JOHN G ULLMAN & ASSOCIATES INC Diversified Active

CIK: 0000919530 · Show all filings

Period: Q3 2013 (← Previous) (Next →)

Filing Date: Nov 4, 2013

Total Value ($000): $491,077 (100.0% shares, 0.0% debt)

Holdings (151)

JNJ JOHNSON & JOHNSON 5.6%
Value ($000) $27,662 Shares 319,096 Est. Cost $59.66 Unrealized +6.5%
XOM EXXON MOBIL CORP 3.9%
Value ($000) $19,376 Shares 225,200 Est. Cost $53.71 Unrealized +0.8%
GLW CORNING INC 3.9%
Value ($000) $19,215 Shares 1,316,986 Est. Cost $10.49 Unrealized +2.5%
EMR EMERSON ELEC CO 3.2%
Value ($000) $15,668 Shares 242,165 Est. Cost $40.02 Unrealized +9.5%
BMY BRISTOL MYERS SQUIBB CO 2.8%
Value ($000) $13,989 Shares 302,264 Est. Cost $28.67 Unrealized +1.9%
SLB SCHLUMBERGER LTD 2.6%
Value ($000) $12,973 Shares 146,824 Est. Cost $52.90 Unrealized +11.5%
KO COCA COLA CO 2.6%
Value ($000) $12,594 Shares 332,458 Est. Cost $27.76 Unrealized -3.5%
PALL CORP 2.5%
Value ($000) $12,170 Shares 157,964 Est. Cost $66.43 Unrealized
INTC INTEL CORP 2.4%
Value ($000) $11,678 Shares 509,481 Est. Cost $17.16 Unrealized -1.5%
PFE PFIZER INC 2.1%
Value ($000) $10,156 Shares 353,555 Est. Cost $16.45 Unrealized -0.6%
GLAXOSMITHKLINE PLC 2.0%
Value ($000) $9,732 Shares 193,980 Est. Cost $49.97 Unrealized
GREAT PLAINS ENERGY INC 2.0%
Value ($000) $9,722 Shares 437,950 Est. Cost $22.52 Unrealized
MRK MERCK & CO INC NEW 1.9%
Value ($000) $9,570 Shares 201,002 Est. Cost $30.02 Unrealized +3.2%
IDA IDACORP INC 1.8%
Value ($000) $8,953 Shares 184,975 Est. Cost $48.08 Unrealized +3.5%
MSFT MICROSOFT CORP 1.8%
Value ($000) $8,852 Shares 265,984 Est. Cost $26.70 Unrealized +1.1%
HON HONEYWELL INTL INC 1.7%
Value ($000) $8,583 Shares 103,359 Est. Cost $53.13 Unrealized +8.2%
GVA GRANITE CONSTR INC 1.6%
Value ($000) $8,008 Shares 261,692 Est. Cost $29.60 Unrealized +2.2%
AMGN AMGEN INC 1.6%
Value ($000) $7,820 Shares 69,865 Est. Cost $73.34 Unrealized +5.0%
MMM 3M CO 1.6%
Value ($000) $7,709 Shares 64,555 Est. Cost $61.26 Unrealized +7.7%
EXC EXELON CORP 1.4%
Value ($000) $7,025 Shares 237,000 Est. Cost $15.33 Unrealized -8.5%
BCE BCE INC 1.4%
Value ($000) $7,006 Shares 164,078 Est. Cost $22.29 Unrealized -7.2%
DUK DUKE ENERGY CORP NEW 1.4%
Value ($000) $7,001 Shares 104,832 Est. Cost $41.83 Unrealized -2.4%
IBM INTERNATIONAL BUSINESS MACHS 1.4%
Value ($000) $6,803 Shares 36,738 Est. Cost $114.71 Unrealized -2.8%
NVS NOVARTIS A G 1.4%
Value ($000) $6,800 Shares 88,649 Est. Cost $70.71 Unrealized
ADI ANALOG DEVICES INC 1.2%
Value ($000) $5,970 Shares 126,891 Est. Cost $34.29 Unrealized +7.0%
DRESSER-RAND GROUP INC 1.2%
Value ($000) $5,888 Shares 94,360 Est. Cost $59.98 Unrealized
NEE NEXTERA ENERGY INC 1.1%
Value ($000) $5,202 Shares 64,900 Est. Cost $14.15 Unrealized +4.9%
MDU MDU RES GROUP INC 1.1%
