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Previous: MUTUAL FUND TRUST, N-30D, 1999-05-03 |
Next: HAMILTON ALEXANDER VARIABLE ANNUITY SEPARATE ACCOUNT, 497J, 1999-05-03 |
<PAGE>
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OMB Number: 3235-0006
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT MANAGERS PURSUANT
TO SECTION 13(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER
Report for the Calendar Year or Quarter Ended March 31, 1999.
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(Please read instructions before preparing form.)
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If amended report check here: [_]
John G. Ullman & Associates, Inc.
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Name of Institutional Investment Manager
51 East Market St., P.O. Box 1424 Corning NY 14830
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Business Address (Street) (City) (State) (Zip)
John G. Ullman (607) 936-3785, President
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Name, Phone No., and Title of Person Duly Authorized to Submit This Report.
- -----------------------------------ATTENTION------------------------------------
Intentional misstatements or omissions of facts constitute
Federal Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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The institutional investment manager submitting this Form and its
attachments and the person by whom it is signed represent hereby that all
information contained therein is true, correct and complete. It is understood
that all required items, statements and schedules are considered integral parts
of this Form and that the submission of any amendment represents that all
unamended items, statements and schedules remain true, correct and complete as
previously submitted.
Pursuant to the requirements of Securities Exchange Act of 1934, the
undersigned institutional investment manager has caused this report to be signed
on its behalf in the City of Corning and State of New York on the day of
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, 19 .
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John G. Ullman & Associates, Inc.
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(Name of Institutional Investment Manager)
/s/ John G. Ullman
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(Manual Signature of Person Duly Authorized
to Submit This Report)
Name and 13F file numbers of ALL Institutional Investment Managers with respect
to which this schedule is filled (other than the one filing this report): (List
in alphabetical order).
13F File Numbers will be assigned to Institutional Investment Managers after
they file their first report.
Name: 13F File No.: Name: 13F File No.:
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1. 6.
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2. 7.
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3. 8.
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4. 9.
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5. 10.
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<PAGE>
4/28/99 13F.RPT
FORM 13-F FILE NUMBER 28-5
NAME OF REPORTING MANAGER: JOHN G. ULLMAN & ASSOCIATES, INC.
<TABLE>
<CAPTION>
NAME OF ISSUER TITLE OF CUSIP VALUE SHARES/PRN SH/PRN PUT/CALL INVSTMT OTHER VOTING AUTHORITY
CLASS (x51000) AMT DSCRETN MANAGERS SOLE SHARED NONE
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
A D C TELECOMMUNICATIONS COM 000886101 2482 52052 SH SOLE 52052
ADAPTEC INC. COM 00651F108 2108 92400 SH SOLE 92400
ADVANCED LIGHTING TECHNOLOGIES COM 00753C102 131 17000 SH SOLE 17000
AGCO CORP. COM 001084102 74 11200 SH SOLE 11200
AMERICAN SOFTWARE, INC. COM 029683109 43 13850 SH SOLE 13850
AMERITECH CORP NEW COM 030954101 1319 22882 SH SOLE 22882
AMGEN INC. COM 031162100 5899 78782 SH SOLE 78282
AMP INC. COM 031897101 5917 110602 SH SOLE 110602
ANALOG DEVICES INC. COM 032654105 703 23628 SH SOLE 23628
APPLIED MATLS INC. COM 038222105 3490 56575 SH SOLE 56575
