JOHN G ULLMAN & ASSOCIATES INC

CIK

919530

Location

CORNING, NY

Portfolio Value

Small $772,440,855

Diversification

Diversified

Filing Date

Global Rank

#2,856 / 8,827 ▼ 61 · as of Jun 2026

Top Industry

Semiconductors 11.2%

Period ended 37 days ago

Filed Nov 4, 2026 · 2d

27 quarters · since Mar 2020

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Unknown

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, the newest measured quarter, never from the firm's own description.

Style

Diversified active

Top 10 weight 35.5%, 45.7 effective positions, active share 80.2% against the S&P 500 as of 2026-06-30; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Low turnover

16.6% over the last four quarters (under 30%)

Horizon

Long horizon

Value-weighted holding period 20.4 quarters (12+), a floor since 53.0% of the book was already held when coverage starts

Closest benchmark: the S&P 500 as of 2026-06-30, active share 80.2%; sector active share 30.2% against the combined 13F book's sector weights.

Over time 26 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

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Portfolio Concentration

180 tracked positions · as of Sep 30, 2026 · Δ vs Jun 30, 2026

Top Position

6.1%

−1.2 pts

Top 5

22.4%

−2.7 pts

Top 10

33.5%

−2.0 pts

HHI

191

Diversified−28

Portfolio Trend

27 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Technology	33.7%	$259,971,120	35
Industrials	16.6%	$128,609,430	27
Utilities	14.0%	$108,409,475	22
Healthcare	11.6%	$89,793,707	25
Energy	6.8%	$52,215,791	9
Consumer Cyclical	4.8%	$37,077,579	11
Communication Services	4.5%	$34,651,216	7
Financial Services	2.9%	$22,080,392	15
Unclassified	2.1%	$16,489,941	20
Basic Materials	1.7%	$12,993,615	6
Consumer Defensive	1.3%	$10,148,589	3

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
MOS	Mosaic Co	+72,500	136,100	$2,946,565
AQN	Algonquin Power & Utilities Corp.	+71,600	153,350	$771,350
CHWY	Chewy, Inc.	+67,100	79,500	$1,446,900
HAL	Halliburton Co	+65,900	188,808	$6,004,094
BCE	Bce Inc	+51,875	295,552	$6,011,527
AZTA	Azenta, Inc.	+51,375	153,793	$5,365,837
EXLS	ExlService Holdings, Inc.	+44,000	95,800	$3,293,604
BAX	Baxter International Inc	+40,450	73,193	$1,756,632
APTV	Aptiv PLC	+37,050	51,400	$2,211,228
XYL	Xylem Inc.	+27,250	29,930	$3,031,011
LNN	Lindsay Corp	+13,025	108,785	$12,177,392
DIS	Walt Disney Co	+12,764	105,771	$11,095,377
PFE	Pfizer Inc	+8,286	237,502	$6,773,557
BKNG	Booking Holdings Inc.	+7,440	13,840	$2,254,674
LOW	Lowes Companies Inc	+5,936	24,085	$4,438,624
GEHC	GE HealthCare Technologies Inc.	+5,861	51,438	$3,362,502
BDX	Becton Dickinson & Co	+4,828	14,076	$2,519,604
XRAY	DENTSPLY SIRONA Inc.	+4,600	42,600	$377,436
EQT	EQT Corp	+4,083	151,374	$7,350,721
HONA	Honeywell Aerospace Inc.	+3,651	18,296	$2,835,331
FISV	Fiserv Inc	+1,750	14,300	$646,074
CRM	Salesforce, Inc.	+1,675	4,375	$1,004,368
ITRI	Itron, Inc.	+1,215	78,946	$6,816,197
PCYO	Pure Cycle Corp	+1,000	26,300	$290,352
NVDA	Nvidia Corp	+1,000	7,514	$1,716,047
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
EXP	Eagle Materials Inc	−30,041	7,205	$1,232,199
WTRG	Essential Utilities, Inc.	−17,395	362,837	$14,219,582
—		−14,500	51,784	$540,107
ORCL	Oracle Corp	−13,741	2,288	$314,142
OGE	Oge Energy Corp.	−12,378	446,557	$20,282,618
TMP	Tompkins Financial Corp	−11,825	56,107	$5,400,298
CSCO	Cisco Systems, Inc.	−11,627	304,966	$32,823,490
KDP	Keurig Dr Pepper Inc.	−11,300	151,234	$4,588,439
D	Dominion Energy, Inc	−7,075	190,071	$11,503,096
ES	Eversource Energy	−6,960	176,831	$11,345,476
ASTE	Astec Industries Inc	−5,343	144,822	$5,827,637
EMR	Emerson Electric Co	−5,028	243,282	$37,733,038
TSM	Taiwan Semiconductor Manufacturing Co Ltd	−5,008	102,852	$46,920,053
VNM	VanEck Vietnam ETF	−4,875	279,869	$4,743,779
POR	Portland General Electric Co	−4,703	198,179	$8,844,728
MDU	Mdu Resources Group Inc	−4,638	354,210	$6,567,053
NEE	Nextera Energy Inc	−4,450	144,109	$10,914,815
EQNR	Equinor ASA	−3,820	124,456	$5,177,369
FLS	Flowserve Corp	−3,810	119,915	$8,768,184
NJR	New Jersey Resources Corp	−3,410	106,550	$5,391,430
SLB	Slb Limited	−3,309	262,761	$12,801,715
SYY	Sysco Corp	−3,105	64,742	$5,047,286
YORW	York Water Co	−3,100	89,875	$2,751,972
XOM	ExxonMobil Holdings Corp	−2,840	101,610	$16,537,027
INTC	Intel Corp	−2,663	71,336	$8,576,727
No positions match the current search.