Value ($000) $5,160 Shares 184,500 Est. Cost $6.58 Unrealized +10.3%
AZTA BROOKS AUTOMATION INC 1.0%
Value ($000) $5,156 Shares 553,788 Est. Cost $8.26 Unrealized -2.0%
CSCO CISCO SYS INC 1.0%
Value ($000) $5,048 Shares 215,423 Est. Cost $15.24 Unrealized +11.1%
SIGMA ALDRICH CORP 1.0%
Value ($000) $4,706 Shares 55,175 Est. Cost $80.42 Unrealized
ISHARES INC 0.9%
Value ($000) $4,433 Shares 332,025 Est. Cost $12.79 Unrealized
MEDTRONIC INC 0.9%
Value ($000) $4,371 Shares 82,089 Est. Cost $51.48 Unrealized
POR PORTLAND GEN ELEC CO 0.9%
Value ($000) $4,274 Shares 151,385 Est. Cost $19.65 Unrealized -3.1%
TMP TOMPKINS FINANCIAL CORPORATI 0.8%
Value ($000) $3,973 Shares 85,950 Est. Cost $27.90 Unrealized +9.6%
ENCANA CORP 0.8%
Value ($000) $3,889 Shares 224,400 Est. Cost $16.94 Unrealized
PG PROCTER & GAMBLE CO 0.8%
Value ($000) $3,859 Shares 51,057 Est. Cost $55.00 Unrealized +2.2%
LNN LINDSAY CORP 0.8%
Value ($000) $3,859 Shares 47,278 Est. Cost $67.74 Unrealized -0.8%
STERIS CORP 0.8%
Value ($000) $3,831 Shares 89,170 Est. Cost $42.88 Unrealized
ZOLTEK COS INC 0.8%
Value ($000) $3,770 Shares 225,901 Est. Cost $12.91 Unrealized
TMO THERMO FISHER SCIENTIFIC INC 0.8%
Value ($000) $3,727 Shares 40,450 Est. Cost $79.76 Unrealized +8.8%
FLS FLOWSERVE CORP 0.7%
Value ($000) $3,590 Shares 57,535 Est. Cost $43.03 Unrealized +7.1%
DENTSPLY INTL INC NEW 0.7%
Value ($000) $3,527 Shares 81,240 Est. Cost $40.96 Unrealized
EWZ ISHARES INC 0.7%
Value ($000) $3,467 Shares 72,365 Est. Cost $43.86 Unrealized
CLAYMORE EXCHANGE-TRD FD TR 0.7%
Value ($000) $3,423 Shares 132,019 Est. Cost $22.47 Unrealized
GOOGLE INC 0.7%
Value ($000) $3,383 Shares 3,862 Est. Cost $880.28 Unrealized
EPU ISHARES TR 0.7%
Value ($000) $3,306 Shares 101,350 Est. Cost $34.07 Unrealized
ABERDEEN AUSTRALIA EQTY FD I 0.7%
Value ($000) $3,265 Shares 315,770 Est. Cost $9.66 Unrealized
MONSANTO CO NEW 0.6%
Value ($000) $3,025 Shares 28,985 Est. Cost $98.79 Unrealized
DIS DISNEY WALT CO 0.6%
Value ($000) $2,801 Shares 43,427 Est. Cost $56.11 Unrealized +1.5%
CHINA MOBILE LIMITED 0.6%
Value ($000) $2,770 Shares 49,085 Est. Cost $53.00 Unrealized
AAPL APPLE INC 0.6%
Value ($000) $2,753 Shares 5,774 Est. Cost $13.17 Unrealized +8.4%
DLB DOLBY LABORATORIES INC 0.5%
Value ($000) $2,681 Shares 77,700 Est. Cost $28.91 Unrealized -0.8%
FCX FREEPORT-MCMORAN COPPER & GO 0.5%
Value ($000) $2,598 Shares 78,525 Est. Cost $24.63 Unrealized +4.2%
ADM ARCHER DANIELS MIDLAND CO 0.5%
Value ($000) $2,538 Shares 68,900 Est. Cost $23.37 Unrealized +9.7%
AMAT APPLIED MATLS INC 0.5%
Value ($000) $2,510 Shares 143,164 Est. Cost $12.22 Unrealized +10.8%
LACLEDE GROUP INC 0.5%
Value ($000) $2,462 Shares 54,700 Est. Cost $45.66 Unrealized
INGERSOLL-RAND PLC 0.5%
