JOHN G ULLMAN & ASSOCIATES INC's Q3 2026 13F: 14 new positions, 10 exits
Form 13F-HR for the quarter ended Sep 30, 2026 · filed Nov 4, 2026 · 185 reported positions · accession 0000919530-26-000004
What changed this quarter
| Activity | Security | Weight before | Weight now | Change | Shares | Shares % |
|---|---|---|---|---|---|---|
| Reduced | EAGLE MATLS INC (EXP) | 1.0% | 0.2% | −0.9 pts | −30,041 sh | −81% |
| New | QUALCOMM INC (QCOM) | — | 0.5% | +0.5 pts | +20,641 sh | new |
| Exited | ELECTRONIC ARTS INC (EA) | 0.5% | — | −0.5 pts | −19,100 sh | −100% |
| Increased | XYLEM INC (XYL) | 0.0% | 0.4% | +0.4 pts | +27,250 sh | +1017% |
| Reduced | TAIWAN SEMICONDUCTOR M F SPONS (TSM) | 6.2% | 6.0% | −0.2 pts | −5,008 sh | −5% |
| Increased | HALLIBURTON CO (HAL) | 0.5% | 0.8% | +0.3 pts | +65,900 sh | +54% |
| Exited | WEBSTER FINL CORP (WBS) | 0.3% | — | −0.3 pts | −27,350 sh | −100% |
| Reduced | ORACLE CORP (ORCL) | 0.3% | 0.0% | −0.2 pts | −13,741 sh | −86% |
| Increased | AZENTA INC (AZTA) | 0.3% | 0.7% | +0.4 pts | +51,375 sh | +50% |
| New | AUTODESK ORD (ADSK) | — | 0.2% | +0.2 pts | +8,350 sh | new |
| Increased | APTIV PLC F (APTV) | 0.1% | 0.3% | +0.2 pts | +37,050 sh | +258% |
| Increased | THE MOSAIC CO (MOS) | 0.2% | 0.4% | +0.2 pts | +72,500 sh | +114% |
| Increased | EXLSERVICE HOLDINGS (EXLS) | 0.2% | 0.4% | +0.3 pts | +44,000 sh | +85% |
| Increased | LINDSAY CORP (LNN) | 1.4% | 1.6% | +0.1 pts | +13,025 sh | +14% |
| Increased | DISNEY WALT CO (DIS) | 1.1% | 1.4% | +0.3 pts | +12,764 sh | +14% |
| Reduced | CISCO SYSTEMS INC (CSCO) | 4.5% | 4.2% | −0.3 pts | −11,627 sh | −4% |
| Increased | CHEWY INC CLASS A (CHWY) | 0.0% | 0.2% | +0.2 pts | +67,100 sh | +541% |
| Increased | BOOKING HOLDINGS ORD (BKNG) | 0.1% | 0.3% | +0.2 pts | +7,440 sh | +116% |
| Reduced | TOMPKINS FINL CORP (TMP) | 0.8% | 0.7% | −0.1 pts | −11,825 sh | −17% |
| Increased | LOWES COS INC (LOW) | 0.5% | 0.6% | +0.1 pts | +5,936 sh | +33% |
| Increased | BCE INC F (BCE) | 0.6% | 0.8% | +0.1 pts | +51,875 sh | +21% |
| Increased | BAXTER INTL INC (BAX) | 0.1% | 0.2% | +0.1 pts | +40,450 sh | +124% |
| Reduced | MICRON TECHNOLOGY INC (MU) | 0.4% | 0.3% | −0.1 pts | −835 sh | −29% |
| Increased | BECTON DICKINSON & CO (BDX) | 0.2% | 0.3% | +0.2 pts | +4,828 sh | +52% |
| Reduced | EMERSON ELEC CO (EMR) | 4.3% | 4.9% | +0.5 pts | −5,028 sh | −2% |
| New | BANCO SANTANDER SA-SPON ADR SA (SAN) | — | 0.1% | +0.1 pts | +53,920 sh | new |
| Reduced | ESSENTIAL UTILS INC (WTRG) | 1.8% | 1.8% | +0.1 pts | −17,395 sh | −5% |
| New | AMETEK INC NEW (AME) | — | 0.1% | +0.1 pts | +2,488 sh | new |
| Increased | HONEYWELL AEROSPACE (HONA) | 0.4% | 0.4% | 0.0 pts | +3,651 sh | +25% |
| Reduced | OGE ENERGY CORP (OGE) | 2.7% | 2.6% | −0.1 pts | −12,378 sh | −3% |
| Exited | REGENERON PHARMS INC (REGN) | 0.1% | — | −0.1 pts | −910 sh | −100% |
| Reduced | BROADCOM INC (AVGO) | 2.6% | 2.5% | −0.1 pts | −1,439 sh | −3% |
