516106884795378SHSOLE 0095378IDACORP INCCOM4511071067664138165SHSOLE 00138165INGERSOLL-RAND PLCSHSG47791101247043150SHSOLE 0043150INTEL CORPCOM45814010013449520992SHSOLE 00520992INTERNATIONAL BUSINESS MACHSCOM4592001011167060628SHSOLE 0060628IPASS INCCOM46261V1082816800SHSOLE 0016800ISHARESALL PERU CAP ETF464289842205363560SHSOLE 0063560ISHARESCHINA LG-CAP ETF464287184149341730SHSOLE 0041730ISHARESCHINA SM-CAP ETF46429B20086018600SHSOLE 0018600ISHARESMSCI AUST ETF464286103222285900SHSOLE 0085900ISHARESMSCI BRZ CAP ETF464286400224949935SHSOLE 0049935ISHARESMSCI CDA ETF464286509197666860SHSOLE 0066860ISHARESMSCI EMG MKT ETF464287234346984600SHSOLE 0084600ISHARESMSCI SINGAP ETF4642866735175396235SHSOLE 00396235ITRON INCCOM465741106317789400SHSOLE 0089400ITT CORP NEWCOM NEW4509112012836615SHSOLE 006615JDS UNIPHASE CORPCOM PAR $0.00146612J50717512500SHSOLE 0012500JOHNSON & JOHNSONCOM47816010430949315063SHSOLE 00315063JPMORGAN CHASE & COCOM46625H100233938526SHSOLE 0038526LACLEDE GROUP INCCOM505597104244251800SHSOLE 0051800LANDEC CORPCOM5147661042178195150SHSOLE 00195150LILLY ELI & COCOM532457108413770288SHSOLE 0070288LINDSAY CORPCOM535555106673076318SHSOLE 0076318LUXFER HLDGS PLCSPONSORED ADR5506781062068105600SHSOLE 00105600MARKET VECTORS ETF TRVIETNAM ETF57060U76160928100SHSOLE 0028100MDU RES GROUP INCCOM5526901095944173250SHSOLE 00173250MEDTRONIC INCCOM585055106474477089SHSOLE 0077089MENTOR GRAPHICS CORPCOM587200106216298200SHSOLE 0098200MERCK & CO INC NEWCOM58933Y10512149214009SHSOLE 00214009MICROSOFT CORPCOM59491810410270250549SHSOLE 00250549MKS INSTRUMENT INCCOM55306N10465621950SHSOLE 0021950MONSANTO CO NEWCOM61166W101243321385SHSOLE 0021385MOSAIC CO NEWCOM61945C10372014400SHSOLE 0014400NEOGEN CORPCOM640491106212747323SHSOLE 0047323NET SERVICOS DE COMUNICACAOSPONSD ADR NEW64109T20112615200SHSOLE 0015200NEXTERA ENERGY INCCOM65339F101587861475SHSOLE 0061475NORTHWESTERN CORPCOM NEW668074305111223450SHSOLE 0023450NOVARTIS A GSPONSORED ADR66987V109694981739SHSOLE 0081739OCLARO INCCOM NEW67555N20611536975SHSOLE 0036975OGE ENERGY CORPCOM670837103262871500SHSOLE 0071500OTTER TAIL CORPCOM6896481032598400SHSOLE 008400PALL CORPCOM69642930713090146301SHSOLE 00146301PENN WEST PETE LTD NEWCOM70788710567180305SHSOLE 0080305PEPSICO INCCOM71344810897311653SHSOLE 0011653PETROLEO BRASILEIRO SA PETROSPONSORED ADR71654V4081842140050SHSOLE 00140050PFIZER INCCOM71708110311654362830SHSOLE 00362830PORTLAND GEN ELEC COCOM NEW7365088474747146785SHSOLE 00146785POWERSHARES ETF TRUSTWNDRHLL CLN EN73935X5007110000SHSOLE 0010000PROCTER & GAMBLE COCOM742718109382047397SHSOLE 0047397QUEST DIAGNOSTICS INCCOM74834L1002434200SHSOLE 004200REGENERON PHARMACEUTICALSCOM75886F1073801265SHSOLE 001265ROPER INDS INC NEWCOM7766961069427059SHSOLE 007059SCHLUMBERGER LTDCOM80685710812775131023SHSOLE 00131023SIGMA ALDRICH CORPCOM826552101470950425SHSOLE 0050425SPDR INDEX SHS FDSS&P CHINA ETF78463X4006699200SHSOLE 009200ST JUDE MED INCCOM790849103191329249SHSOLE 0029249STERIS CORPCOM859152100399483650SHSOLE 0083650STRYKER CORPCOM863667101130315990SHSOLE 0015990SUNCOR ENERGY INC NEWCOM86722410745412992SHSOLE 0012992SUPERVALU INCCOM8685361036810000SHSOLE 0010000SWISS HELVETIA FD INCCOM87087510177754000SHSOLE 0054000SYNGENTA AGSPONSORED ADR87160A100145119144SHSOLE 0019144TALISMAN ENERGY INCCOM87425E1031085108760SHSOLE 00108760TE CONNECTIVITY LTDREG SHSH8498910489114800SHSOLE 0014800TETRA TECH INC NEWCOM88162G10397632981SHSOLE 0032981THERMO FISHER SCIENTIFIC INCCOM883556102456337950SHSOLE 0037950TOMPKINS FINANCIAL CORPORATICOM890110109400781850SHSOLE 0081850TORTOISE ENERGY INFRSTRCTR CCOM89147L1002345107SHSOLE 005107TRANSCANADA CORPCOM89353D107156734420SHSOLE 0034420TYCO INTERNATIONAL LTDSHSH89128104253659811SHSOLE 0059811VALE S AADR91912E1051954141275SHSOLE 00141275VANGUARD BD INDEX FD INCSHORT TRM BOND9219378276077580SHSOLE 007580VERISIGN INCCOM92343E1022324300SHSOLE 004300VERIZON COMMUNICATIONS INCCOM92343V1042525294SHSOLE 005294WATTS WATER TECHNOLOGIES INCCL A942749102214036464SHSOLE 0036464WELLS FARGO & CO NEWCOM9497461012144306SHSOLE 004306WUXI PHARMATECH CAYMAN INCSPONS ADR SHS9293521023298922SHSOLE 008922XEROX CORPCOM9841211031211107200SHSOLE 00107200XYLEM INCCOM98419M100242766650SHSOLE 0066650ZIMMER HLDGS INCCOM98956P102165017449SHSOLE 0017449