13F-HR 1 jun0213f.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, 2002 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 05, 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: 108 Form 13F Information Table Value Total: $163,027,222 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 1848 40477 SH SOLE 40477 A D C TELECOMMUNICATIONS COM 000886101 588 256754 SH SOLE 256754 ABERDEEN ASIA PACIFIC INCOM COM 003009107 978 205025 SH SOLE 205025 ABERDEEN AUSTRALIA EQTY FD I COM 003011103 654 104875 SH SOLE 104875 ADAPTEC INC COM 00651F108 1676 212470 SH SOLE 212470 AMERICAN CAPITAL STRATEGIES COM 024937104 1915 69700 SH SOLE 69700 AMERICAN PWR CONVERSION CORP COM 029066107 1175 93050 SH SOLE 93050 AMERICAN SOFTWARE INC CL A 029683109 100 30550 SH SOLE 30550 AMGEN INC COM 031162100 5976 142686 SH SOLE 142686 ANALOG DEVICES INC COM 032654105 926 31175 SH SOLE 31175 APPLIED MATLS INC COM 038222105 4364 229440 SH SOLE 229440 BCE INC COM 05534B109 185 10600 SH SOLE 10600 BSB BANCORP COM 055652101 1836 68802 SH SOLE 68802 BANCROFT CONV FD INC COM 059695106 696 36136 SH SOLE 36136 BANKNORTH GROUP INC NEW COM 06646R107 2506 96299 SH SOLE 96299 BEA SYS INC COM 073325102 1397 146850 SH SOLE 146850 BECKMAN COULTER INC COM 075811109 257 5150 SH SOLE 5150 BECTON DICKINSON & CO COM 075887109 1771 51403 SH SOLE 51403 BELLSOUTH CORP COM 079860102 2272 72121 SH SOLE 72121 BIO TECHNOLOGY GEN CORP COM 090578105 358 59625 SH SOLE 59625 BLACKROCK INSD MUN 2008 TRM COM 09247K109 972 59650 SH SOLE 59650 BLACKROCK NORTH AMERN GV INC COM 092475102 607 56090 SH SOLE 56090 BOSTON SCIENTIFIC CORP COM 101137107 2722 92835 SH SOLE 92835 BRISTOL MYERS SQUIBB CO COM 110122108 2752 107063 SH SOLE 107063 BROOK-PRI AUTOMATION INC COM 11442E102 1473 57641 SH SOLE 57641 CHEVRONTEXACO CORP COM 166764100 428 4831 SH SOLE 4831 CHIRON CORP COM 170040109 3283 92877 SH SOLE 92877 CHUBB CORP COM 171232101 460 6494 SH SOLE 6494 CIENA CORP COM 171779101 163 38992 SH SOLE 38992 CISCO SYS INC COM 17275R102 1798 128907 SH SOLE 128907 COHESION TECHNOLOGIES INC COM 19248N101 22 10200 SH SOLE 10200 COMMUNITY BK SYS INC COM 203607106 1467 45480 SH SOLE 45480 CORNING INC COM 219350105 3533 995314 SH SOLE 995314 COVANCE INC COM 222816100 973 51884 SH SOLE 51884 DU PONT E I DE NEMOURS & CO COM 263534109 293 6606 SH SOLE 6606 E M C CORP MASS COM 268648102 592 78447 SH SOLE 78447 ELAN PLC ADR 284131208 539 98486 SH SOLE 98486 ELECTROGLAS INC COM 285324109 1404 140350 SH SOLE 140350 ELLSWORTH CONV GROWTH & INCO COM 289074106 765 92743 SH SOLE 92743 EMERSON ELEC CO COM 291011104 6478 121068 SH SOLE 121068 ENGELHARD CORP COM 292845104 2407 85000 SH SOLE 85000 EXXON MOBIL CORP COM 30231G102 1592 38902 SH SOLE 38902 GENENCOR INTL INC COM 368709101 893 91250 SH SOLE 91250 GENERAL ELEC CO COM 369604103 591 20345 SH SOLE 20345 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 425 9850 SH SOLE 9850 GRANITE CONSTR INC COM 387328107 2537 100293 SH SOLE 100293 HALLIBURTON CO COM 406216101 836 52460 SH SOLE 52460 HARDINGE INC COM 412324303 980 97310 SH SOLE 97310 HEINZ H J CO COM 423074103 2279 55446 SH SOLE 55446 HEWLETT PACKARD CO COM 428236103 1064 69624 SH SOLE 69624 HOST MARRIOTT CORP NEW COM 44107P104 128 11300 SH SOLE 11300 IDACORP