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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
+8.51%
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
$524M
AUM Growth
+$32.8M
Cap. Flow
-$6.68M
Cap. Flow %
-1.28%
Top 10 Hldgs %
32.2%
Holding
157
New
6
Increased
38
Reduced
96
Closed
8

Top Buys

Rank Stock Value
1
IBM icon
IBM
IBM
+$3.58M
2
ITRI icon
Itron
ITRI
+$1.9M
3
LLY icon
Eli Lilly
LLY
+$1.83M
4
LNN icon
Lindsay Corp
LNN
+$1.79M
5
EME icon
Emcor
EME
+$1.22M

Top Sells

Rank Stock Value
1
BMY icon
Bristol-Myers Squibb
BMY
+$2.98M
2
ECF
Ellsworth Growth & Income Fund
ECF
+$2M
3
ADM icon
Archer Daniels Midland
ADM
+$1.97M
4
DAR icon
Darling Ingredients
DAR
+$1.65M
5
PGJ icon
Invesco Golden Dragon China ETF
PGJ
+$1.61M

Sector Composition

Rank Sector Weight
1 Healthcare 24.97%
2 Industrials 17.47%
3 Technology 16.95%
4 Energy 9%
5 Utilities 8.28%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CVD
126
DELISTED
COVANCE INC.
CVD
$412K 0.08%
4,676
+119
+3% +$10.3K
ELP
127
DELISTED
Companhia Paranaense de Energia (COPEL)
ELP
$388K 0.07%
73,750
+23,750
+48% +$130K
REGN icon
128
Regeneron Pharmaceuticals
REGN
$78.5B
$376K 0.07%
1,365
-200
-13% -$57.5K
T icon
129
AT&T
T
$159B
$375K 0.07%
14,116
-464
-3% -$12.2K
ITT icon
130
ITT
ITT
$17.5B
$305K 0.06%
7,015
-575
-8% -$22.9K
CHK
131
DELISTED
Chesapeake Energy Corporation
CHK
$303K 0.06%
59
-1
-2% -$5.08K
PNR icon
132
Pentair
PNR
$10.4B
$289K 0.06%
5,547
-2,617
-32% -$122K
VZ icon
133
Verizon
VZ
$195B
$267K 0.05%
5,431
-900
-14% -$44.3K
COP icon
134
ConocoPhillips
COP
$147B
$266K 0.05%
3,767
– –
CIEN icon
135
Ciena
CIEN
$53.4B
$264K 0.05%
11,050
-2,200
-17% -$52.4K
TYG
136
Tortoise Energy Infrastructure Corp
TYG
$1.09B
$263K 0.05%
1,377
-225
-14% -$42.4K
VRSN icon
137
VeriSign
VRSN
$26.2B
$260K 0.05%
4,350
-500
-10% -$27.5K
CBU icon
138
Community Bank
CBU
$3.41B
$232K 0.04%
+5,846
New +$216K
WFC icon
139
Wells Fargo
WFC
$261B
$209K 0.04%
+4,606
New +$199K
NETC
140
DELISTED
NET SERVICOS DE COMUNICACAO S A NEW
NETC
$159K 0.03%
16,500
-4,850
-23% -$55.8K
ECF
141
Ellsworth Growth & Income Fund
ECF
$166M
$111K 0.02%
13,500
-249,338
-95% -$2M
OCLR
142
DELISTED
Oclaro Inc.
OCLR
$102K 0.02%
40,975
– –
ACI
143
DELISTED
ARCH COAL, INC.
ACI
$89K 0.02%
2,010
– –
SVU
144
DELISTED
SUPERVALU Inc.
SVU
$73K 0.01%
1,429
– –
PBW icon
145
Invesco WilderHill Clean Energy ETF
PBW
$407M
$64K 0.01%
+2,000
New +$64.2K
EQU
146
DELISTED
EQUAL ENERGY LTD COM
EQU
$59K 0.01%
11,000
– –
AMD icon
147
Advanced Micro Devices
AMD
$776B
$39K 0.01%
10,000
– –
IPAS
148
DELISTED
Ipass Inc Common Stock
IPAS
$26K 0.01%
1,680
– –
AVL
149
DELISTED
Avalon Rare Metals, Inc. Ordinary Shares (Canada)
AVL
$10K ﹤0.01%
+18,750
New +$13.4K
CEW
150
WisdomTree Emerging Currency Strategy Fund
CEW
$15.8M
– –
-10,100
Closed -$203K
3 4 5
6
7

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RMC
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BEC
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TPW
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MWA
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John G. Ullman & Associates's Q4 2013 Portfolio in Review

As of Q4 2013, John G. Ullman & Associates held 157 positions worth $524M, up 6.7% from $491M the previous quarter. Its ten largest holdings account for 32% of the portfolio.

John G. Ullman & Associates's Q4 2013 filing shows 6 new, 38 increased, 96 reduced and 8 closed positions. Its largest new stake was Emcor: 31,300 shares worth $1.33M. The largest sale was Bristol-Myers Squibb, an estimated $2.98M.

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

  • John G. Ullman & Associates's largest Q4 2013 buy was Emcor: 31,300 shares worth $1.33M.
  • John G. Ullman & Associates added most to IBM in Q4 2013, an estimated $3.58M increase.
  • John G. Ullman & Associates's biggest Q4 2013 reduction was Bristol-Myers Squibb, cutting an estimated $2.98M.
  • John G. Ullman & Associates fully exited Darling Ingredients in Q4 2013, selling an estimated $1.65M.
  • John G. Ullman & Associates's ten largest holdings make up 32% of its $524M portfolio in Q4 2013.
  • John G. Ullman & Associates opened 6 new positions and closed 8 in Q4 2013.
  • John G. Ullman & Associates's portfolio value rose 6.7% quarter-over-quarter to $524M.

Based on John G. Ullman & Associates's 13F filing for Q4 2013, filed 3 Feb 2014.