New Positions

Positions the filer opened this quarter

14 positions

Ticker	Company	Shares	Value
QCOM	Qualcomm Inc	20,641	$3,798,769
ADSK	Autodesk, Inc.	8,350	$1,745,150
SAN	Banco Santander, S.A.	53,920	$745,713
AME	Ametek Inc	2,488	$616,352
TSLA	Tesla, Inc.	927	$328,908
GLD	Spdr Gold Trust	725	$276,109
OKTA	Okta, Inc.	1,275	$266,615
FTNT	Fortinet, Inc.	1,400	$250,264
SPY	Spdr S&P 500 ETF Trust	320	$244,041
GT	Goodyear Tire & Rubber Co	48,400	$240,548
VZ	Verizon Communications Inc	4,788	$219,625
CRWD	CrowdStrike Holdings, Inc.	796	$210,741
MDY	Spdr S&P Midcap 400 ETF Trust	319	$209,490
VHT	VANGUARD HEALTH CARE INDEX FUND	637	$201,342
No positions match the current search.

Sold Out

Positions the filer fully exited

10 positions

Ticker	Company	Shares	Value
—		19,100	$3,916,264
—		27,350	$2,090,087
REGN	Regeneron Pharmaceuticals, Inc.	910	$567,421
SMR	NUSCALE POWER Corp	32,400	$324,972
CAT	Caterpillar Inc	294	$313,080
MXL	Maxlinear, Inc	2,000	$256,060
SNDK	Sandisk Corp	99	$225,099
FLR	Fluor Corp	4,000	$209,560
PCT	PureCycle Technologies, Inc.	18,300	$148,413
AVLNF	Avalon Advanced Materials Inc.	18,750	$660
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

180 tracked positions · $772,440,855 total · filing declares 185 positions · $777,160,123 · as of Sep 30, 2026

