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, 2000
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 July 28, 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.
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FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 117
Form 13F Information Table Value Total: $233,794,743
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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 4569 169897 SH SOLE 169897
ADAPTEC INC. COM 00651F108 3069 153466 SH SOLE 153466
ADVANCED LIGHTING TECHNOLOGIES COM 00753C102 408 33000 SH SOLE 33000
AMERICAN CAPITAL STRATEGIES LT COM 024937104 1377 58150 SH SOLE 58150
AMERICAN HOME PRODUCTS COM 026609107 206 3650 SH SOLE 3650
AMERICAN POWER CONV. CORP. COM 029066107 1258 65550 SH SOLE 65550
AMERICAN SOFTWARE, INC. COM 029683109 635 186350 SH SOLE 186350
AMGEN INC. COM 031162100 6939 99368 SH SOLE 99368
ANALOG DEVICES INC. COM 032654105 1758 21243 SH SOLE 21243
APPLIED MATLS INC. COM 038222105 3501 59031 SH SOLE 59031
AT&T CORP. COM 001957109 1410 48632 SH SOLE 48632
AVT CORP. COM 002420107 663 119150 SH SOLE 119150
BALLARD POWER SYSTEMS INC COM 05858H104 355 3250 SH SOLE 3250
BANCROFT CONV. FD INC. COM 059695106 2667 112296 SH SOLE 112296
BANKNORTH GROUP INC NEW COM 06646R107 3180 177922 SH SOLE 177922
BARNESANDNOBLE.COM INC COM 067846105 72 14600 SH SOLE 14600
BELLSOUTH CORP. COM 079860102 2998 74017 SH SOLE 74017
BIOTECH GENERAL COM 090578105 1117 97625 SH SOLE 97625
BLACKROCK INS MUN. 2008 FUND COM 09247K109 967 66425 SH SOLE 66425
BLACKROCK NORTH AMERN GOVT INC COM 092475102 1023 103590 SH SOLE 103590
BLUE CHIP VALUE FUND INC COM 095333100 93 11075 SH SOLE 11075
BOSTON SCIENTIFIC CORP COM 101137107 1409 85745 SH SOLE 85745
BRISTOL MYERS SQUIBB CO COM 110122108 5254 91380 SH SOLE 91380
BROOKS AUTOMATION INC. COM 11434A100 1762 53191 SH SOLE 53191
BSB BANCORP COM 055652101 653 29205 SH SOLE 29205
C P &L ENERGY INC COM 12614C106 950 22766 SH SOLE 22766
CATALYTICA INC COM 148885106 963 77800 SH SOLE 77800
CHIRON CORP COM 170040109 4998 111075 SH SOLE 111075
CHUBB CORP. COM 171232101 1852 23405 SH SOLE 23405
COHESION TECHNOLOGIES COM 19248N101 1236 117700 SH SOLE 117700
COMMUNITY BANK SYSTEM INC. COM 203607106 1849 71280 SH SOLE 71280
CORNING INCORPORATED COM 219350105 25331 83879 SH SOLE 83879
COVANCE COM 222816100 1205 147203 SH SOLE 147203
DETECTION SYSTEMS INC. COM 250644101 4533 493416 SH SOLE 493416
DUPONT DE NEMOURS & CO. COM 263534109 1770 43311 SH SOLE 43311
EASTMAN KODAK CO COM 277461109 1770 43313 SH SOLE 43313
ELAN PLC ADR 284131208 6857 125237 SH SOLE 125237
ELECTROGLAS INC. COM 285324109 2051 120200 SH SOLE 120200
ELLSWORTH CONVERTIBLE GR & INC COM 289074106 2541 257300 SH SOLE 257300
EMERSON ELECTRIC CO COM 291011104 8303 123926 SH SOLE 123926
ENGELHARD CORP. COM 292845104 2201 135436 SH SOLE 135436
EXXON MOBIL CORP COM 30231G102 1478 16588 SH SOLE 16588
FIRST AUSTRALIA FUND INC COM 318652104 755 128525 SH SOLE 128525
FIRST AUSTRALIA PRIME INCOME COM 318653102 997 237430 SH SOLE 237430
FIRST UNION CORP. COM 337358105 240 7453 SH SOLE 7453
GENERAL ELECTRIC CO COM 369604103 915 17340 SH SOLE 17340
GLAXO WELLCOME PLC ADR ADR 37733W105 1645 27225 SH SOLE 27225
GRANITE CONSTR INC COM 387328107 2006 82725 SH SOLE 82725
HALLIBURTON CO. COM 406216101 2711 55388 SH SOLE 55388
HARDINGE INC. COM 412324303 1075 89555 SH SOLE 89555
HEWLETT PACKARD CO. COM 428236103 713 7350 SH SOLE 7350
HOST MARRIOTT CORP-REIT FUND COM 44107P104 206 18300 SH SOLE 18300
IDACORP INC COM 451107106 5775 124823 SH SOLE 124823
IMATRON INC COM 452906100 31 13600 SH SOLE 13600
INDIA FUND INC COM 454089103 663 54650 SH SOLE 54650
INGERSOLL RAND CO COM 456866102 2229 65693 SH SOLE 65693