Value ($000) $2,231 Shares 34,360 Est. Cost $55.51 Unrealized
JPM JPMORGAN CHASE & CO 0.5%
Value ($000) $2,211 Shares 42,766 Est. Cost $36.24 Unrealized +6.3%
MENTOR GRAPHICS CORP 0.4%
Value ($000) $2,152 Shares 92,100 Est. Cost $19.55 Unrealized
GENERAL ELECTRIC CO 0.4%
Value ($000) $2,148 Shares 89,933 Est. Cost $23.37 Unrealized
WTS WATTS WATER TECHNOLOGIES INC 0.4%
Value ($000) $2,147 Shares 38,089 Est. Cost $46.26 Unrealized +15.0%
EGA EMERGING GLOBAL SHS TR 0.4%
Value ($000) $2,144 Shares 117,745 Est. Cost $17.33 Unrealized
ELLSWORTH FUND LTD 0.4%
Value ($000) $2,069 Shares 262,838 Est. Cost $7.66 Unrealized
PBR PETROLEO BRASILEIRO SA PETRO 0.4%
Value ($000) $1,985 Shares 128,150 Est. Cost $13.79 Unrealized
EWC ISHARES INC 0.4%
Value ($000) $1,952 Shares 68,960 Est. Cost $26.14 Unrealized
XYL XYLEM INC 0.4%
Value ($000) $1,940 Shares 69,450 Est. Cost $23.15 Unrealized -1.8%
NEOG NEOGEN CORP 0.4%
Value ($000) $1,938 Shares 31,919 Est. Cost $13.20 Unrealized +8.4%
AEGION CORP 0.4%
Value ($000) $1,849 Shares 77,950 Est. Cost $23.72 Unrealized
CLAYMORE EXCHANGE TRD FD TR 0.4%
Value ($000) $1,840 Shares 71,700 Est. Cost $24.15 Unrealized
FXI ISHARES TR 0.4%
Value ($000) $1,799 Shares 48,525 Est. Cost $32.52 Unrealized
CALGON CARBON CORP 0.4%
Value ($000) $1,774 Shares 93,400 Est. Cost $16.99 Unrealized
ST JUDE MED INC 0.3%
Value ($000) $1,674 Shares 31,199 Est. Cost $45.62 Unrealized
SYNGENTA AG 0.3%
Value ($000) $1,661 Shares 20,428 Est. Cost $77.88 Unrealized
TYCO INTERNATIONAL LTD 0.3%
Value ($000) $1,650 Shares 47,161 Est. Cost $32.94 Unrealized
DAR DARLING INTL INC 0.3%
Value ($000) $1,645 Shares 77,750 Est. Cost $18.50 Unrealized +10.2%
TXN TEXAS INSTRS INC 0.3%
Value ($000) $1,636 Shares 40,600 Est. Cost $25.31 Unrealized +9.5%
LLY LILLY ELI & CO 0.3%
Value ($000) $1,628 Shares 32,348 Est. Cost $41.56 Unrealized -1.4%
POWERSHARES ETF TRUST 0.3%
Value ($000) $1,608 Shares 56,100 Est. Cost $21.04 Unrealized
AGX ARGAN INC 0.3%
Value ($000) $1,602 Shares 72,917 Est. Cost $11.86 Unrealized +7.0%
ZBH ZIMMER HLDGS INC 0.3%
Value ($000) $1,555 Shares 18,935 Est. Cost $67.30 Unrealized +5.6%
E M C CORP MASS 0.3%
Value ($000) $1,552 Shares 60,720 Est. Cost $23.95 Unrealized
VALE VALE S A 0.3%
Value ($000) $1,537 Shares 98,450 Est. Cost $13.90 Unrealized
OGE OGE ENERGY CORP 0.3%
Value ($000) $1,527 Shares 42,300 Est. Cost $34.79 Unrealized +3.9%
LFCR LANDEC CORP 0.3%
Value ($000) $1,451 Shares 118,900 Est. Cost $13.83 Unrealized +0.9%
TALISMAN ENERGY INC 0.3%
Value ($000) $1,434 Shares 124,660 Est. Cost $11.43 Unrealized
EWA ISHARES INC 0.3%
Value ($000) $1,414 Shares 55,950 Est. Cost $22.58 Unrealized
ASTE ASTEC INDS INC 0.3%
Value ($000) $1,411 Shares 39,250 Est. Cost $29.84 Unrealized +4.7%
TRANSCANADA CORP 0.3%
