13F-HR 1 jun060113f.txt 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, 2001 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 August 06, 2001 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: 111 Form 13F Information Table Value Total: $214,836,165 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 ---------------------------- ------------- --------- --------- ------- --- ---- ------- --------- ----- ------- ------- A D C TELECOMMUNICATIONS COM 000886101 2659 402889 SH SOLE 402889 AT&T CORP COM 001957109 247 11230 SH SOLE 11230 ABERDEEN ASIA PACIFIC INCOM FD COM 003009107 1172 285183 SH SOLE 285183 ABERDEEN AUSTRALIA EQTY FD INC COM 003011103 526 85875 SH SOLE 85875 ADAPTEC INC COM 00651F108 1996 200824 SH SOLE 200824 ADVANCED LTG TECHNOLOGIES COM 00753C102 98 22300 SH SOLE 22300 AMERICAN CAPITAL STRATEGIES COM 024937104 1902 67800 SH SOLE 67800 AMERICAN HOME PRODS CORP COM 026609107 209 3550 SH SOLE 3550 AMERICAN PWR CONVERSION CORP COM 029066107 966 61325 SH SOLE 61325 AMERICAN SOFTWARE INC CL A 029683109 191 112600 SH SOLE 112600 AMGEN INC COM 031162100 6455 106379 SH SOLE 106379 ANALOG DEVICES INC COM 032654105 1410 32595 SH SOLE 32595 APPLIED MATLS INC COM 038222105 4136 84231 SH SOLE 84231 BCE INC COM 05534B109 3231 122869 SH SOLE 122869 BSB BANCORP COM 055652101 3129 135730 SH SOLE 135730 BANCROFT CONV FD INC COM 059695106 2780 130839 SH SOLE 130839 BANKNORTH GROUP INC NEW COM 06646R107 3682 162575 SH SOLE 162575 BELLSOUTH CORP COM 079860102 2791 69307 SH SOLE 69307 BIO TECHNOLOGY GEN CORP COM 090578105 2035 155375 SH SOLE 155375 BLACKROCK INSD MUN 2008 TRM TR COM 09247K109 1020 65375 SH SOLE 65375 BLACKROCK NORTH AMERN GV INCM COM 092475102 854 83590 SH SOLE 83590 BOSTON SCIENTIFIC CORP COM 101137107 1979 116395 SH SOLE 116395 BRISTOL MYERS SQUIBB CO COM 110122108 5343 102153 SH SOLE 102153 BROOKS AUTOMATION INC COM 11434A100 3295 71466 SH SOLE 71466 CHIRON CORP COM 170040109 5421 106295 SH SOLE 106295 CHUBB CORP COM 171232101 1422 18365 SH SOLE 18365 CISCO SYSTEMS COM 17275R102 287 15775 SH SOLE 15775 COHESION TECHNOLOGIES COM 19248N101 582 109850 SH SOLE 109850 COMMUNITY BANK SYS INC COM 203607106 2007 71684 SH SOLE 71684 CORNING INC COM 219350105 6349 379931 SH SOLE 379931 COVANCE INC COM 222816100 2682 118431 SH SOLE 118431 DUPONT E I DE NEMOURS & CO COM 263534109 1292 26785 SH SOLE 26785 EASTMAN KODAK CO COM 277461109 1587 34003 SH SOLE 34003 ELAN PLC ADR 284131208 6994 114653 SH SOLE 114653 ELECTROGLAS INC COM 285324109 2948 166550 SH SOLE 166550 ELLSWORTH CONV GROWTH & INCOME COM 289074106 2618 297817 SH SOLE 297817 EMERSON ELEC CO COM 291011104 7266 120096 SH SOLE 120096 ENGELHARD CORP COM 292845104 3145 121934 SH SOLE 121934 ENRON CORP COM 293561106 1654 33687 SH SOLE 33687 EXXON MOBIL CORP COM 30231G102 1390 15914 SH SOLE 15914 FIRST UN CORP COM 337358105 246 7029 SH SOLE 7029 GENERAL ELEC CO COM 369604103 732 14935 SH SOLE 14935 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 1503 26740 SH SOLE 26740 GRANITE CONSTR INC COM 387328107 2390 94027 SH SOLE 94027 HALLIBURTON CO COM 406216101 1869 52488 SH SOLE 52488 HARDINGE INC COM 412324303 1221 84300 SH SOLE 84300 HEWLETT PACKARD CO COM 428236103 3387 118415 SH SOLE 118415 HOST MARRIOTT CORP NEW COM 44107P104 229 18300 SH SOLE 18300 IDACORP INC COM 451107106 3870 110953 SH SOLE 110953 IMATRON INC COM 452906100 36 18100 SH SOLE 18100 INDIA FD INC COM 454089103 572 55250 SH SOLE 55250 