INTEL CORP COM 458140100 5749 138328 SH SOLE 138328
INTERNATIONAL BUSINESS MACHS COM 459200101 409 3628 SH SOLE 3628
INTUIT COM 461202103 1035 18150 SH SOLE 18150
IONICS INC. COM 462218108 230 10800 SH SOLE 10800
JOHNSON & JOHNSON COM 478160104 13107 139532 SH SOLE 139532
KEANE INC. COM 486665102 2267 130280 SH SOLE 130280
KLA-TENCOR CORP COM 482480100 920 22335 SH SOLE 22335
LANDEC CORP. COM 514766104 431 77529 SH SOLE 77529
LEVEL 3 COMMUNICATIONS, INC. COM 52729N100 1082 14025 SH SOLE 14025
LINDSAY MFG COM 535555106 1337 71787 SH SOLE 71787
MANHATTAN SCIENTIFICS INC COM 563122100 164 50000 SH SOLE 50000
MEDFORD BANCORP INC. COM 584131106 902 55925 SH SOLE 55925
MERCK & CO. INC. COM 589331107 2822 37910 SH SOLE 37910
PLP-MESA OFFSHORE TRUST UNIT BEN INT 590650107 7 74380 SH SOLE 74380
MEXICO FUND INC. COM 592835102 2278 144665 SH SOLE 144665
MICROSOFT CORP. COM 594918104 261 4320 SH SOLE 4320
MINNESOTA MINING & MFG. CO. COM 604059105 3024 33182 SH SOLE 33182
ML MACADAMIA ORCHARDS L P DEP UNTI CL A 55307U107 547 110750 SH SOLE 110750
MOTOROLA, INC. COM 620076109 1658 57300 SH SOLE 57300
NATIONAL CITY CORP COM 635405103 597 27130 SH SOLE 27130
NEW GERMANY FUND INC. COM 644465106 681 55628 SH SOLE 55628
NORTEL NETWORKS CORP COM 656568102 982 16306 SH SOLE 16306
NORTHFIELD LABORATORIES INC COM 666135108 466 36925 SH SOLE 36925
NOVELLUS SYSTEMS INC COM 670008101 759 16300 SH SOLE 16300
ORACLE CORP COM 68389X105 803 10200 SH SOLE 10200
ORTHODONTIC CENTERS OF AMERICA COM 68750P103 516 15475 SH SOLE 15475
PALL CORP. COM 696429307 4613 231379 SH SOLE 231379
PENN ENGR & MFG CORP CL A COM 707389102 1841 62135 SH SOLE 62135
PENN ENGR & MFG CORP NON VTG COM 707389300 378 12015 SH SOLE 12015
PFIZER INC. COM 717081103 1627 36227 SH SOLE 36227
PHARMACIA CORPORATION COM 71713U102 2297 38164 SH SOLE 38164
PROCTER & GAMBLE COM 742718109 2635 39325 SH SOLE 39325
QUEST DIAGNOSTICS INC. COM 74834L100 3034 26439 SH SOLE 26439
QUINTILES TRANSNATIONAL CORP COM 748767100 356 22325 SH SOLE 22325
QWEST COMMUNICATIONS INTL COM 749121109 2181 45323 SH SOLE 45323
REGENERON PHARMACEUTICALS COM 75886F107 1695 51950 SH SOLE 51950
SBC COMMUNICATIONS INC. COM 78387G103 1105 22148 SH SOLE 22148
SCHLUMBERGER LTD. COM 806857108 469 5700 SH SOLE 5700
SCUDDER NEW ASIA FUND INC COM 811183102 713 57925 SH SOLE 57925
SPECTRA- PHYSICS LASERS, INC. COM 847568102 2384 44514 SH SOLE 44514
SS & C TECHNOLOGIES INC. COM 85227Q100 294 53450 SH SOLE 53450
ST. JUDE MEDICAL INC COM 790849103 1601 31400 SH SOLE 31400
STERIS CORP COM 859152100 834 69511 SH SOLE 69511
SUN MICROSYSTEMS INC COM 866810104 3779 32369 SH SOLE 32369
SWISS HELVETIA FUND INC COM 870875101 1249 88022 SH SOLE 88022
TCSI CORP COM 87233R106 22 11500 SH SOLE 11500
TECO ENERGY COM 872375100 1048 36435 SH SOLE 36435
TEMPLETON CHINA WORLD FUND INC COM 88018X102 1025 133300 SH SOLE 133300
TEXACO INC. COM 881694103 381 7266 SH SOLE 7266
THERMO ELECTRON CORP COM 883556102 566 21765 SH SOLE 21765
THERMO TECH TECHNOLOGIES COM 88360H101 6 90000 SH SOLE 90000
THOMAS INDUSTRIES INC. COM 884425109 635 31376 SH SOLE 31376
THOMAS & BETTS CORP. COM 884315102 1231 70604 SH SOLE 70604
TYCO INTL LTD COM 902124106 3259 62824 SH SOLE 62824
UNITED PARCEL SVC INC CLASS B 911312106 226 4000 SH SOLE 4000
VITRO SOCIEDAD ANONIMA SPONSORED ADR 928502301 28 10800 SH SOLE 10800
WEST PHARMACEUTICAL SVCS INC COM 955306105 710 30545 SH SOLE 30545
WIT SOUNDVIEW GROUP INC COM 977383108 119 13200 SH SOLE 13200
XEROX CORP. COM 984121103 2001 133375 SH SOLE 133375
XXSYS TECHNOLOGIES INC COM STK COM 983858101 0 10000 SH SOLE 10000
ZOLTEK COMPANIES, INC. COM 98975W104 804 102100 SH SOLE 102100
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