BANCROFT CONV. FD INC. COM 059695106 1851 81153 SH SOLE 81153
BELLSOUTH CORP. COM 079860102 3602 89918 SH SOLE 89918
BLACKROCK 1999 TERM TR INC. COM 09247T100 334 33630 SH SOLE 33630
BLACKROCK INSURED MUN. 2008 TERM COM 09247K109 1481 93650 SH SOLE 93650
BLACKROCK NORTH AMERN GOVT INC. COM 092475102 640 63950 SH SOLE 63950
BRISTOL MYERS SQUIBB CO COM 110122108 2677 41742 SH SOLE 41742
BROOKS AUTOMATION INC. COM 11434A100 1982 88575 SH SOLE 88575
BSB BANCORP COM 055652101 1118 45880 SH SOLE 45880
CHIRON CORP COM 170040109 2310 105340 SH SOLE 105340
CHUBB CORP. COM 171232101 4130 70518 SH SOLE 70518
CORNING INCORPORATED COM 219350105 9752 162528 SH SOLE 162528
DETECTION SYSTEMS INC. COM 250644101 2299 287401 SH SOLE 287401
DIEHL GRAPHSOFT INC. COM NEW 253676308 525 164700 SH SOLE 164700
DUPONT DE NEMOURS & CO. COM 263534109 582 10017 SH SOLE 10017
EASTMAN KODAK CO COM 277461109 3941 61697 SH SOLE 61697
ELAN PLC ADR 284131208 2900 41571 SH SOLE 41571
ELECTROGLAS INC. COM 285324109 1185 92075 SH SOLE 92075
ELLSWORTH CONVERTIBLE GROWTH & IN COM 289074106 2622 268920 SH SOLE 268920
EMERSON ELECTRIC CO COM 291011104 4556 86051 SH SOLE 86051
ENGELHARD CORP. COM 292845104 782 46158 SH SOLE 46158
EXXON CORP. COM 302290101 1357 19230 SH SOLE 19230
FIRST AUSTRALIA FUND INC COM 318652104 204 27700 SH SOLE 27700
FIRST AUSTRALIA PRIME INCOME COM 318653102 3825 624531 SH SOLE 624531
PAGE TOTAL 76,821 1
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</TABLE>
<PAGE>
FORM 13-F FILE NUMBER 28-5
NAME OF REPORTING MANAGER: JOHN G. ULLMAN & ASSOCIATES, INC.
<TABLE>
<CAPTION>
NAME OF ISSUER TITLE OF CUSIP VALUE SHARES/PRN SH/PRN PUT/CALL INVSTMT OTHER VOTING AUTHORITY
CLASS (x51000) AMT DSCRETN MANAGERS SOLE SHARED NONE
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
FIRST UNION CORP. COM 337358105 420 7853 SH SOLE 7853
GENENTECH INC COM 368710307 3561 40175 SH SOLE 40175
GENERAL ELECTRIC CO COM 369604103 1128 10197 SH SOLE 10197
GRANITE CONSTR INC COM 387328107 3010 128754 SH SOLE 128754
HALLIBURTON CO. COM 406216101 2550 66230 SH SOLE 66230
HARDINGE INC. COM 412324303 3459 244879 SH SOLE 244879
HEWLETT PACKARD CO. COM 428236103 553 8150 SH SOLE 8150
HUBBELL INC CLASS B 443510201 262 6546 SH SOLE 6546
HYCOR BIOMEDICAL, INC COM 448623108 184 184124 SH SOLE 184124
IDACORP INC COM 451107106 1889 64160 SH SOLE 64160
INDIA FUND INC COM 454089103 117 12500 SH SOLE 12500
INGERSOLL RAND CO COM 456866102 2203 44383 SH SOLE 44383
INTEL CORP COM 458140100 4650 39118 SH SOLE 39118
INTERNATIONAL BUSINESS MACHS COM 459200101 490 2763 SH SOLE 2763
INTERNATIONAL SPECIALTY PRODS INC COM 460337108 144 19000 SH SOLE 19000
INTUIT COM 461202103 290 2850 SH SOLE 2850
IONICS INC. COM 462218108 685 22750 SH SOLE 22750
JOHNSON & JOHNSON COM 478160104 11701 125142 SH SOLE 125142
KEMET CORP COM 488360108 164 14275 SH SOLE 14275
LANDEC CORP. COM 514766104 140 37454 SH SOLE 37454
LEVEL 3 COMMUNICATIONS, INC. COM 52729N100 1172 16100 SH SOLE 16100
LORAL SPACE COMMUNICATIONS COM G56462107 148 10225 SH SOLE 10225
MEDFORD BANCORP INC. COM 584131106 453 28300 SH SOLE 28300
MERCK & CO. INC. COM 589331107 2426 30274 SH SOLE 30274
MEXICO FUND INC. COM 592835102 1335 87896 SH SOLE 87896
MICROSOFT CORP. COM 594918104 293 1636 SH SOLE 1636
MINNESOTA MINING & MFG. CO. COM 604059105 2174 30721 SH SOLE 30721
ML MACADAMIA ORCHARDS L P DEP UNTI CL 55307U107 439 115050 SH SOLE 115050
MOTOROLA, INC. COM 620076109 1618 22083 SH SOLE 22083
NATIONAL CITY CORP COM 635405103 202 3050 SH SOLE 3050
NEW GERMANY FUND INC. COM 644465106 762 63840 SH SOLE 63840
NORTHERN TELECOM LTD COM 665815106 703 11313 SH SOLE 11313
ORACLE CORP COM 68389X105 332 12600 SH SOLE 12600
PAIRGAIN TECHNOLOGIES INC COM 695934109 979 100390 SH SOLE 100390
PALL CORP. COM 696429307 2614 157825 SH SOLE 157825
PAGE TOTAL 53,247 2
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</TABLE>
<PAGE>
FORM 13-F FILE NUMBER 28-5
NAME OF REPORTING MANAGER: JOHN G. ULLMAN & ASSOCIATES, INC.
