UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: September 30, 1999
Check here if Amendment [ ]; Amendment Number:
This Amendment (Check only one.): [ ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: John G. Ullman & Associates, Inc.
Address: P.O. Box 1424
Corning, NY 14830
13F File Number:
The institutional investment manager filing this report and the
person by whom it is signed hereby represent that the person
signing the report is authorized to submit it, that all
information contained herein is true, correct and complete, and
that it is understood that all required items, statements,
schedules, lists, and tables, are considered integral parts of
this form.
Person Signing this Report on Behalf of Reporting Manager:
Name: John G. Ullman
Title: President
Phone: 607-936-3785
Signature, Place, and Date of Signing:
John G. Ullman Corning, New York October 22, 1999
Report Type (Check only one.):
[ X] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[ ] 13F COMBINATION REPORT.
List of Other Managers Reporting for this Manager:
I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE
ACT OF 1934.
<PAGE>
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 106
Form 13F Information Table Value Total: $178,114,000
<PAGE>
<TABLE> <S> <S> <C> <C> <S> <S>
FORM 13F INFORMATION TABLE
TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER CLASS CUSIP (X $1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
- ---------------------------- ------------- --------- --------- ----------- ---- ------- --------- ----- ------- -------
A D C TELECOMMUNICATIONS COM 000886101 1583 37751 SH SOLE 37751
ADAPTEC INC. COM 00651F108 3023 76175 SH SOLE 76175
ADVANCED LIGHTING TECHNOLOGIES COM 00753C102 873 124700 SH SOLE 124700
AGCO CORP. COM 001084102 140 10800 SH SOLE 10800
AMERICAN CAPITAL STRATEGIES COM 024937104 246 13300 SH SOLE 13300
AMERICAN POWER CONV. CORP. COM 029066107 580 30500 SH SOLE 30500
AMERICAN SOFTWARE, INC. COM 029683109 44 15250 SH SOLE 15250
AMERITECH CORP NEW COM 030954101 1483 22224 SH SOLE 22224
AMGEN INC. COM 031162100 5690 69814 SH SOLE 69814
ANALOG DEVICES INC. COM 032654105 1016 19820 SH SOLE 19820
APPLIED MATLS INC. COM 038222105 3855 49625 SH SOLE 49625
ARCHER DANIELS MIDLAND COM 039483102 1291 106514 SH SOLE 106514
BANCROFT CONV. FD INC. COM 059695106 2410 106812 SH SOLE 106812
BELLSOUTH CORP. COM 079860102 3869 85967 SH SOLE 85967
BLACKROCK 1999 TERM TR INC. COM 09247T100 327 32530 SH SOLE 32530
BLACKROCK INS.MUN.2008 TERM TR COM 09247K109 1718 115000 SH SOLE 115000
BLACKROCK NORTH AMERN GOVT INC.COM 092475102 1660 165050 SH SOLE 165050
BRISTOL MYERS SQUIBB CO. COM 110122108 2720 40292 SH SOLE 40292
BROOKS AUTOMATION INC. COM 11434A100 1377 78435 SH SOLE 78435
BSB BANCORP COM 055652101 1884 78505 SH SOLE 78505
CHIRON CORP COM 170040109 3549 128165 SH SOLE 128165
CHUBB CORP. COM 171232101 3918 78963 SH SOLE 78963
COHESION TECHNOLOGIES COM 19248N101 158 26300 SH SOLE 26300
CONOCO INC--CL B COM 208251405 292 10657 SH SOLE 10657
CORNING INCORPORATED COM 219350105 10134 148083 SH SOLE 148083
COVANCE COM 222816100 151 15590 SH SOLE 15590
DENTSPLY INTERNATIONAL INC NEW COM 249030107 469 20625 SH SOLE 20625
DETECTION SYSTEMS INC. COM 250644101 3581 353836 SH SOLE 353836
DIEHL GRAPHSOFT INC. COM NEW 253676308 681 160200 SH SOLE 160200
DUPONT DE NEMOURS & CO. COM 263534109 354 5853 SH SOLE 5853
EASTMAN KODAK CO COM 277461109 4444 58770 SH SOLE 58770
ELAN PLC ADR 284131208 3555 105934 SH SOLE 105934
ELECTROGLAS INC. COM 285324109 2082 89035 SH SOLE 89035
ELLSWORTH CONV. GROWTH & INC. COM 289074106 2800 298530 SH SOLE 298530
EMERSON ELECTRIC CO COM 291011104 5847 92524 SH SOLE 92524
ENGELHARD CORP. COM 292845104 843 46173 SH SOLE 46173
EXXON CORP. COM 302290101 1326 17450 SH SOLE 17450
FIRST AUSTRALIA FUND INC COM 318652104 342 44425 SH SOLE 44425
FIRST AUSTRALIA PRIME INCOME COM 318653102 4464 729430 SH SOLE 729430
