13F-HR filed by JOHN G ULLMAN & ASSOCIATES INC
JOHN G ULLMAN & ASSOCIATES INC filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-02, with 129 holding rows worth $550,039,000.
- Accession
- 0000919530-18-000015
- Filer
- CIK 919530
- Filed
- 2018-11-02
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 129 entries on the cover page, a total value of $550,039,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $550,035,000 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 |
|---|---|---|---|---|---|---|
| EXXON MOBIL CORP | 30231G102 | COM | 406,019 | $34,519,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EMERSON ELEC CO COM | 291011104 | Stock | 423,441 | $32,427,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CORNING INC | 219350105 | COM | 667,590 | $23,565,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Pfizer Inc. | 717081103 | COM | 448,845 | $19,781,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Merck & Co.,Inc. | 58933Y105 | COM | 250,463 | $17,768,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Schlumberger Limited | 806857108 | COM | 284,928 | $17,358,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Intel Corp | 458140100 | COM | 318,278 | $15,051,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 162,508 | $14,002,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Johnson & Johnson | 478160104 | COM | 100,597 | $13,899,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Abbott Laboratories | 002824100 | COM | 179,214 | $13,147,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| International Business Machines Corporation | 459200101 | COM | 84,640 | $12,798,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GRANITE CONSTR INC COM | 387328107 | Stock | 267,009 | $12,202,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LINDSAY CORPORATION | 535555106 | COM | 116,998 | $11,728,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Microsoft Corp | 594918104 | COM | 100,462 | $11,490,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OGE ENERGY CORP | 670837103 | COM | 297,633 | $10,810,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Bristol-Myers Squibb Company | 110122108 | COM | 167,140 | $10,376,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FLOWSERVE CORP | 34354P105 | COM | 185,435 | $10,141,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INGERSOLL-RAND PLC | G47791101 | SHS | 95,153 | $9,734,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BCE INC COM NEW | 05534B760 | Stock | 238,845 | $9,678,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MDU RES GROUP INC | 552690109 | COM | 350,731 | $9,010,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EVERGY INC COM | 30034W106 | Stock | 163,735 | $8,992,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WATTS WATER TECHNOLOGIES INC CL A | 942749102 | Stock | 107,858 | $8,952,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CIENA CORP COM NEW | 171779309 | Stock | 275,000 | $8,591,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 140,581 | $8,336,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Honeywell Technologies | 438516106 | COM | 50,022 | $8,324,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TE CONNECTIVITY LTD | H84989104 | SHS | 81,000 | $7,122,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 576,705 | $6,995,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NextEra Energy,Inc. | 65339F101 | COM | 41,034 | $6,877,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AECOM COM | 00766T100 | Stock | 205,500 | $6,711,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 26,750 | $6,529,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 104,384 | $6,224,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO EXCH TRADED FD TR II | 46138E263 | S&P GBL WATER | 162,516 | $5,669,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DENTSPLY SIRONA INC | 24906P109 | COM | 141,500 | $5,340,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HALLIBURTON CO COM | 406216101 | Stock | 128,800 | $5,220,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AZENTA INC | 114340102 | COM | 148,335 | $5,196,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 47,696 | $5,147,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GENERAL ELEC CO | 369604103 | COM | 450,480 | $5,085,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 243,556 | $4,968,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 339,209 | $4,885,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CONDUENT INC | 206787103 | COM | 207,401 | $4,670,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| IDACORP INC | 451107106 | COM | 46,664 | $4,630,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CALAMP CORP | 128126109 | COMMON STOCK | 192,450 | $4,611,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BAXTER INTL INC | 071813109 | COM | 57,771 | $4,454,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 107,535 | $4,320,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EXELON CORP COM | 30161N101 | Stock | 94,310 | $4,117,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ORBOTECH LTD | M75253100 | ORD | 66,842 | $3,973,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 136,025 | $3,663,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES INC | 464286509 | MSCI CDA ETF | 125,833 | $3,621,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Duke Energy Corporation | 26441C204 | COM | 43,933 | $3,515,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 86,356 | $3,188,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES INC | 46434G780 | MSCI SINGPOR ETF | 130,200 | $3,160,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 58,835 | $3,106,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OWENS CORNING NEW | 690742101 | COM | 52,600 | $2,855,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 19,250 | $2,819,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VIAVI SOLUTIONS INC | 925550105 | COM | 248,250 | $2,815,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 267,008 | $2,769,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 294,636 | $2,507,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Amgen Inc. | 031162100 | COM | 11,643 | $2,413,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ARGAN INC | 04010E109 | COM | 55,500 | $2,386,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| XEROX CORP | 984121608 | COM NEW | 87,637 | $2,364,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES INC | 464286103 | MSCI