13F-HR filed by JOHN G ULLMAN & ASSOCIATES INC
JOHN G ULLMAN & ASSOCIATES INC filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-04, with 151 holding rows worth $491,077,000.
- Accession
- 0000919530-13-000021
- Filer
- CIK 919530
- Filed
- 2013-11-04
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 151 entries on the cover page, a total value of $491,077,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $491,077,000 with VALUE read as thousands by filing date, 13F file number 028-03893. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| Johnson & Johnson | 478160104 | COM | 319,096 | $27,662,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 225,200 | $19,376,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 1,316,986 | $19,215,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 242,165 | $15,668,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 302,264 | $13,989,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 146,824 | $12,973,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 332,458 | $12,594,000 | thousands by filing date | |
| PALL CORP | 696429307 | COM | 157,964 | $12,170,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 509,481 | $11,678,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 353,555 | $10,156,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 193,980 | $9,732,000 | thousands by filing date | |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 437,950 | $9,722,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 201,002 | $9,570,000 | thousands by filing date | |
| IDACORP INC | 451107106 | COM | 184,975 | $8,953,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 265,984 | $8,852,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 103,359 | $8,583,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 261,692 | $8,008,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 69,865 | $7,820,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 64,555 | $7,709,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 237,000 | $7,025,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 164,078 | $7,006,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 104,832 | $7,001,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 36,738 | $6,803,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 88,649 | $6,800,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 126,891 | $5,970,000 | thousands by filing date | |
| DRESSER-RAND GROUP INC | 261608103 | COM | 94,360 | $5,888,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 64,900 | $5,202,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 184,500 | $5,160,000 | thousands by filing date | |
| AZENTA INC | 114340102 | COM | 553,788 | $5,156,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 215,423 | $5,048,000 | thousands by filing date | |
| SIGMA ALDRICH CORP | 826552101 | COM | 55,175 | $4,706,000 | thousands by filing date | |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 332,025 | $4,433,000 | thousands by filing date | |
| MEDTRONIC INC | 585055106 | COM | 82,089 | $4,371,000 | thousands by filing date | |
| PORTLAND GEN ELEC CO | 736508847 | COM NEW | 151,385 | $4,274,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 85,950 | $3,973,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 224,400 | $3,889,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 51,057 | $3,859,000 | thousands by filing date | |
| LINDSAY CORPORATION | 535555106 | COM | 47,278 | $3,859,000 | thousands by filing date | |
| STERIS CORP | 859152100 | COMMON STOCK | 89,170 | $3,831,000 | thousands by filing date | |
| ZOLTEK COS INC | 98975W104 | COM | 225,901 | $3,770,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 40,450 | $3,727,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 57,535 | $3,590,000 | thousands by filing date | |
| DENTSPLY INTL INC | 249030107 | COM | 81,240 | $3,527,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 72,365 | $3,467,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 132,019 | $3,423,000 | thousands by filing date | |
| 38259p508 | COM | 3,862 | $3,383,000 | thousands by filing date | ||
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 101,350 | $3,306,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 315,770 | $3,265,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 28,985 | $3,025,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 43,427 | $2,801,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 49,085 | $2,770,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 5,774 | $2,753,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 77,700 | $2,681,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 78,525 | $2,598,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 68,900 | $2,538,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 143,164 | $2,510,000 | thousands by filing date | |
| LACLEDE GROUP INC/THE | 505597104 | COM | 54,700 | $2,462,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 34,360 | $2,231,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 42,766 | $2,211,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP | 587200106 | COM | 92,100 | $2,152,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 89,933 | $2,148,000 | thousands by filing date | |
| WATTS WATER TECHNOLOGIES INC CL A | 942749102 | Stock | 38,089 | $2,147,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461829 | EGS BRAZ INF ETF | 117,745 | $2,144,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 262,838 | $2,069,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 128,150 | $1,985,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 68,960 | $1,952,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 69,450 | $1,940,000 | thousands by filing date | |
| NEOGEN CORP | 640491106 | COM | 31,919 | $1,938,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 77,950 | $1,849,000 | thousands by filing date | |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 71,700 | $1,840,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 48,525 | $1,799,000 | thousands by filing date | |
| CALGON CARBON CORP | 129603106 | COM | 93,400 | $1,774,000 | thousands by filing date | |