<TABLE>
<CAPTION>
NAME OF ISSUER TITLE OF CUSIP VALUE SHARES/PRN SH/PRN PUT/CALL INVSTMT OTHER VOTING AUTHORITY
CLASS (x51000) AMT DSCRETN MANAGERS SOLE SHARED NONE
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
PENN ENGR & MFG CORP CL A COM 707389102 1132 60390 SH SOLE 60390
PENN ENGR & MFG CORP NON VTG COM 707389300 1569 82595 SH SOLE 82595
PEOPLES HERITAGE FIN GROUP COM 711147108 4275 237482 SH SOLE 237482
PFIZER INC. COM 717081103 670 4825 SH SOLE 4825
PHARMACIA & UPJOHN, INC. COM 716941109 4755 76239 SH SOLE 76239
PLP-MESA OFFSHORE TRUST UNIT BEN INT 590650107 2 74380 SH SOLE 74380
PREMIER NATIONAL BANCORP COM 74053F107 274 18254 SH SOLE 18254
QUEST DIAGNOSTICS INC. COM 74834L100 1026 46110 SH SOLE 46110
REGENERON PHARMACEUTICALS COM 75886F107 451 68100 SH SOLE 68100
SBC COMMUNICATIONS INC. COM 78387G103 300 6355 SH SOLE 6355
SCHLUMBERGER LTD. COM 806857108 387 6425 SH SOLE 6425
SCUDDER NEW ASIA FD. INC COM 811183102 119 11500 SH SOLE 11500
SCUDDER NEW EUROPE FD. INC COM 810905109 1292 68025 SH SOLE 68025
SS & C TECHNOLOGIES INC. COM 85227Q100 570 46025 SH SOLE 46025
ST. JUDE MEDICAL INC COM 790849103 2024 83015 SH SOLE 83015
STERIS CORP COM 859152100 1531 57486 SH SOLE 57486
SUN MICROSYSTEMS INC COM 866810104 2689 21500 SH SOLE 21500
SWISS HELVETIA FUND INC COM 870875101 939 66790 SH SOLE 66790
TECO ENERGY COM 872375100 273 13740 SH SOLE 13740
TEMPLETON CHINA WORLD FUND INC COM 88018X102 317 52900 SH SOLE 52900
TEMPLETON GLOBAL INCOME FUND INC COM 880198106 90 13456 SH SOLE 13456
TEXACO INC. COM 881694103 412 7266 SH SOLE 7266
THOMAS INDUSTRIES INC. COM 884425109 571 30453 SH SOLE 30453
THOMAS & BETTS CORP. COM 884315102 425 11323 SH SOLE 11323
U.S. WEST INC. NEW COM 91273H101 2168 39373 SH SOLE 39373
UNITED STATES FILTER CORP. NEW COM NEW 911843209 1355 44240 SH SOLE 44240
UST CORP. COM 902900109 648 29656 SH SOLE 29656
VITRO SOCIEDAD ANONIMA SPONSORED AD 928502301 128 22100 SH SOLE 22100
ZOLTEK COMPANIES, INC. COM 98975W104 77 10300 SH SOLE 10300
PAGE TOTAL 30,470 3
GRAND TOTAL 169,168,018 Z:\CAMRAV2\REPORTS\13F99.RPT
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</TABLE>
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