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Technology Utilities

Showing 1–50 of 180 positions by value · page 1 of 4

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
TSM	Taiwan Semiconductor Manufacturing Co Ltd Technology	Reduced	102,852	-5,008	$46,920,053	−8.9%	6.07%
EMR	Emerson Electric Co Industrials	Reduced	243,282	-5,028	$37,733,038	+6.2%	4.88%
GLW	Corning Inc Technology	Reduced	231,295	-2,570	$35,563,919	−40.5%	4.60%
CSCO	Cisco Systems, Inc. Technology	Reduced	304,966	-11,627	$32,823,490	−11.7%	4.25%
OGE	Oge Energy Corp. Utilities	Reduced	446,557	-12,378	$20,282,618	−9.2%	2.63%
TEL	TE Connectivity plc Technology	Reduced	92,005	-2,160	$19,420,415	+2.3%	2.51%
AVGO	Broadcom Inc. Technology	Reduced	54,708	-1,439	$19,212,902	−9.4%	2.49%
XOM	ExxonMobil Holdings Corp Energy	Reduced	101,610	-2,840	$16,537,027	+15.8%	2.14%
AMZN	Amazon Com Inc Consumer Cyclical	Reduced	62,138	-1,086	$15,481,682	+2.7%	2.00%
MSFT	Microsoft Corp Technology	Reduced	29,036	-44	$14,892,564	+37.3%	1.93%
WTRG	Essential Utilities, Inc. Utilities	Reduced	362,837	-17,395	$14,219,582	−2.4%	1.84%
BE	Bloom Energy Corp Industrials	Reduced	48,444	-915	$13,418,019	−10.2%	1.74%
MRK	Merck & Co., Inc. Healthcare	Reduced	91,747	-2,282	$13,331,756	+10.3%	1.73%
SLB	Slb Limited Energy	Reduced	262,761	-3,309	$12,801,715	+3.5%	1.66%
LNN	Lindsay Corp Industrials	Added	108,785	+13,025	$12,177,392	+2.7%	1.58%
D	Dominion Energy, Inc Utilities	Reduced	190,071	-7,075	$11,503,096	−14.6%	1.49%
ES	Eversource Energy Utilities	Reduced	176,831	-6,960	$11,345,476	−14.6%	1.47%
DIS	Walt Disney Co Communication Services	Added	105,771	+12,764	$11,095,377	+23.9%	1.44%
NEE	Nextera Energy Inc Utilities	Reduced	144,109	-4,450	$10,914,815	−16.3%	1.41%
CACI	Caci International Inc Technology	Reduced	17,384	-540	$10,588,768	+27.5%	1.37%
TWLO	Twilio Inc Technology	Reduced	32,891	-875	$9,619,301	+38.1%	1.25%
IBM	International Business Machines Corp Technology	Reduced	43,484	-786	$9,563,436	−23.2%	1.24%
POR	Portland General Electric Co Utilities	Reduced	198,179	-4,703	$8,844,728	−15.9%	1.15%
FLS	Flowserve Corp Industrials	Reduced	119,915	-3,810	$8,768,184	−4.4%	1.14%
BMY	Bristol Myers Squibb Co Healthcare	Reduced	140,428	-2,475	$8,762,707	+6.4%	1.13%
INTC	Intel Corp Technology	Reduced	71,336	-2,663	$8,576,727	−17.0%	1.11%
GNRC	Generac Holdings Inc. Industrials	Reduced	38,855	-740	$8,041,042	−30.6%	1.04%
GOOGL	Alphabet Inc. Communication Services	Reduced	22,206	-414	$7,640,640	−5.5%	0.99%
JAZZ	Jazz Pharmaceuticals plc Healthcare	Reduced	32,268	-425	$7,470,687	−5.2%	0.97%
EQT	EQT Corp Energy	Added	151,374	+4,083	$7,350,721	−6.1%	0.95%
TMO	Thermo Fisher Scientific Inc. Healthcare	Reduced	10,807	-391	$7,295,265	+29.9%	0.94%
MELI	Mercadolibre Inc Consumer Cyclical	Added	4,158	+158	$7,187,227	+5.9%	0.93%
ITRI	Itron, Inc. Technology	Added	78,946	+1,215	$6,816,197	+1.3%	0.88%
PFE	Pfizer Inc Healthcare	Added	237,502	+8,286	$6,773,557	+22.7%	0.88%
MDU	Mdu Resources Group Inc Utilities	Reduced	354,210	-4,638	$6,567,053	−13.7%	0.85%
STT	State Street Corp Financial Services	Reduced	37,278	-1,710	$6,508,366	−1.6%	0.84%
GRC	Gorman Rupp Co Industrials	Reduced	83,556	-1,489	$6,223,250	−20.2%	0.81%
BCE	Bce Inc Communication Services	Added	295,552	+51,875	$6,011,527	+14.7%	0.78%
HAL	Halliburton Co Energy	Added	188,808	+65,900	$6,004,094	+43.9%	0.78%
SNOW	Snowflake Inc. Technology	Reduced	17,341	-1,100	$5,888,309	+25.5%	0.76%
ASTE	Astec Industries Inc Industrials	Reduced	144,822	-5,343	$5,827,637	−36.6%	0.75%
GVA	Granite Construction Inc Industrials	Reduced	50,105	-1,250	$5,807,670	−28.5%	0.75%
GOOG	Alphabet Inc. Communication Services	Reduced	16,278	-410	$5,546,565	−5.9%	0.72%
ECG	Everus Construction Group, Inc. Industrials	Reduced	46,487	-817	$5,463,152	−30.4%	0.71%
VMC	Vulcan Materials CO Basic Materials	Reduced	22,325	-275	$5,461,364	−18.1%	0.71%
WDC	Western Digital Corp Technology	Reduced	11,894	-597	$5,405,347	−32.2%	0.70%
TMP	Tompkins Financial Corp Financial Services	Reduced	56,107	-11,825	$5,400,298	−15.9%	0.70%
NJR	New Jersey Resources Corp Utilities	Reduced	106,550	-3,410	$5,391,430	−12.5%	0.70%
AZTA	Azenta, Inc. Healthcare	Added	153,793	+51,375	$5,365,837	+105.3%	0.69%
EQNR	Equinor ASA Energy	Reduced	124,456	-3,820	$5,177,369	+28.5%	0.67%

Showing the top 50 of 180 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.