| ST JUDE MED INC | 790849103 | COM | 31,199 | $1,674,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 20,428 | $1,661,000 | thousands by filing date | |
| TYCO INTERNATIONAL LTD | H89128104 | SHS | 47,161 | $1,650,000 | thousands by filing date | |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 77,750 | $1,645,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 40,600 | $1,636,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 32,348 | $1,628,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 56,100 | $1,608,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 72,917 | $1,602,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 18,935 | $1,555,000 | thousands by filing date | |
| E M C CORP MASS | 268648102 | COM | 60,720 | $1,552,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 98,450 | $1,537,000 | thousands by filing date | |
| OGE ENERGY CORP | 670837103 | COM | 42,300 | $1,527,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 118,900 | $1,451,000 | thousands by filing date | |
| TALISMAN ENERGY INC | 87425E103 | COM | 124,660 | $1,434,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 55,950 | $1,414,000 | thousands by filing date | |
| ASTEC INDS INC | 046224101 | COM | 39,250 | $1,411,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 31,820 | $1,398,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 56,893 | $1,381,000 | thousands by filing date | |
| ITRON INC COM | 465741106 | Stock | 31,900 | $1,366,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 20,795 | $1,366,000 | thousands by filing date | |
| COVIDIEN PLC | G2554F113 | SHS | 21,050 | $1,283,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 148,773 | $1,271,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 37,722 | $1,252,000 | thousands by filing date | |
| XYRATEX LTD | G98268108 | COM | 108,750 | $1,210,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 87,358 | $1,201,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678107 | COM | 18,905 | $1,201,000 | thousands by filing date | |
| THE ADT CORPORATION | 00101J106 | COM | 29,505 | $1,200,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 20,350 | $1,166,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 16,950 | $1,146,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461837 | EGS CHIN INF ETF | 60,675 | $1,072,000 | thousands by filing date | |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 23,750 | $1,067,000 | thousands by filing date | |
| ROPER TECHNOLOGIES INC COM | 776696106 | Stock | 7,759 | $1,031,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 69,300 | $1,027,000 | thousands by filing date | |
| CALAVO GROWERS INC | 128246105 | COM | 32,250 | $975,000 | thousands by filing date | |
| TETRA TECH INC NEW | 88162G103 | COM | 36,631 | $948,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 16,900 | $875,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 21,350 | $870,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 59,250 | $843,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 19,400 | $840,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 24,142 | $836,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 53,006 | $819,000 | thousands by filing date | |
| ENDO HEALTH SOLUTIONS INC | 29264F205 | COM | 17,740 | $806,000 | thousands by filing date | |
| SUN HYDRAULICS CORP | 866942105 | COM | 20,438 | $741,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 10,000 | $740,000 | thousands by filing date | |
| WUXI PHARMATECH CAYMAN INC | 929352102 | SPONS ADR SHS | 25,100 | $688,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 15,000 | $645,000 | thousands by filing date | |
| MKS INC. COM | 55306N104 | Stock | 23,850 | $634,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 56,750 | $632,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 21,066 | $629,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 17,095 | $612,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 12,500 | $602,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 7,478 | $595,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 32,550 | $590,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 7,300 | $587,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 1,565 | $490,000 | thousands by filing date | |
| MARKET VECTORS VIETNAM ETF | 57060U761 | CMN | 25,300 | $453,000 | thousands by filing date | |
| COVANCE INC | 222816100 | COM | 4,557 | $394,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 11,012 | $372,000 | thousands by filing date | |
| Pentair Inc | H6169Q108 | PNR | 5,483 | $356,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 13,250 | $331,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 6,331 | $295,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 6,407 | $294,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 11,367 | $294,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 20,000 | $279,000 | thousands by filing date | |
| ITT CORP | 450911201 | COM | 7,590 | $273,000 | thousands by filing date | |
| NET SERVICOS DE COMUNICACAO | 64109T201 | SPONSD ADR NEW | 21,350 | $263,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 3,767 | $262,000 | thousands by filing date | |
| VERISIGN INC COM | 92343E102 | Stock | 4,850 | $247,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 3,636 | $225,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 10,100 | $203,000 | thousands by filing date | |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 20,100 | $83,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 10,000 | $82,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 40,975 | $73,000 | thousands by filing date | |
| TELLABS INC | 879664100 | COM | 25,000 | $57,000 | thousands by filing date | |
| EQUAL ENERGY LTD | 29390Q109 | COM | 11,000 | $52,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 10,000 | $38,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916107 | COM | 10,000 | $34,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 16,800 | $34,000 | thousands by filing date | |
| EXIDE TECHNOLOGIES | 302051206 | COM NEW | 10,000 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000919530-13-000021 | this filing | 2013-11-04 | acceptance time not in the bulk data set |