Filed: 11/1/2023ACC: 0000919530-23-000004
📋 What this filing means
JOHN G ULLMAN & ASSOCIATES INC filed this quarterly 13F‑HR report disclosing 173 equity positions with a total reported market value of $611.34M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
173
Positions
$611.34M
Total AUM (reported)
11.38M
Total Shares
Allocation by class
COM$550.26M90.0%
ADR$40.85M6.7%
ETF$10.76M1.8%
REIT$8.78M1.4%
CEF$681.5K0.1%
Portfolio Concentration
Top 3$79.24M13.0%
4–10$124.99M20.4%
11–25$137.86M22.5%
Rest$269.24M44.0%
Top 3 weight
13.0%
Top 10 weight
33.4%
Voting Authority Distribution
Total shares with voting rights: 11.38M
Sole
Full voting authority
0.00
shares
% of voting shares0.0%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
11.38M
shares
% of voting shares100.0%
Investment Discretion (by position count)
Sole173
Shared0
Other0
Dominant voting typeNone · 100.0% of voting shares
Institutional Holdings173
Rows:
EMERSON ELEC CO
SOLEShares376.82K
TypeSH
Market value$36.39M
5.95%
Sole
0.00
Shared
0.00
None
376.82K
CORNING INC
SOLEShares729.95K
TypeSH
Market value$22.24M
3.64%
Sole
0.00
Shared
0.00
None
729.95K
BRISTOL-MYERS SQUIBB
SOLEShares355.13K
TypeSH
Market value$20.61M
3.37%
Sole
0.00
Shared
0.00
None
355.13K
CISCO SYSTEMS INC
SOLEShares373.23K
TypeSH
Market value$20.06M
3.28%
Sole
0.00
Shared
0.00
None
373.23K
PFIZER INC
SOLEShares576.84K
TypeSH
Market value$19.13M
3.13%
Sole
0.00
Shared
0.00
None
576.84K
OGE ENERGY CORP
SOLEShares572.09K
TypeSH
Market value$19.07M
3.12%
Sole
0.00
Shared
0.00
None
572.09K
IBM CORP
SOLEShares133.34K
TypeSH
Market value$18.71M
3.06%
Sole
0.00
Shared
0.00
None
133.34K
NOVARTIS AG
SOLEShares182.69K
TypeSH
Market value$18.61M
3.04%
Sole
0.00
Shared
0.00
None
182.69K
SCHLUMBERGER LTD F
SOLEShares271.31K
TypeSH
Market value$15.82M
2.59%
Sole
0.00
Shared
0.00
None
271.31K
TE CONNECTIVITY LTD F
SOLEShares110.03K
TypeSH
Market value$13.59M
2.22%
Sole
0.00
Shared
0.00
None
110.03K
TAIWAN SEMICONDUCTR F SPONSORE
SOLEShares154.06K
TypeSH
Market value$13.39M
2.19%
Sole
0.00
Shared
0.00
None
154.06K
EXXON MOBIL CORP
SOLEShares109.82K
TypeSH
Market value$12.91M
2.11%
Sole
0.00
Shared
0.00
None
109.82K
INTEL CORP
SOLEShares324.85K
TypeSH
Market value$11.55M
1.89%
Sole
0.00
Shared
0.00
None
324.85K
MICROSOFT CORP
SOLEShares35.08K
TypeSH
Market value$11.08M
1.81%
Sole
0.00
Shared
0.00
None
35.08K
MERCK & CO INC
SOLEShares99.87K
TypeSH
Market value$10.28M
1.68%
Sole
0.00
Shared
0.00
None
99.87K
AMAZON.COM INC
SOLEShares74.99K
TypeSH
Market value$9.53M
1.56%
Sole
0.00
Shared
0.00
None
74.99K
BCE INC
SOLEShares248.53K
TypeSH
Market value$9.49M
1.55%
Sole
0.00
Shared
0.00
None
248.53K
HORIZON THERAPEUTICS PLC
SOLEShares78.76K
TypeSH
Market value$9.11M
1.49%
Sole
0.00
Shared
0.00
None
78.76K
M D U RESOURCES GRP
SOLEShares417.87K
TypeSH