INC COM 451107106 2897 104568 SH SOLE 104568 INTEL CORP COM 458140100 4253 232787 SH SOLE 232787 INTERNATIONAL BUSINESS MACHS COM 459200101 465 6459 SH SOLE 6459 INTERNATIONAL MULTIFOODS COR COM 460043102 516 19850 SH SOLE 19850 INTUIT COM 461202103 291 5850 SH SOLE 5850 IONICS INC COM 462218108 2891 119200 SH SOLE 119200 JOHNSON & JOHNSON COM 478160104 10086 192998 SH SOLE 192998 KLA-TENCOR CORP COM 482480100 611 13900 SH SOLE 13900 KIMBERLY CLARK CORP COM 494368103 1020 16457 SH SOLE 16457 LANDEC CORP COM 514766104 60 15900 SH SOLE 15900 LINDSAY MFG CO COM 535555106 3583 154775 SH SOLE 154775 MDU RES GROUP INC COM 552690109 2113 80371 SH SOLE 80371 ML MACADAMIA ORCHARDS L P DEP UNTI CL A 55307U107 674 188350 SH SOLE 188350 MEDTRONIC INC COM 585055106 542 12653 SH SOLE 12653 MERCK & CO INC COM 589331107 4160 82153 SH SOLE 82153 MEXICO FD INC COM 592835102 1727 105700 SH SOLE 105700 MICROSOFT CORP COM 594918104 453 8282 SH SOLE 8282 MONSANTO CO NEW COM 61166W101 241 13550 SH SOLE 13550 MOTOROLA INC COM 620076109 430 29452 SH SOLE 29452 NATIONAL CITY CORP COM 635405103 377 11325 SH SOLE 11325 NEW GERMANY FD INC COM 644465106 812 160799 SH SOLE 160799 NORTEL NETWORKS CORP NEW COM 656568102 17 11599 SH SOLE 11599 NORTHFIELD LABS INC COM 666135108 90 22425 SH SOLE 22425 NOVELLUS SYS INC COM 670008101 610 17950 SH SOLE 17950 ORACLE CORP COM 68389X105 871 91929 SH SOLE 91929 PALL CORP COM 696429307 5614 270557 SH SOLE 270557 PENN ENGR & MFG CORP CL A 707389102 2142 129450 SH SOLE 129450 PENN ENGR & MFG CORP COM NON VTG 707389300 452 25930 SH SOLE 25930 PERKINELMER INC COM 714046109 1179 106655 SH SOLE 106655 PFIZER INC COM 717081103 2778 79385 SH SOLE 79385 PHARMACIA CORP COM 71713U102 2211 59039 SH SOLE 59039 PROCTER & GAMBLE CO COM 742718109 2934 32856 SH SOLE 32856 QUEST DIAGNOSTICS INC COM 74834L100 1854 21542 SH SOLE 21542 QUINTILES TRANSNATIONAL CORP COM 748767100 125 10000 SH SOLE 10000 QUIXOTE CORP COM 749056107 1585 93500 SH SOLE 93500 REGENERON PHARMACEUTICALS COM 75886F107 1109 76400 SH SOLE 76400 SBC COMMUNICATIONS INC COM 78387G103 994 32592 SH SOLE 32592 ST JUDE MED INC COM 790849103 1110 15025 SH SOLE 15025 SCHERING PLOUGH CORP COM 806605101 677 27531 SH SOLE 27531 SCHLUMBERGER LTD COM 806857108 1590 34195 SH SOLE 34195 SCUDDER NEW ASIA FD INC COM 811183102 154 16700 SH SOLE 16700 SIGMA ALDRICH CORP COM 826552101 995 19850 SH SOLE 19850 SS&C TECHNOLOGIES INC COM 85227Q100 482 34375 SH SOLE 34375 STERIS CORP COM 859152100 782 40895 SH SOLE 40895 SUN MICROSYSTEMS INC COM 866810104 473 94343 SH SOLE 94343 SWISS HELVETIA FD INC COM 870875101 1677 146451 SH SOLE 146451 TCSI CORP COM 87233R106 6 11500 SH SOLE 11500 TECO ENERGY INC COM 872375100 502 20285 SH SOLE 20285 T / R SYS INC COM 87263U102 47 39900 SH SOLE 39900 TEMPLETON CHINA WORLD FD INC COM 88018X102 2009 207100 SH SOLE 207100 THERMO ELECTRON CORP COM 883556102 177 10725 SH SOLE 10725 THOMAS INDS INC COM 884425109 491 17050 SH SOLE 17050 3M CO COM 88579Y101 3478 28275 SH SOLE 28275 TYCO INTL LTD NEW COM 902124106 1056 78154 SH SOLE 78154 UNITED PARCEL SERVICE INC CL B 911312106 835 13525 SH SOLE 13525 VERITAS SOFTWARE CO COM 923436109 1320 66721 SH SOLE 66721 WACHOVIA CORP 2ND NEW COM 929903102 265 6930 SH SOLE 6930