INDIA GROWTH FD INC COM 454090101 173 20778 SH SOLE 20778 INGERSOLL-RAND CO COM 456866102 2672 64856 SH SOLE 64856 INTEL CORP COM 458140100 6087 208093 SH SOLE 208093 INTERNATIONAL BUSINESS MACHS COM 459200101 450 3967 SH SOLE 3967 INTUIT COM 461202103 1008 25200 SH SOLE 25200 IONICS INC COM 462218108 4424 140450 SH SOLE 140450 JOHNSON & JOHNSON COM 478160104 13100 262212 SH SOLE 262212 KLA-TENCOR CORP COM 482480100 1130 19325 SH SOLE 19325 KEANE INC COM 486665102 1120 50930 SH SOLE 50930 KEMET CORP COM 488360108 1960 97500 SH SOLE 97500 LANDEC CORP COM 514766104 216 55300 SH SOLE 55300 LEVEL 3 COMMUNICATIONS INC COM 52729N100 63 11420 SH SOLE 11420 LINDSAY MFG CO COM 535555106 2850 149975 SH SOLE 149975 LUCENT TECHNOLOGIES INC COM 549463107 897 144504 SH SOLE 144504 ML MACADAMIA ORCHARDS L P DEP UNTI CL A 55307U107 581 176150 SH SOLE 176150 MEDFORD BANCORP INC COM 584131106 1033 50525 SH SOLE 50525 MERCK & CO INC COM 589331107 2352 36799 SH SOLE 36799 MEXICO FD INC COM 592835102 2755 142165 SH SOLE 142165 MICROSOFT CORP COM 594918104 499 6840 SH SOLE 6840 MINNESOTA MNG & MFG CO COM 604059105 3575 31330 SH SOLE 31330 MOTOROLA INC COM 620076109 2721 164319 SH SOLE 164319 NATIONAL CITY CORP COM 635405103 812 26380 SH SOLE 26380 NEW GERMANY FD INC COM 644465106 256 36348 SH SOLE 36348 NORTEL NETWORKS CORP NEW COM 656568102 211 23393 SH SOLE 23393 NORTHFIELD LABS INC COM 666135108 518 31625 SH SOLE 31625 NOVELLUS SYS INC COM 670008101 1367 24075 SH SOLE 24075 ORACLE CORP COM 68389X105 1095 57645 SH SOLE 57645 PALL CORP COM 696429307 5439 231172 SH SOLE 231172 PENN ENGR & MFG CORP CL A 707389102 1982 111972 SH SOLE 111972 PENN ENGR & MFG CORP COM NON VTG 707389300 275 15730 SH SOLE 15730 PFIZER INC COM 717081103 1363 34027 SH SOLE 34027 PHARMACIA CORP COM 71713U102 1673 36415 SH SOLE 36415 PROCTER & GAMBLE CO COM 742718109 2767 43375 SH SOLE 43375 QUEST DIAGNOSTICS INC COM 74834L100 2926 39092 SH SOLE 39092 QUINTILES TRANSNATIONAL CORP COM 748767100 422 16725 SH SOLE 16725 QWEST COMMUNICATIONS INTL INC COM 749121109 1018 31952 SH SOLE 31952 REGENERON PHARMACEUTICALS COM 75886F107 1625 46900 SH SOLE 46900 ROXIO INC COM 780008108 262 20163 SH SOLE 20163 SBC COMMUNICATIONS INC COM 78387G103 731 18247 SH SOLE 18247 ST JUDE MED INC COM 790849103 1567 26110 SH SOLE 26110 SCHLUMBERGER LTD COM 806857108 450 8550 SH SOLE 8550 SCUDDER NEW ASIA FD INC COM 811183102 464 50700 SH SOLE 50700 SPECTRA-PHYSICS LASERS INC COM 847568102 1796 77614 SH SOLE 77614 SS&C TECHNOLOGIES INC COM 85227Q100 329 53075 SH SOLE 53075 STATE STR C0RP COM 857477103 272 5500 SH SOLE 5500 STERIS CORP COM 859152100 1346 67111 SH SOLE 67111 SUN MICROSYSTEMS INC COM 866810104 1903 121069 SH SOLE 121069 SUNOCO INC COM 86764P109 231 6300 SH SOLE 6300 SWISS HELVETIA FD INC COM 870875101 1216 104583 SH SOLE 104583 TCSI CORP COM 87233R106 13 11500 SH SOLE 11500 TECO ENERGY INC COM 872375100 788 25835 SH SOLE 25835 TEMPLETON CHINA WORLD FD INC COM 88018X102 1160 123300 SH SOLE 123300 TEXACO INC COM 881694103 464 6966 SH SOLE 6966 THOMAS & BETTS CORP COM 884315102 750 34004 SH SOLE 34004 THOMAS INDS INC COM 884425109 835 28300 SH SOLE 28300 TYCO INTL LTD NEW COM 902124106 3525 64673 SH SOLE 64673 UNITED PARCEL SERVICE INC CL B 911312106 277 4800 SH SOLE 4800 WEST PHARMACEUTICAL SVSC INC COM 955306105 404 14945 SH SOLE 14945 XEROX CORP COM 984121103 264 27545 SH SOLE 27545 ZOLTEK COS INC COM 98975W104 218 49150 SH SOLE 49150