13F-HR 1 dec0113f.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: December 31, 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 February 07, 2002 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: 101 Form 13F Information Table Value Total: $186,285,118 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 905 196780 SH SOLE 196780 ABERDEEN ASIA PACIFIC INCOM FD COM 003009107 982 255708 SH SOLE 255708 ABERDEEN AUSTRALIA EQTY FD INC COM 003011103 277 50375 SH SOLE 50375 ADAPTEC INC COM 00651F108 2554 176116 SH SOLE 176116 AMERICAN CAPITAL STRATEGIES COM 024937104 2089 73700 SH SOLE 73700 AMERICAN PWR CONVERSION CORP COM 029066107 645 44575 SH SOLE 44575 AMERICAN SOFTWARE INC CL A 029683109 106 45550 SH SOLE 45550 AMGEN INC COM 031162100 7309 129506 SH SOLE 129506 ANALOG DEVICES INC COM 032654105 1503 33852 SH SOLE 33852 APPLIED MATLS INC COM 038222105 5429 135375 SH SOLE 135375 BCE INC COM 05534B109 1232 54044 SH SOLE 54044 BSB BANCORP COM 055652101 2531 106745 SH SOLE 106745 BANCROFT CONV FD INC COM 059695106 1182 58525 SH SOLE 58525 BANKNORTH GROUP INC NEW COM 06646R107 2733 121371 SH SOLE 121371 BEA SYS INC COM 073325102 1491 96850 SH SOLE 96850 BELLSOUTH CORP COM 079860102 2082 54571 SH SOLE 54571 BIO TECHNOLOGY GEN CORP COM 090578105 608 73825 SH SOLE 73825 BLACKROCK INSD MUN 2008 TRM TR COM 09247K109 1004 63950 SH SOLE 63950 BLACKROCK NORTH AMERN GV INCME COM 092475102 614 61915 SH SOLE 61915 BOSTON SCIENTIFIC CORP COM 101137107 2898 120160 SH SOLE 120160 BRISTOL MYERS SQUIBB CO COM 110122108 5151 100994 SH SOLE 100994 BROOKS AUTOMATION INC COM 11434A100 2800 68841 SH SOLE 68841 CHEVRONTEXACO CORP COM 166764100 452 5046 SH SOLE 5046 CHIRON CORP COM 170040109 4224 96352 SH SOLE 96352 CHUBB CORP COM 171232101 455 6600 SH SOLE 6600 CIENA CORP COM 171779101 433 30292 SH SOLE 30292 CISCO SYS INC COM 17275R102 1256 69368 SH SOLE 69368 COHESION TECHNOLOGIES INC COM 19248N101 156 31350 SH SOLE 31350 COMMUNITY BK SYS INC COM 203607106 1454 55480 SH SOLE 55480 CORNING INC COM 219350105 5589 626526 SH SOLE 626526 COVANCE INC COM 222816100 1571 69194 SH SOLE 69194 DUPONT E I DE NEMOURS & CO COM 263534109 440 10357 SH SOLE 10357 EASTMAN KODAK CO COM 277461109 290 9854 SH SOLE 9854 ELAN PLC ADR 284131208 4618 102495 SH SOLE 102495 ELECTROGLAS INC COM 285324109 2119 143450 SH SOLE 143450 ELLSWORTH CONV GROWTH & INCOM COM 289074106 1365 157826 SH SOLE 157826 EMERSON ELEC CO COM 291011104 7172 125611 SH SOLE 125611 ENGELHARD CORP COM 292845104 2802 101232 SH SOLE 101232 EXXON MOBIL CORP COM 30231G102 1458 37091 SH SOLE 37091 FREEMARKETS INC COM 356602102 247 10304 SH SOLE 10304 GENENCOR INTL INC COM 368709101 1078 67550 SH SOLE 67550 GENERAL ELEC CO COM 369604103 771 19226 SH SOLE 19226 GRANITE CONSTR INC COM 387328107 1876 77898 SH SOLE 77898 HALLIBURTON CO COM 406216101 912 69640 SH SOLE 69640 HARDINGE INC COM 412324303 1213 127025 SH SOLE 127025 HEWLETT PACKARD CO COM 428236103 798 38865 SH SOLE 38865 HOST MARRIOTT CORP NEW COM 44107P104 111 12300 SH SOLE 12300 IDACORP INC COM 451107106 4410 