UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: December 31, 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 January 25, 2000
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.
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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: $199,704,601
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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 2578 35533 SH SOLE 35533
ADAPTEC INC. COM 00651F108 3272 65595 SH SOLE 65595
ADVANCED LIGHTING TECHNOLOGIES COM 00753C102 501 87100 SH SOLE 87100
AMERICAN CAPITAL STRATEGIES LTD COM 024937104 1198 52676 SH SOLE 52676
AMERICAN POWER CONV. CORP. COM 029066107 1254 47550 SH SOLE 47550
AMERICAN SOFTWARE, INC. COM 029683109 151 14750 SH SOLE 14750
AMGEN INC. COM 031162100 7818 130163 SH SOLE 130163
ANALOG DEVICES INC. COM 032654105 1582 17009 SH SOLE 17009
APPLIED MATLS INC. COM 038222105 5775 45584 SH SOLE 45584
ARCHER DANIELS MIDLAND COM 039483102 918 75686 SH SOLE 75686
BANCROFT CONV. FD INC. COM 059695106 2329 114295 SH SOLE 114295
BELLSOUTH CORP. COM 079860102 3968 84767 SH SOLE 84767
BLACKROCK INSURED MUN. 2008 TER COM 09247K109 1395 101475 SH SOLE 101475
BLACKROCK NORTH AMERN GOVT INC. COM 092475102 1648 180550 SH SOLE 180550
BRISTOL MYERS SQUIBB CO COM 110122108 2507 39062 SH SOLE 39062
BROOKS AUTOMATION INC. COM 11434A100 2567 78840 SH SOLE 78840
BSB BANCORP COM 055652101 1147 59605 SH SOLE 59605
CAROLINA POWER & LIGHT COM 144141108 379 12466 SH SOLE 12466
CATALYTICA INC COM 148885106 448 33000 SH SOLE 33000
CHIRON CORP COM 170040109 5334 125865 SH SOLE 125865
CHUBB CORP. COM 171232101 4193 74468 SH SOLE 74468
COHESION TECHNOLOGIES COM 19248N101 349 38300 SH SOLE 38300
CONOCO INC--CL B COM 208251405 262 10534 SH SOLE 10534
CORNING INCORPORATED COM 219350105 17620 136658 SH SOLE 136658
COVANCE COM 222816100 708 65458 SH SOLE 65458
DENTSPLY INTERNATIONAL INC NEW COM 249030107 461 19525 SH SOLE 19525
DETECTION SYSTEMS INC. COM 250644101 3373 357456 SH SOLE 357456
DIEHL GRAPHSOFT INC. COM NEW 253676308 1105 155050 SH SOLE 155050
DUPONT DE NEMOURS & CO. COM 263534109 1020 15483 SH SOLE 15483
EASTMAN KODAK CO COM 277461109 3944 59532 SH SOLE 59532
ELAN PLC ADR 284131208 3929 133202 SH SOLE 133202
ELECTROGLAS INC. COM 285324109 2138 84260 SH SOLE 84260
ELLSWORTH CONVERTIBLE GROWTH & COM 289074106 2513 297872 SH SOLE 297872
EMERSON ELECTRIC CO COM 291011104 5399 94095 SH SOLE 94095
ENGELHARD CORP. COM 292845104 925 49023 SH SOLE 49023
EXXON MOBIL CORP COM 30231G102 1521 18878 SH SOLE 18878
FIRST AUSTRALIA FUND INC COM 318652104 402 52725 SH SOLE 52725
FIRST AUSTRALIA PRIME INCOME COM 318653102 3237 639451 SH SOLE 639451
FIRST UNION CORP. COM 337358105 249 7565 SH SOLE 7565
GENERAL ELECTRIC CO COM 369604103 1071 6920 SH SOLE 6920
GLAXO WELLCOME PLC ADR ADR 37733W105 792 14175 SH SOLE 14175
GRANITE CONSTR INC COM 387328107 2323 125995 SH SOLE 125995
HALLIBURTON CO. COM 406216101 2588 64288 SH SOLE 64288
HARDINGE INC. COM 412324303 3151 241193 SH SOLE 241193
HEWLETT PACKARD CO. COM 428236103 950 8350 SH SOLE 8350
IDACORP INC COM 451107106 3468 129333 SH SOLE 129333
INDIA FUND INC COM 454089103 281 16800 SH SOLE 16800
INGERSOLL RAND CO COM 456866102 2396 43508 SH SOLE 43508
INTEL CORP COM 458140100 6217 75533 SH SOLE 75533
INTERNATIONAL BUSINESS MACHS COM 459200101 435 4036 SH SOLE 4036