AUST ETF | 105,100 | $2,325,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 48,106 | $2,155,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 18,340 | $1,935,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MOSAIC CO COM | 61945C103 | Stock | 59,500 | $1,933,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 1,579 | $1,906,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SIGNATURE BANK | 82669G104 | COM | 16,300 | $1,872,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TUTOR PERINI CORP | 901109108 | COM | 93,752 | $1,763,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 11,192 | $1,471,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Apple Inc | 037833100 | COM | 6,454 | $1,457,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Cisco Systems,Inc. | 17275R102 | COM | 23,600 | $1,148,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 45,900 | $1,138,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| 3M CO COM | 88579Y101 | Stock | 4,996 | $1,053,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 12,647 | $987,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard S&P 500 ETF | 922908363 | COM | 3,456 | $923,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Walmart Inc. | 931142103 | COM | 9,278 | $871,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Coca-Cola Company | 191216100 | COM | 18,056 | $834,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 12,900 | $767,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Berkshire Hathaway Inc | 084670702 | COM | 3,275 | $701,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AT&T Inc | 00206R102 | COM | 20,058 | $674,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLUE BIRD CORP | 095306106 | COM | 26,600 | $652,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 511 | $610,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 16,816 | $589,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Danaher Corporation | 235851102 | COM | 5,213 | $566,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 5,200 | $555,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BAKER HUGHES COMPANY CL A | 05722G100 | Stock | 16,000 | $541,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PHILLIPS 66 COM | 718546104 | Stock | 4,637 | $523,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CELGENE CORP | 151020104 | COM | 5,608 | $502,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 2,792 | $485,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK INC CL A COM | 09247X101 | COM | 1,011 | $477,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 10,600 | $468,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PepsiCo,Inc. | 713448108 | COM | 4,075 | $456,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BP PLC SPONSORED ADR | 055622104 | ADR | 9,650 | $445,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| IQVIA HLDGS INC COM | 46266C105 | Stock | 3,385 | $439,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SMITH A O CORP COM | 831865209 | Stock | 8,100 | $432,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 6,243 | $425,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Walt Disney Co | 254687106 | COM | 3,606 | $422,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Eli Lilly and Company | 532457108 | COM | 3,751 | $403,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Micron Technology,Inc. | 595112103 | COM | 8,700 | $393,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard Materials ETF | 92204A801 | SHS | 3,000 | $393,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 23,800 | $388,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 8,900 | $382,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CIGNA CORPORATION | 125509109 | COM | 1,800 | $375,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 900 | $364,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OCLARO INC | 67555N206 | COM | 40,600 | $363,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SHERWIN WILLIAMS CO | 824348106 | COM | 731 | $333,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| II VI INC | 902104108 | COM | 7,000 | $331,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GENERAL MTRS CO COM | 37045V100 | Stock | 9,750 | $328,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 2,301 | $325,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO QQQ TR | 46090E103 | COM | 1,624 | $302,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PAYCHEX INC | 704326107 | COM | 3,912 | $288,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SENSATA TECHNOLOGIES HLDG PL | g8060n102 | SHS | 5,700 | $282,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| McDonalds Corporation | 580135101 | COM | 1,570 | $263,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INTREXON CORP | 46122T102 | COM | 15,000 | $258,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HOLOGIC INC | 436440101 | COM | 6,200 | $254,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 5,200 | $254,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Gilead Sciences,Inc. | 375558103 | COM | 3,200 | $247,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Verizon Communications Inc | 92343V104 | COM | 4,628 | $247,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DOUGLAS DYNAMICS INC | 25960R105 | COM | 5,600 | $246,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ANDEAVOR | 03349M105 | COM | 1,514 | $232,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 12,100 | $223,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EVOQUA WATER TECHNOLOGIES CO | 30057T105 | COM | 12,500 | $222,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CORNING NATURAL GAS HOLDING CO | 219387107 | COM | 12,048 | $217,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DOWDUPONT INC | 26078J100 | COM | 3,278 | $211,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Home Depot, Inc | 437076102 | COM | 978 | $203,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BARCLAYS SPDR | 13677F101 | ETF | 7,700 | $203,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 11,500 | $200,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 16,000 | $199,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MANHATTAN SCIENTIFICS IN | 563122100 | COM | 145,000 | $2,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AVALON ADVANCED MATERIALS INC | 05337L106 | COM | 18,750 | $1,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000919530-18-000015 | this filing | 2018-11-02 | acceptance time not in the bulk data set |