108623 SH SOLE 108623 INDIA FD INC COM 454089103 292 30700 SH SOLE 30700 INDIA GROWTH FD INC COM 454090101 117 14700 SH SOLE 14700 INGERSOLL-RAND CO COM 456866102 2572 61526 SH SOLE 61526 INTEL CORP COM 458140100 7296 231997 SH SOLE 231997 INTERNATIONAL BUSINESS MACHS COM 459200101 677 5594 SH SOLE 5594 INTUIT COM 461202103 421 9850 SH SOLE 9850 IONICS INC COM 462218108 4107 136750 SH SOLE 136750 JOHNSON & JOHNSON COM 478160104 12969 219449 SH SOLE 219449 KLA-TENCOR CORP COM 482480100 902 18200 SH SOLE 18200 KEANE INC COM 486665102 252 14000 SH SOLE 14000 LANDEC CORP COM 514766104 109 29150 SH SOLE 29150 LINDSAY MFG CO COM 535555106 2966 153275 SH SOLE 153275 ML MACADAMIA ORCHARDS L P DEP UNTI CL A 55307U107 593 188350 SH SOLE 188350 MEDFORD BANCORP INC COM 584131106 844 39875 SH SOLE 39875 MERCK & CO INC COM 589331107 3308 56257 SH SOLE 56257 MEXICO FD INC COM 592835102 2648 161244 SH SOLE 161244 MICROSOFT CORP COM 594918104 457 6900 SH SOLE 6900 MINNESOTA MNG & MFG CO COM 604059105 3656 30930 SH SOLE 30930 MOTOROLA INC COM 620076109 737 49099 SH SOLE 49099 NATIONAL CITY CORP COM 635405103 639 21850 SH SOLE 21850 NEW GERMANY FD INC COM 644465106 81 13799 SH SOLE 13799 NORTEL NETWORKS CORP NEW COM 656568102 133 17809 SH SOLE 17809 NORTHFIELD LABS INC COM 666135108 248 28925 SH SOLE 28925 NOVELLUS SYS INC COM 670008101 788 19975 SH SOLE 19975 ORACLE CORP COM 68389X105 600 43475 SH SOLE 43475 PALL CORP COM 696429307 5946 247115 SH SOLE 247115 PENN ENGR & MFG CORP CL A 707389102 1943 117002 SH SOLE 117002 PENN ENGR & MFG CORP COM NON VTG 707389300 262 15630 SH SOLE 15630 PFIZER INC COM 717081103 2027 50871 SH SOLE 50871 PHARMACIA CORP COM 71713U102 2244 52608 SH SOLE 52608 PROCTER & GAMBLE CO COM 742718109 3258 41175 SH SOLE 41175 QUEST DIAGNOSTICS INC COM 74834L100 2125 29635 SH SOLE 29635 QUINTILES TRANSNATIONAL CORP COM 748767100 196 12200 SH SOLE 12200 QWEST COMMUNICATIONS INTL INC COM 749121109 209 14788 SH SOLE 14788 REGENERON PHARMACEUTICALS COM 75886F107 1701 60400 SH SOLE 60400 SBC COMMUNICATIONS INC COM 78387G103 412 10523 SH SOLE 10523 ST JUDE MED INC COM 790849103 1431 18435 SH SOLE 18435 SCHLUMBERGER LTD COM 806857108 1919 34925 SH SOLE 34925 SCUDDER NEW ASIA FD INC COM 811183102 222 26300 SH SOLE 26300 SS&C TECHNOLOGIES INC COM 85227Q100 345 48925 SH SOLE 48925 STERIS CORP COM 859152100 989 54143 SH SOLE 54143 SUN MICROSYSTEMS INC COM 866810104 1116 90695 SH SOLE 90695 SWISS HELVETIA FD INC COM 870875101 1489 135325 SH SOLE 135325 TCSI CORP COM 87233R106 9 11500 SH SOLE 11500 TECO ENERGY INC COM 872375100 531 20235 SH SOLE 20235 T / R SYS INC COM 87263U102 76 24400 SH SOLE 24400 TEMPLETON CHINA WORLD FD INC COM 88018X102 1492 189800 SH SOLE 189800 THERMO ELECTRON CORP COM 883556102 375 15725 SH SOLE 15725 THOMAS INDS INC COM 884425109 549 21950 SH SOLE 21950 TYCO INTL LTD NEW COM 902124106 4769 80969 SH SOLE 80969 UNITED PARCEL SERVICE INC CL B 911312106 706 12950 SH SOLE 12950 VERITAS SOFTWARE CO COM 923436109 2568 57289 SH SOLE 57289 WACHOVIA CORP 2ND NEW COM 929903102 264 8424 SH SOLE 8424