INTERNATIONAL SPECIALTY PRODS I COM 460337108 145 15800 SH SOLE 15800
INTUIT COM 461202103 351 5850 SH SOLE 5850
IONICS INC. COM 462218108 231 8225 SH SOLE 8225
JOHNSON & JOHNSON COM 478160104 10844 116285 SH SOLE 116285
KEANE INC. COM 486665102 1829 56930 SH SOLE 56930
KEMET CORP COM 488360108 394 8750 SH SOLE 8750
LANDEC CORP. COM 514766104 418 55779 SH SOLE 55779
LEVEL 3 COMMUNICATIONS, INC. COM 52729N100 1373 16775 SH SOLE 16775
LINDSAY MFG COM 535555106 653 35787 SH SOLE 35787
MEDFORD BANCORP INC. COM 584131106 803 48325 SH SOLE 48325
MERCK & CO. INC. COM 589331107 2340 34830 SH SOLE 34830
MEXICO FUND INC. COM 592835102 1540 88640 SH SOLE 88640
MICROSOFT CORP. COM 594918104 319 2732 SH SOLE 2732
MINNESOTA MINING & MFG. CO. COM 604059105 2868 29306 SH SOLE 29306
ML MACADAMIA ORCHARDS L P DEP UNTI CL 55307U107 433 115450 SH SOLE 115450
MONSANTO COMPANY COM 611662107 498 14050 SH SOLE 14050
MOTOROLA, INC. COM 620076109 2747 18658 SH SOLE 18658
NEW GERMANY FUND INC. COM 644465106 766 62540 SH SOLE 62540
NORTEL NETWORKS CORP COM 656569100 1570 15544 SH SOLE 15544
NORTHFIELD LABORATORIES INC COM 666135108 280 25350 SH SOLE 25350
ORACLE CORP COM 68389X105 967 8625 SH SOLE 8625
ORTHODONTIC CENTERS OF AMERIC C COM 68750P103 252 21150 SH SOLE 21150
PAIRGAIN TECHNOLOGIES INC COM 695934109 1547 109040 SH SOLE 109040
PALL CORP. COM 696429307 2975 137963 SH SOLE 137963
PENN ENGR & MFG CORP CL A COM 707389102 1443 68290 SH SOLE 68290
PENN ENGR & MFG CORP NON VTG COM 707389300 1802 77905 SH SOLE 77905
PEOPLES HERITAGE FIN GROUP COM 711147108 3990 264882 SH SOLE 264882
PFIZER INC. COM 717081103 1030 31740 SH SOLE 31740
PHARMACIA & UPJOHN, INC. COM 716941109 3140 69774 SH SOLE 69774
PLP-MESA OFFSHORE TRUST UNIT BEN IN 590650107 3 74380 SH SOLE 74380
PREMIER NATIONAL BANCORP COM 74053F107 207 11217 SH SOLE 11217
QUALCOMM COM 747525103 229 1300 SH SOLE 1300
QUEST DIAGNOSTICS INC. COM 74834L100 1609 52655 SH SOLE 52655
REGENERON PHARMACEUTICALS COM 75886F107 880 69000 SH SOLE 69000
SBC COMMUNICATIONS INC. COM 78387G103 1686 34592 SH SOLE 34592
SCHLUMBERGER LTD. COM 806857108 349 6225 SH SOLE 6225
SCUDDER NEW ASIA FD. INC COM 811183102 228 11500 SH SOLE 11500
SPECTRA- PHYSICS LASERS, INC. COM 847568102 2765 98750 SH SOLE 98750
SS & C TECHNOLOGIES INC. COM 85227Q100 248 38150 SH SOLE 38150
ST. JUDE MEDICAL INC COM 790849103 2152 70115 SH SOLE 70115
STERIS CORP COM 859152100 1218 118859 SH SOLE 118859
SUN MICROSYSTEMS INC COM 866810104 4034 52100 SH SOLE 52100
SWISS HELVETIA FUND INC COM 870875101 1022 73990 SH SOLE 73990
SYLVAN LEARNING SYSTEMS INC C COM 871399101 515 39650 SH SOLE 39650
TECO ENERGY COM 872375100 1015 54660 SH SOLE 54660
TEMPLETON CHINA WORLD FUND INC COM 88018X102 545 68100 SH SOLE 68100
TEXACO INC. COM 881694103 389 7166 SH SOLE 7166
THOMAS INDUSTRIES INC. COM 884425109 692 33853 SH SOLE 33853
THOMAS & BETTS CORP. COM 884315102 622 19523 SH SOLE 19523
TYCO INTL LTD COM 902124106 3348 85838 SH SOLE 85838
U.S. WEST INC. NEW COM 91273H101 2568 35673 SH SOLE 35673
UST CORP. COM 902900109 857 27004 SH SOLE 27004
VITRO SOCIEDAD ANONIMA SPONSORED A 928502301 105 19110 SH SOLE 19110
XEROX CORP. COM 984121103 667 29400 SH SOLE 29400
XXSYS TECHNOLOGIES INC COM 983858101 1 10000 SH SOLE 10000
ZOLTEK COMPANIES, INC. COM 98975W104 409 47450 SH SOLE 47450
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