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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
BSV icon
126
Vanguard Short-Term Bond ETF
BSV
$44.7B
$587K 0.12%
7,300
-53
-0.7% -$4.25K
REGN icon
127
Regeneron Pharmaceuticals
REGN
$78.5B
$490K 0.1%
1,565
-50
-3% -$13.2K
VNM icon
128
VanEck Vietnam ETF
VNM
$491M
$453K 0.09%
25,300
-100
-0.4% -$1.83K
CVD
129
DELISTED
COVANCE INC.
CVD
$394K 0.08%
4,557
-418
-8% -$34.4K
T icon
130
AT&T
T
$159B
$372K 0.08%
14,580
-289
-2% -$7.59K
PNR icon
131
Pentair
PNR
$10.4B
$356K 0.07%
8,164
-3,450
-30% -$144K
CIEN icon
132
Ciena
CIEN
$53.4B
$331K 0.07%
13,250
-5,700
-30% -$128K
VZ icon
133
Verizon
VZ
$195B
$295K 0.06%
6,331
-385
-6% -$18.8K
TYG
134
Tortoise Energy Infrastructure Corp
TYG
$1.09B
$294K 0.06%
1,602
-150
-9% -$27.1K
CHK
135
DELISTED
Chesapeake Energy Corporation
CHK
$294K 0.06%
60
-3
-5% -$13.9K
ELP
136
DELISTED
Companhia Paranaense de Energia (COPEL)
ELP
$279K 0.06%
+50,000
New +$258K
ITT icon
137
ITT
ITT
$17.5B
$273K 0.06%
7,590
-725
-9% -$24.2K
NETC
138
DELISTED
NET SERVICOS DE COMUNICACAO S A NEW
NETC
$263K 0.05%
21,350
-6,800
-24% -$87.5K
COP icon
139
ConocoPhillips
COP
$147B
$262K 0.05%
3,767
+312
+9% +$20.8K
VRSN icon
140
VeriSign
VRSN
$26.2B
$247K 0.05%
4,850
-800
-14% -$38.6K
DGX icon
141
Quest Diagnostics
DGX
$25.7B
$225K 0.05%
3,636
-300
-8% -$18K
CEW
142
WisdomTree Emerging Currency Strategy Fund
CEW
$15.8M
$203K 0.04%
10,100
-800
-7% -$16.1K
ACI
143
DELISTED
ARCH COAL, INC.
ACI
$83K 0.02%
+2,010
New +$87.3K
SVU
144
DELISTED
SUPERVALU Inc.
SVU
$82K 0.02%
1,429
– –
OCLR
145
DELISTED
Oclaro Inc.
OCLR
$73K 0.01%
40,975
-1,500
-4% -$1.85K
TLAB
146
DELISTED
TELLABS INC
TLAB
$57K 0.01%
25,000
-200
-0.8% -$453
EQU
147
DELISTED
EQUAL ENERGY LTD COM
EQU
$52K 0.01%
11,000
– –
AMD icon
148
Advanced Micro Devices
AMD
$776B
$38K 0.01%
10,000
– –
RBBN icon
149
Ribbon Communications
RBBN
$377M
$34K 0.01%
2,000
– –
IPAS
150
DELISTED
Ipass Inc Common Stock
IPAS
$34K 0.01%
1,680
– –
3 4 5
6
7

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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.