FIRST UNION CORP. COM 337358105 273 7653 SH SOLE 7653
GENERAL ELECTRIC CO. COM 369604103 822 6935 SH SOLE 6935
GENESIS WORLDWIDE INC. COM 37184G104 111 21350 SH SOLE 21350
GLAXO WELLCOME PLC ADR SPONSORED ADR 37733W105 737 14175 SH SOLE 14175
GRANITE CONSTR INC COM 387328107 3195 122617 SH SOLE 122617
GTE CORP. COM 362320103 207 2780 SH SOLE 2780
HALLIBURTON CO. COM 406216101 2656 64780 SH SOLE 64780
HARDINGE INC. COM 412324303 4425 276553 SH SOLE 276553
HEWLETT PACKARD CO. COM 428236103 701 7725 SH SOLE 7725
HYCOR BIOMEDICAL, INC. COM 448623108 46 38889 SH SOLE 38889
IDACORP INC. COM 451107106 3403 112983 SH SOLE 112983
INDIA FUND INC. COM 454089103 229 17800 SH SOLE 17800
INGERSOLL RAND CO. COM 456866102 2351 42798 SH SOLE 42798
INTEL CORP. COM 458140100 5734 77160 SH SOLE 77160
INTERNATIONAL BUSINESS MACHS COM 459200101 488 4036 SH SOLE 4036
INT'L SPECIALTY PRODUCTS NEW COM 460337108 196 19700 SH SOLE 19700
INTUIT COM 461202103 206 2350 SH SOLE 2350
IONICS INC. COM 462218108 453 13975 SH SOLE 13975
JOHNSON & JOHNSON COM 478160104 10852 118214 SH SOLE 118214
KEANE INC. COM 486665102 651 28525 SH SOLE 28525
KEMET CORP. COM 488360108 398 12450 SH SOLE 12450
LANDEC CORP. COM 514766104 316 61704 SH SOLE 61704
LEVEL 3 COMMUNICATIONS, INC. COM 52729N100 886 16975 SH SOLE 16975
LINDSAY MFG. COM 535555106 582 29687 SH SOLE 29687
MEDFORD BANCORP INC. COM 584131106 686 44625 SH SOLE 44625
MERCK & CO. INC. COM 589331107 2214 34596 SH SOLE 34596
MEXICO FUND INC. COM 592835102 1232 88484 SH SOLE 88484
MICROSOFT CORP. COM 594918104 267 2952 SH SOLE 2952
MINNESOTA MINING & MFG. CO. COM 604059105 2868 29856 SH SOLE 29856
ML MACADAMIA ORCHARDS L P DEP UNTI CL A 55307U107 426 115450 SH SOLE 115450
MONSANTO COMPANY COM 611662107 373 10450 SH SOLE 10450
MOTOROLA, INC. COM 620076109 1722 19572 SH SOLE 19572
NEW GERMANY FUND INC. COM 644465106 752 63640 SH SOLE 63640
NORTEL NETWORKS CORP. COM 656569100 1006 19734 SH SOLE 19734
ORACLE CORP. COM 68389X105 435 9562 SH SOLE 9562
PAIRGAIN TECHNOLOGIES INC. COM 695934109 1400 109840 SH SOLE 109840
PALL CORP. COM 696429307 3243 139843 SH SOLE 139843
PENN ENGR & MFG CORP CL A COM 707389102 1495 67940 SH SOLE 67940
PENN ENGR & MFG CORP NON VTG COM 707389300 1947 79295 SH SOLE 79295
PEOPLES HERITAGE FIN GROUP COM 711147108 4465 268662 SH SOLE 268662
PFIZER INC. COM 717081103 818 22790 SH SOLE 22790
PHARMACIA & UPJOHN, INC. COM 716941109 3550 71534 SH SOLE 71534
PLP-MESA OFFSHORE TRUST UNIT BEN INT 590650107 6 74380 SH SOLE 74380
PREMIER NATIONAL BANCORP COM 74053F107 195 11217 SH SOLE 11217
PSC INC. COM 69361E107 207 25850 SH SOLE 25850
QUEST DIAGNOSTICS INC. COM 74834L100 1323 50878 SH SOLE 50878
REGENERON PHARMACEUTICALS COM 75886F107 639 78650 SH SOLE 78650
SBC COMMUNICATIONS INC. COM 78387G103 300 5872 SH SOLE 5872
SCHLUMBERGER LTD. COM 806857108 400 6425 SH SOLE 6425
SCUDDER NEW ASIA FD. INC COM 811183102 167 11500 SH SOLE 11500
SPECTRA-PHYSICS LASERS, INC. COM 847568102 997 94950 SH SOLE 94950
SS & C TECHNOLOGIES INC. COM 85227Q100 337 61275 SH SOLE 61275
ST. JUDE MEDICAL INC. COM 790849103 2386 75740 SH SOLE 75740
STERIS CORP. COM 859152100 1822 132488 SH SOLE 132488
SUN MICROSYSTEMS INC. COM 866810104 3090 33225 SH SOLE 33225
SWISS HELVETIA FUND INC. COM 870875101 1024 72190 SH SOLE 72190
SYLVAN LEARNING SYSTEMS INC. COM 871399101 412 21250 SH SOLE 21250
TECO ENERGY COM 872375100 712 33735 SH SOLE 33735
TEMPLETON CHINA WORLD FUND INC COM 88018X102 404 57700 SH SOLE 57700
TEXACO INC. COM 881694103 459 7266 SH SOLE 7266
THOMAS INDUSTRIES INC. COM 884425109 567 30353 SH SOLE 30353
THOMAS & BETTS CORP. COM 884315102 669 13123 SH SOLE 13123
TYCO INTL LTD COM 902124106 4954 47981 SH SOLE 47981
U.S. WEST INC. NEW COM 91273H101 2124 37223 SH SOLE 37223
UST CORP. COM 902900109 857 27860 SH SOLE 27860
VITRO SOCIEDAD ANONIMA SPONSORED ADR 928502301 106 25680 SH SOLE 25680
ZOLTEK COMPANIES, INC. COM 98975W104 361 45150 SH SOLE 45150
</TABLE>