Value ($000) $1,398 Shares 31,820 Est. Cost $43.11 Unrealized
ELMIRA SVGS BK ELMIRA N Y 0.3%
Value ($000) $1,381 Shares 56,893 Est. Cost $21.56 Unrealized
ITRI ITRON INC 0.3%
Value ($000) $1,366 Shares 31,900 Est. Cost $40.93 Unrealized 0.0%
BAX BAXTER INTL INC 0.3%
Value ($000) $1,366 Shares 20,795 Est. Cost $30.42 Unrealized +2.1%
COVIDIEN PLC 0.3%
Value ($000) $1,283 Shares 21,050 Est. Cost $62.83 Unrealized
AMERICAN SOFTWARE INC 0.3%
Value ($000) $1,271 Shares 148,773 Est. Cost $8.66 Unrealized
ABT ABBOTT LABS 0.3%
Value ($000) $1,252 Shares 37,722 Est. Cost $28.17 Unrealized -1.7%
XYRATEX LTD 0.2%
Value ($000) $1,210 Shares 108,750 Est. Cost $10.06 Unrealized
CUBIST PHARMACEUTICALS INC 0.2%
Value ($000) $1,201 Shares 18,905 Est. Cost $48.28 Unrealized
AMERICAN CAP LTD 0.2%
Value ($000) $1,201 Shares 87,358 Est. Cost $13.21 Unrealized
THE ADT CORPORATION 0.2%
Value ($000) $1,200 Shares 29,505 Est. Cost $39.93 Unrealized
BNS BANK N S HALIFAX 0.2%
Value ($000) $1,166 Shares 20,350 Est. Cost $30.35 Unrealized +0.5%
SYK STRYKER CORP 0.2%
Value ($000) $1,146 Shares 16,950 Est. Cost $56.92 Unrealized +4.4%
EGA EMERGING GLOBAL SHS TR 0.2%
Value ($000) $1,072 Shares 60,675 Est. Cost $15.49 Unrealized
NWE NORTHWESTERN CORP 0.2%
Value ($000) $1,067 Shares 23,750 Est. Cost $24.78 Unrealized +2.7%
ROP ROPER INDS INC NEW 0.2%
Value ($000) $1,031 Shares 7,759 Est. Cost $113.55 Unrealized +5.0%
GSV CAP CORP 0.2%
Value ($000) $1,027 Shares 69,300 Est. Cost $7.87 Unrealized
CVGW CALAVO GROWERS INC 0.2%
Value ($000) $975 Shares 32,250 Est. Cost $22.91 Unrealized -4.3%
TTEK TETRA TECH INC NEW 0.2%
Value ($000) $948 Shares 36,631 Est. Cost $5.31 Unrealized -9.7%
TE CONNECTIVITY LTD 0.2%
Value ($000) $875 Shares 16,900 Est. Cost $45.52 Unrealized
EEM ISHARES TR 0.2%
Value ($000) $870 Shares 21,350 Est. Cost $38.77 Unrealized
SWISS HELVETIA FD INC 0.2%
Value ($000) $843 Shares 59,250 Est. Cost $12.32 Unrealized
ECNS ISHARES TR 0.2%
Value ($000) $840 Shares 19,400 Est. Cost $40.00 Unrealized
CHMG CHEMUNG FINL CORP 0.2%
Value ($000) $836 Shares 24,142 Est. Cost $22.91 Unrealized -0.9%
HARDINGE INC 0.2%
Value ($000) $819 Shares 53,006 Est. Cost $14.77 Unrealized
ENDO HEALTH SOLUTIONS INC 0.2%
Value ($000) $806 Shares 17,740 Est. Cost $36.77 Unrealized
SUN HYDRAULICS CORP 0.2%
Value ($000) $741 Shares 20,438 Est. Cost $32.18 Unrealized
GXC SPDR INDEX SHS FDS 0.2%
Value ($000) $740 Shares 10,000 Est. Cost $64.08 Unrealized
WUXI PHARMATECH CAYMAN INC 0.1%
Value ($000) $688 Shares 25,100 Est. Cost $21.01 Unrealized
MOS MOSAIC CO NEW 0.1%
Value ($000) $645 Shares 15,000 Est. Cost $36.35 Unrealized 0.0%
MKSI MKS INSTRUMENT INC 0.1%
Value ($000) $634 Shares 23,850 Est. Cost $23.45 Unrealized -0.7%
PENN WEST PETE LTD NEW 0.1%
