JOHN G ULLMAN & ASSOCIATES INC

Q4 2013 13F-HR Holdings

Location
Corning, NY
Holdings as of
12/31/2013
Date filed
2/3/2014
Form type
13F-HR
Num holdings
149
Total value ($000)
$523,846
Net value change ($000)
—
New positions
148
Sold out positions
0
Turnover %
100.0%
Sector allocation + QoQ delta (equities-only)
Prev filing: — Next filing: 5/7/2014 SEC filing

Snapshot: Change Analysis

Compared to previous filing: —
Methodology: sector metrics are equities-only; instrument mix chart is ex-options; options exposure is shown separately. Why this matters.
Top Adds (Value $000, Stocks/ETFs)
JNJ 29,466 —
XOM 23,573 —
GLW 22,879 —
EMR 16,998 —
KO 14,086 —
INTC 13,342 —
BMY 12,954 —
Pall 12,855 —
SLB 11,871 —
MRK 10,670 —
Top Reduces (Value $000, Stocks/ETFs)
—
Instrument mix + QoQ Δ (ex-options)
How this table is calculated: SEC VALUE ($000) is used as reported. For derivatives (PUT/CALL/WARRANT/RIGHT), SEC value represents reported underlying exposure, not premium cash paid/received. Column % is bucket-based: non-options share is calculated inside non-option total, options share is calculated inside options total. Details.
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Instrument:
Issuer Name Ticker Sector Industry Class History Value ($000) % Shares Shares Δ Shares Δ% Value Δ ($000) Value Δ% Principal Option Type