| Reduced | VANGUARD S&P 500 ETF (VOO) | 0.6% | 0.6% | 0.0 pts | −664 sh | −9% |
| Reduced | EXXON MOBIL HOLDINGS CORP (XOMZZZZ) | 1.7% | 2.1% | +0.4 pts | −2,840 sh | −3% |
| Reduced | TE CONNECTIVITY PLC F (TEL) | 2.3% | 2.5% | +0.2 pts | −2,160 sh | −2% |
| Reduced | CIENA CORP (CIEN) | 0.7% | 0.5% | −0.2 pts | −1,275 sh | −11% |
| Reduced | EVERSOURCE ENERGY (ES) | 1.6% | 1.5% | −0.2 pts | −6,960 sh | −4% |
| Reduced | COHERENT CORP (COHR) | 0.5% | 0.3% | −0.2 pts | −1,550 sh | −15% |
| Reduced | DOMINION ENERGY INC (D) | 1.6% | 1.5% | −0.2 pts | −7,075 sh | −4% |
| Reduced | CORNING INC (GLW) | 7.2% | 4.6% | −2.7 pts | −2,570 sh | −1% |
| Increased | SALESFORCE INC (CRM) | 0.1% | 0.1% | +0.1 pts | +1,675 sh | +62% |
| Increased | GE HEALTHCARE TECHNOLOGI (GEHC) | 0.4% | 0.4% | +0.1 pts | +5,861 sh | +13% |
| Reduced | MODERNA INC (MRNA) | 0.2% | 0.4% | +0.3 pts | −1,976 sh | −10% |
| Reduced | SNOWFLAKE INC CLASS A (SNOW) | 0.6% | 0.8% | +0.2 pts | −1,100 sh | −6% |
| Increased | ALGONQUIN PWR & UTILS F (AQN) | 0.1% | 0.1% | 0.0 pts | +71,600 sh | +88% |
| Reduced | KEURIG DR PEPPER INC (KDP) | 0.6% | 0.6% | −0.1 pts | −11,300 sh | −7% |
| Reduced | ARGAN INC (AGX) | 0.4% | 0.1% | −0.2 pts | −900 sh | −23% |
| Reduced | NEXTERA ENERGY INC (NEE) | 1.6% | 1.4% | −0.2 pts | −4,450 sh | −3% |
| Reduced | MERCK & CO. INC. (MRK) | 1.5% | 1.7% | +0.2 pts | −2,282 sh | −2% |
| Reduced | CACI INTL INC CLASS A (CACI) | 1.0% | 1.4% | +0.4 pts | −540 sh | −3% |
The 50 largest of 159 changes, by size of the trade. Full holdings for this quarter.
Reported by the fund in its Form 13F filed with the SEC; holdings are as of the quarter-end report date and may have changed since. For informational purposes only — not investment advice or a recommendation to buy or sell any security. FilingExplorer is not affiliated with or endorsed by this fund. How this brief is compiled
Top 10 positions — 33.3% of the equity book
Changes in the top 10 this quarter: XOMZZZZ entered · MSFT entered · BE left · WTRG left
| # | Security | Weight before | Weight now | |
|---|---|---|---|---|
| 1 | TAIWAN SEMICONDUCTOR M F SPONS (TSM) | 6.2% | 6.0% | |
| 2 | EMERSON ELEC CO (EMR) | 4.3% | 4.9% | |
| 3 | CORNING INC (GLW) | 7.2% | 4.6% | |
| 4 | CISCO SYSTEMS INC (CSCO) | 4.5% | 4.2% | |
| 5 | OGE ENERGY CORP (OGE) | 2.7% | 2.6% | |
| 6 | TE CONNECTIVITY PLC F (TEL) | 2.3% | 2.5% | |
| 7 | BROADCOM INC (AVGO) | 2.6% | 2.5% | |
| 8 | EXXON MOBIL HOLDINGS CORP (XOMZZZZ) | 1.7% | 2.1% | Entered the top 10 |
| 9 | AMAZON.COM INC (AMZN) | 1.8% | 2.0% | |
| 10 | MICROSOFT CORP (MSFT) | 1.3% | 1.9% | Entered the top 10 |
| — | BLOOM ENERGY CORP CLASS A (BE) | 1.8% | 1.7% | Left the top 10 |
| — | ESSENTIAL UTILS INC (WTRG) | 1.8% | 1.8% | Left the top 10 |
Weights are each position's reported value as a share of the fund's reported equity positions (options and principal-amount holdings excluded).