JOHN G ULLMAN & ASSOCIATES INC

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John G Ullman & Associates is based out of Corning. John G Ullman & Associates is a large advisory firm with 1010 clients and discretionary assets under management (AUM) of $1,156,942,244 (Form ADV from 2019-11-01). Their last reported 13F filing for Q2 2020 included $409,034,000 in managed 13F securities and a top 10 holdings concentration of 40.91%. John G Ullman & Associates's largest holding is Emerson Electric Co. with shares held of 433,545. John G Ullman & Associates has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 81 13F filings, and 3 13G filings

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06/30/2020

13F Activity

  • Market Value $409.772 Million
  • Prior Market Value $376.968 Million
  • New Purchases19 stocks
  • Additional Purchases22 stocks
  • Sold out of13 stocks
  • Reduced holdings in44 stocks
  • Top 10 Holdings % 40.83 %
  • Turnover % [1]:29.63%
  • Turnover Alt % [2]: 10.90 %
  • Time Held Top20:19.10 quarters
  • Time Held Top10:20.50 quarters
  • Time Held All:25.69 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 23.7%
Performance Last 4 Quarters: -5.83%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

JOHN G. ULLMAN & ASSOCIATES, INC
343 DANIEL ZENKER DRIVE
HORSEHEADS NY    14845
Country: United States

Business Phone: 607-936-3785
Fax: 607-301-4400
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: NY
Number of employees: 49
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 1010
Amount of client funds and securities by related persons: 11,369,600
Total Number of clients from related persons: 5
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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ULLMAN JOHN & ASSOCIATES INC

ownership team - last updated 2020-06-29
Name Title Start Date Direct/Indirect % Ownership
ULLMAN, JOHN, GUY PRESIDENT, TREASURER, DIRECTOR 08/01/1978 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC PRESIDENT, TREASURER, DIRECTOR direct 1978-08-01
ULLMAN, BARBARA, LYNN FIRST VICE PRESIDENT, DIRECTOR 08/01/1978 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC FIRST VICE PRESIDENT, DIRECTOR direct 1978-08-01
ULLMAN JOHN & ASSOCIATES INC VICE PRESIDENT, DIRECTOR direct 1978-08-01 2001-09-19
SNOW, THOMAS, GRAHAM SENIOR VICE PRESIDENT 07/01/1982 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC SENIOR VICE PRESIDENT direct 1982-07-01
COLE, ROBERT, ESMONDE DIRECTOR 01/01/1979 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC DIRECTOR direct 1979-01-01
MERIWETHER, KAREN, BURNS SENIOR VICE PRESIDENT 01/01/1984 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC SENIOR VICE PRESIDENT direct 1984-01-01
KRASNANSKY, JENNIFER, ELIZABETH CHIEF COMPLIANCE OFFICER 02/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC CHIEF COMPLIANCE OFFICER direct 2007-02-01
NOZELL, JOHN, DYNELEY DIRECTOR 02/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC DIRECTOR direct 2007-02-01
ULLMAN JOHN & ASSOCIATES INC COO, DIRECTOR direct 2007-02-01
KIRK, ARTHUR, FRANCIS DIRECTOR 02/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC DIRECTOR direct 2007-02-01
WINNETT, PETER, JAMES VICE PRESIDENT 02/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC VICE PRESIDENT direct 2008-02-01
WILCOX, DARREN, LEE CORPORATE SECRETARY & SENIOR VICE PRESIDENT 02/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC CORPORATE SECRETARY direct 2009-02-01
NICKERSON, JASON, DANIEL EXECUTIVE VICE PRESIDENT 03/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC VICE PRESIDENT, TAX DEPARTMENT direct 2008-02-01
ULLMAN JOHN & ASSOCIATES INC VICE PRESIDENT direct 2008-02-01
ULLMAN JOHN & ASSOCIATES INC SENIOR VICE PRESIDENT direct 2014-03-01
HALE, DAVID, BIRDSALL DIRECTOR 02/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC DIRECTOR direct 2011-02-01
SPIDER MANAGEMENT COMPANY, LLC MEMBER, BOARD OF MANAGERS direct 2013-08-01
ZINGLER, HOWARD, JAY DIRECTOR 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC DIRECTOR direct 2012-03-01
ULLMAN, JOHN, GUYMUNDAY DIRECTOR 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC DIRECTOR direct 2015-03-01
Malone, Connie, Jean CONTROLLER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC CONTROLLER direct 2017-03-01
O'REILLY, ROBERT, OWEN DIRECTOR 06/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC DIRECTOR direct 2016-06-01
Steven, Kauffman, Alan VICE PRESIDENT 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC VICE PRESIDENT direct 2020-03-01
HUFF, DONALD, ALLEN VICE PRESIDENT 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC VICE PRESIDENT direct 2020-03-01

ULLMAN JOHN & ASSOCIATES INC

ownership team - last updated 2020-03-27
Name Title Start Date Direct/Indirect % Ownership

