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JGUA

John G. Ullman & Associates Portfolio holdings

AUM $754M
1-Year Est. Return 60.05%
This Fund
S&P 500
This Quarter Est. Return
+5.42%
1 Year Est. Return
+60.05%
3 Year Est. Return
+108.28%
5 Year Est. Return
+118.76%
10 Year Est. Return
+308.24%
AUM
$491M
AUM Growth
+$12.1M
Cap. Flow
-$11M
Cap. Flow %
-2.23%
Top 10 Hldgs %
31.66%
Holding
155
New
5
Increased
32
Reduced
106
Closed
4

Top Buys

Rank Stock Value
1
IBM icon
IBM
IBM
+$4M
2
AEGN
Aegion Corp
AEGN
+$1.81M
3
ITRI icon
Itron
ITRI
+$1.31M
4
KO icon
Coca-Cola
KO
+$1.16M
5
LLY icon
Eli Lilly
LLY
+$906K

Top Sells

Rank Stock Value
1
BCV
Bancroft Fund
BCV
+$3.27M
2
ADM icon
Archer Daniels Midland
ADM
+$2.73M
3
OGE icon
OGE Energy
OGE
+$2.63M
4
AMGN icon
Amgen
AMGN
+$1.93M
5
STE icon
Steris
STE
+$1.71M

Sector Composition

Rank Sector Weight
1 Healthcare 24.89%
2 Industrials 16.28%
3 Technology 15.43%
4 Energy 9%
5 Utilities 8.75%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SYK icon
101
Stryker
SYK
$125B
$1.15M 0.23%
16,950
-1,180
-7% -$81.5K
CHXX
102
DELISTED
EGSHARES CHINA INFRASTRUCTURE ETF
CHXX
$1.07M 0.22%
60,675
-1,800
-3% -$30.9K
NWE icon
103
NorthWestern Energy
NWE
$4.23B
$1.07M 0.22%
23,750
– –
ROP icon
104
Roper Technologies
ROP
$38.8B
$1.03M 0.21%
7,759
-600
-7% -$77.1K
NSLR
105
Neostellar Capital Corp
NSLR
$269M
$1.03M 0.21%
106,729
+616
+0.6% +$4.48K
CVGW
106
DELISTED
Calavo Growers
CVGW
$975K 0.2%
32,250
-5,950
-16% -$164K
TTEK icon
107
Tetra Tech
TTEK
$8.49B
$948K 0.19%
183,155
-17,500
-9% -$83.9K
TEL icon
108
TE Connectivity
TEL
$59.6B
$875K 0.18%
16,900
-300
-2% -$15K
EEM icon
109
iShares MSCI Emerging Markets ETF
EEM
$28.8B
$870K 0.18%
21,350
+2,400
+13% +$95K
SWZ
110
Swiss Helvetia Fund
SWZ
$76.5M
$843K 0.17%
59,250
-2,200
-4% -$29.3K
ECNS icon
111
iShares MSCI China Small-Cap ETF
ECNS
$64.9M
$840K 0.17%
19,400
-300
-2% -$12.6K
CHMG icon
112
Chemung Financial Corp
CHMG
$393M
$836K 0.17%
24,142
– –
HDNG
113
DELISTED
Hardinge Inc
HDNG
$819K 0.17%
53,006
-878
-2% -$13.6K
ENDP
114
DELISTED
Endo International plc
ENDP
$806K 0.16%
17,740
-2,410
-12% -$96.9K
HLIO icon
115
Helios Technologies
HLIO
$2.57B
$741K 0.15%
20,438
+3,800
+23% +$124K
GXC icon
116
State Street SPDR S&P China ETF
GXC
$462M
$740K 0.15%
10,000
-300
-3% -$21K
WX
117
DELISTED
WUXI PHARMATECH, CAYMAN INC REPSTG 8 ORD SHS
WX
$688K 0.14%
25,100
-15,600
-38% -$370K
MOS icon
118
The Mosaic Company
MOS
$7.03B
$645K 0.13%
+15,000
New +$698K
MKSI icon
119
MKS Inc
MKSI
$20.1B
$634K 0.13%
23,850
-1,650
-6% -$44.1K
PWE
120
DELISTED
Penn West Energy Petroleum Ltd
PWE
$632K 0.13%
56,750
-2,150
-4% -$24.9K
CVE icon
121
Cenovus Energy
CVE
$55.7B
$629K 0.13%
21,066
-1,434
-6% -$42.4K
SU icon
122
Suncor Energy
SU
$79.4B
$612K 0.12%
17,095
-2,195
-11% -$73K
HAL icon
123
Halliburton
HAL
$26.9B
$602K 0.12%
12,500
-200
-2% -$9.37K
PEP icon
124
PepsiCo
PEP
$190B
$595K 0.12%
7,478
+1,300
+21% +$107K
BZF
125
DELISTED
WisdomTree Brazilian Real Strategy Fund
BZF
$590K 0.12%
32,550
-8,700
-21% -$151K
3 4
5
6 7

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SF
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RMC
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BEC
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GFM
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TPW
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MWA
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John G. Ullman & Associates's Q3 2013 Portfolio in Review

As of Q3 2013, John G. Ullman & Associates held 155 positions worth $491M, up 2.5% from $479M the previous quarter. Its ten largest holdings account for 32% of the portfolio.

John G. Ullman & Associates's Q3 2013 filing shows 5 new, 32 increased, 106 reduced and 4 closed positions. Its largest new stake was Aegion Corp: 77,950 shares worth $1.85M. The largest sale was Bancroft Fund, an estimated $3.27M.

By sector, the portfolio is most concentrated in Healthcare at 25% of assets, down from 26% a quarter earlier, followed by Industrials and Technology.

  • John G. Ullman & Associates's largest Q3 2013 buy was Aegion Corp: 77,950 shares worth $1.85M.
  • John G. Ullman & Associates added most to IBM in Q3 2013, an estimated $4M increase.
  • John G. Ullman & Associates's biggest Q3 2013 reduction was Archer Daniels Midland, cutting an estimated $2.73M.
  • John G. Ullman & Associates fully exited Bancroft Fund in Q3 2013, selling an estimated $3.27M.
  • John G. Ullman & Associates's ten largest holdings make up 32% of its $491M portfolio in Q3 2013.
  • John G. Ullman & Associates opened 5 new positions and closed 4 in Q3 2013.
  • John G. Ullman & Associates's portfolio value rose 2.5% quarter-over-quarter to $491M.

Based on John G. Ullman & Associates's 13F filing for Q3 2013, filed 4 Nov 2013.