Value ($000) $632 Shares 56,750 Est. Cost $10.58 Unrealized
CVE CENOVUS ENERGY INC 0.1%
Value ($000) $629 Shares 21,066 Est. Cost $22.39 Unrealized +0.9%
SU SUNCOR ENERGY INC NEW 0.1%
Value ($000) $612 Shares 17,095 Est. Cost $19.64 Unrealized +11.1%
HAL HALLIBURTON CO 0.1%
Value ($000) $602 Shares 12,500 Est. Cost $33.21 Unrealized +12.4%
PEP PEPSICO INC 0.1%
Value ($000) $595 Shares 7,478 Est. Cost $56.13 Unrealized +1.1%
WISDOMTREE TRUST 0.1%
Value ($000) $590 Shares 32,550 Est. Cost $17.65 Unrealized
BSV VANGUARD BD INDEX FD INC 0.1%
Value ($000) $587 Shares 7,300 Est. Cost $80.10 Unrealized
REGN REGENERON PHARMACEUTICALS 0.1%
Value ($000) $490 Shares 1,565 Est. Cost $231.58 Unrealized +13.0%
MARKET VECTORS ETF TR 0.1%
Value ($000) $453 Shares 25,300 Est. Cost $18.58 Unrealized
COVANCE INC 0.1%
Value ($000) $394 Shares 4,557 Est. Cost $76.18 Unrealized
T AT&T INC 0.1%
Value ($000) $372 Shares 11,012 Est. Cost $11.40 Unrealized -3.9%
PENTAIR LTD 0.1%
Value ($000) $356 Shares 5,483 Est. Cost $57.69 Unrealized
CIEN CIENA CORP 0.1%
Value ($000) $331 Shares 13,250 Est. Cost $16.65 Unrealized +35.4%
VZ VERIZON COMMUNICATIONS INC 0.1%
Value ($000) $295 Shares 6,331 Est. Cost $27.04 Unrealized -3.4%
TORTOISE ENERGY INFRSTRCTR C 0.1%
Value ($000) $294 Shares 6,407 Est. Cost $46.52 Unrealized
CHESAPEAKE ENERGY CORP 0.1%
Value ($000) $294 Shares 11,367 Est. Cost $20.39 Unrealized
COMPANHIA PARANAENSE ENERG C 0.1%
Value ($000) $279 Shares 20,000 Est. Cost $13.95 Unrealized
ITT CORP NEW 0.1%
Value ($000) $273 Shares 7,590 Est. Cost $29.46 Unrealized
NET SERVICOS DE COMUNICACAO 0.1%
Value ($000) $263 Shares 21,350 Est. Cost $14.28 Unrealized
COP CONOCOPHILLIPS 0.1%
Value ($000) $262 Shares 3,767 Est. Cost $40.33 Unrealized +10.3%
VRSN VERISIGN INC 0.1%
Value ($000) $247 Shares 4,850 Est. Cost $45.93 Unrealized +4.2%
DGX QUEST DIAGNOSTICS INC 0.0%
Value ($000) $225 Shares 3,636 Est. Cost $46.22 Unrealized +1.0%
CEW WISDOMTREE TRUST 0.0%
Value ($000) $203 Shares 10,100 Est. Cost $20.09 Unrealized
ARCH COAL INC 0.0%
Value ($000) $83 Shares 20,100 Est. Cost $4.13 Unrealized
SUPERVALU INC 0.0%
Value ($000) $82 Shares 10,000 Est. Cost $6.20 Unrealized
OCLARO INC 0.0%
Value ($000) $73 Shares 40,975 Est. Cost $1.18 Unrealized
TELLABS INC 0.0%
Value ($000) $57 Shares 25,000 Est. Cost $1.98 Unrealized
EQUAL ENERGY LTD 0.0%
Value ($000) $52 Shares 11,000 Est. Cost $4.00 Unrealized
AMD ADVANCED MICRO DEVICES INC 0.0%
Value ($000) $38 Shares 10,000 Est. Cost $3.46 Unrealized +10.1%
IPASS INC 0.0%
Value ($000) $34 Shares 16,800 Est. Cost $1.90 Unrealized
SONUS NETWORKS INC 0.0%
Value ($000) $34 Shares 10,000 Est. Cost $3.00 Unrealized
EXIDE TECHNOLOGIES 0.0%
Value ($000) $4 Shares 10,000 Est. Cost $0.10 Unrealized