GUINNESS ATKINSON ASSET MANAGEMENT INC Information

21550 OXNARD STREET, SUITE 850, WOODLAND HILLS, California, 91367, (818) 716-2739

Report Date: 09/30/2014

Position Statistics

Total Positions 73
New Positions 7
Increased Positions 57
Decreased Positions 12
Positions with Activity 69
Sold Out Positions 2
Total Mkt Value (in $ millions) 177

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials
Capital Goods 5.48%
Conglomerates
Consumer Cyclical 0.17%
Consumer/Non-Cyclical 0.19%
Energy 31.32%
Financial 10.73%
Healthcare 2.7%
Services 13.85%
Technology 34.81%
Transportation
Utilities 0.7%

73 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
NETEASE INC SPONSORED ADR 6,124 -333 (5.16) 58,775
INTERCONTINENTAL EXCHANGE INC COM 5,145 2,025 64.92 23,270
CISCO SYS INC COM 4,996 1,791 55.91 183,135
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 4,908 1,865 61.27 214,229
L-3 COMMUNICATIONS HLDGS INC COM 4,868 1,924 65.33 39,250
BLOCK H & R INC COM 4,804 1,831 61.58 143,630
NVIDIA CORP COM 4,724 1,639 53.13 229,675
DANAHER CORP DEL COM 4,701 1,819 63.09 56,380
BOEING CO COM 4,650 4,650 New 34,490
ROPER INDS INC NEW COM 4,644 1,743 60.07 28,940
INTEL CORP COM 4,632 1,346 40.95 127,530
EBAY INC COM 4,609 1,520 49.23 84,720
STATE STR CORP COM 4,608 1,527 49.56 59,694
APPLIED MATLS INC COM 4,587 1,755 61.96 197,490
ORACLE CORP COM 4,566 1,786 64.25 110,950
TD AMERITRADE HLDG CORP COM 4,565 1,527 50.26 132,360
PTC INC COM 4,564 1,800 65.11 117,770
GANNETT INC COM 4,424 1,449 48.69 137,150
COMCAST CORP NEW CL A 4,410 1,413 47.16 77,890
CAPITAL ONE FINL CORP COM 4,402 1,694 62.53 53,260