ULLMAN JOHN & ASSOCIATES INC

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
ULLMAN, JOHN, GUY PRESIDENT, TREASURER, DIRECTOR 08/01/1978 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC PRESIDENT, TREASURER, DIRECTOR direct 1978-08-01
ULLMAN, BARBARA, LYNN FIRST VICE PRESIDENT, DIRECTOR 08/01/1978 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC FIRST VICE PRESIDENT, DIRECTOR direct 1978-08-01
ULLMAN JOHN & ASSOCIATES INC VICE PRESIDENT, DIRECTOR direct 1978-08-01 2001-09-19
SNOW, THOMAS, GRAHAM SENIOR VICE PRESIDENT 07/01/1982 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC SENIOR VICE PRESIDENT direct 1982-07-01
COLE, ROBERT, ESMONDE DIRECTOR 01/01/1979 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC DIRECTOR direct 1979-01-01
MERIWETHER, KAREN, BURNS SENIOR VICE PRESIDENT 01/01/1984 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC SENIOR VICE PRESIDENT direct 1984-01-01
KRASNANSKY, JENNIFER, ELIZABETH CHIEF COMPLIANCE OFFICER 02/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC CHIEF COMPLIANCE OFFICER direct 2007-02-01
NOZELL, JOHN, DYNELEY DIRECTOR 02/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC DIRECTOR direct 2007-02-01
ULLMAN JOHN & ASSOCIATES INC COO, DIRECTOR direct 2007-02-01
KIRK, ARTHUR, FRANCIS DIRECTOR 02/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC DIRECTOR direct 2007-02-01
WINNETT, PETER, JAMES VICE PRESIDENT 02/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC VICE PRESIDENT direct 2008-02-01
WILCOX, DARREN, LEE CORPORATE SECRETARY 02/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC CORPORATE SECRETARY direct 2009-02-01
NICKERSON, JASON, DANIEL SENIOR VICE PRESIDENT 03/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC VICE PRESIDENT, TAX DEPARTMENT direct 2008-02-01
ULLMAN JOHN & ASSOCIATES INC VICE PRESIDENT direct 2008-02-01
ULLMAN JOHN & ASSOCIATES INC SENIOR VICE PRESIDENT direct 2014-03-01
HALE, DAVID, BIRDSALL DIRECTOR 02/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC DIRECTOR direct 2011-02-01
SPIDER MANAGEMENT COMPANY, LLC MEMBER, BOARD OF MANAGERS direct 2013-08-01
ZINGLER, HOWARD, JAY DIRECTOR 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC DIRECTOR direct 2012-03-01
ULLMAN, JOHN, GUYMUNDAY DIRECTOR 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC DIRECTOR direct 2015-03-01
Malone, Connie, Jean CONTROLLER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC CONTROLLER direct 2017-03-01
O'REILLY, ROBERT, OWEN DIRECTOR 06/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC DIRECTOR direct 2016-06-01

ULLMAN JOHN & ASSOCIATES INC

ownership team - last updated 2017-03-28
Name Title Start Date Direct/Indirect % Ownership
COLE, ROBERT, ESMONDE DIRECTOR 01/01/1979 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC DIRECTOR direct 1979-01-01
ULLMAN, JOHN, GUY PRESIDENT, TREASURER, DIRECTOR 08/01/1978 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC PRESIDENT, TREASURER, DIRECTOR direct 1978-08-01
ULLMAN, BARBARA, LYNN FIRST VICE PRESIDENT, DIRECTOR 08/01/1978 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC FIRST VICE PRESIDENT, DIRECTOR direct 1978-08-01
ULLMAN JOHN & ASSOCIATES INC VICE PRESIDENT, DIRECTOR direct 1978-08-01 2001-09-19
SNOW, THOMAS, GRAHAM SENIOR VICE PRESIDENT 07/01/1982 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC SENIOR VICE PRESIDENT direct 1982-07-01
MERIWETHER, KAREN, BURNS SENIOR VICE PRESIDENT 01/01/1984 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC SENIOR VICE PRESIDENT direct 1984-01-01
KRASNANSKY, JENNIFER, ELIZABETH CHIEF COMPLIANCE OFFICER 02/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC CHIEF COMPLIANCE OFFICER direct 2007-02-01
NOZELL, JOHN, DYNELEY DIRECTOR 02/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC DIRECTOR direct 2007-02-01
ULLMAN JOHN & ASSOCIATES INC COO, DIRECTOR direct 2007-02-01
KIRK, ARTHUR, FRANCIS DIRECTOR 02/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC DIRECTOR direct 2007-02-01
WINNETT, PETER, JAMES VICE PRESIDENT 02/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC VICE PRESIDENT direct 2008-02-01
WILCOX, DARREN, LEE CORPORATE SECRETARY 02/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC CORPORATE SECRETARY direct 2009-02-01
NICKERSON, JASON, DANIEL SENIOR VICE PRESIDENT 03/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC VICE PRESIDENT, TAX DEPARTMENT direct 2008-02-01
ULLMAN JOHN & ASSOCIATES INC VICE PRESIDENT direct 2008-02-01
ULLMAN JOHN & ASSOCIATES INC SENIOR VICE PRESIDENT direct 2014-03-01
HALE, DAVID, BIRDSALL DIRECTOR 02/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC DIRECTOR direct 2011-02-01
SPIDER MANAGEMENT COMPANY, LLC MEMBER, BOARD OF MANAGERS direct 2013-08-01
ZINGLER, HOWARD, JAY DIRECTOR 03/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC DIRECTOR direct 2012-03-01
ULLMAN, JOHN, GUYMUNDAY DIRECTOR 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC DIRECTOR direct 2015-03-01
Malone, Connie, Jean CONTROLLER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC CONTROLLER direct 2017-03-01
O'REILLY, ROBERT, OWEN DIRECTOR 06/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ULLMAN JOHN & ASSOCIATES INC DIRECTOR direct 2016-06-01

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