Market value$8.18M
1.34%
Sole
0.00
Shared
0.00
None
417.87K
ARGAN INC
SOLEShares163.87K
TypeSH
Market value$7.46M
1.22%
Sole
0.00
Shared
0.00
None
163.87K
THERMO FISHER SCIENTIFIC INC
SOLEShares14.63K
TypeSH
Market value$7.40M
1.21%
Sole
0.00
Shared
0.00
None
14.63K
LINDSAY CORP
SOLEShares59.63K
TypeSH
Market value$7.02M
1.15%
Sole
0.00
Shared
0.00
None
59.63K
VMWARE INC
SOLEShares41.35K
TypeSH
Market value$6.88M
1.13%
Sole
0.00
Shared
0.00
None
41.35K
AECOM TECHNOLOGY CORP
SOLEShares81.74K
TypeSH
Market value$6.79M
1.11%
Sole
0.00
Shared
0.00
None
81.74K
WALT DISNEY CO
SOLEShares83.72K
TypeSH
Market value$6.79M
1.11%
Sole
0.00
Shared
0.00
None
83.72K
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
EMERSON ELEC COSOLE | COM | 376.82K | SH | $36.39M 5.95% | 0.00 | 0.00 | 376.82K |
CORNING INCSOLE | COM | 729.95K | SH | $22.24M 3.64% | 0.00 | 0.00 | 729.95K |
BRISTOL-MYERS SQUIBBSOLE | COM | 355.13K | SH | $20.61M 3.37% | 0.00 | 0.00 | 355.13K |
CISCO SYSTEMS INCSOLE | COM | 373.23K | SH | $20.06M 3.28% | 0.00 | 0.00 | 373.23K |
PFIZER INCSOLE | COM | 576.84K | SH | $19.13M 3.13% | 0.00 | 0.00 | 576.84K |
OGE ENERGY CORPSOLE | COM | 572.09K | SH | $19.07M 3.12% | 0.00 | 0.00 | 572.09K |
IBM CORPSOLE | COM | 133.34K | SH | $18.71M 3.06% | 0.00 | 0.00 | 133.34K |
NOVARTIS AGSOLE | ADR | 182.69K | SH | $18.61M 3.04% | 0.00 | 0.00 | 182.69K |
SCHLUMBERGER LTD FSOLE | COM | 271.31K | SH | $15.82M 2.59% | 0.00 | 0.00 | 271.31K |
TE CONNECTIVITY LTD FSOLE | COM | 110.03K | SH | $13.59M 2.22% | 0.00 | 0.00 | 110.03K |
TAIWAN SEMICONDUCTR F SPONSORESOLE | ADR | 154.06K | SH | $13.39M 2.19% | 0.00 | 0.00 | 154.06K |
EXXON MOBIL CORPSOLE | COM | 109.82K | SH | $12.91M 2.11% | 0.00 | 0.00 | 109.82K |
INTEL CORPSOLE | COM | 324.85K | SH | $11.55M 1.89% | 0.00 | 0.00 | 324.85K |
MICROSOFT CORPSOLE | COM | 35.08K | SH | $11.08M 1.81% | 0.00 | 0.00 | 35.08K |
MERCK & CO INCSOLE | COM | 99.87K | SH | $10.28M 1.68% | 0.00 | 0.00 | 99.87K |
AMAZON.COM INCSOLE | COM | 74.99K | SH | $9.53M 1.56% | 0.00 | 0.00 | 74.99K |
BCE INCSOLE | COM | 248.53K | SH | $9.49M 1.55% | 0.00 | 0.00 | 248.53K |
HORIZON THERAPEUTICS PLCSOLE | COM | 78.76K | SH | $9.11M 1.49% | 0.00 | 0.00 | 78.76K |
M D U RESOURCES GRPSOLE | COM | 417.87K | SH | $8.18M 1.34% | 0.00 | 0.00 | 417.87K |
ARGAN INCSOLE | COM | 163.87K | SH | $7.46M 1.22% | 0.00 | 0.00 | 163.87K |
THERMO FISHER SCIENTIFIC INCSOLE | COM | 14.63K | SH | $7.40M 1.21% | 0.00 | 0.00 | 14.63K |
LINDSAY CORPSOLE | COM | 59.63K | SH | $7.02M 1.15% | 0.00 | 0.00 | 59.63K |
VMWARE INCSOLE | COM | 41.35K | SH | $6.88M 1.13% | 0.00 | 0.00 | 41.35K |
AECOM TECHNOLOGY CORPSOLE | COM | 81.74K | SH | $6.79M 1.11% | 0.00 | 0.00 | 81.74K |
WALT DISNEY COSOLE | COM | 83.72K | SH | $6.79M 1.11% | 0.00 | 0.00 | 83.72K |
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