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 74
New Positions 8
Increased Positions 58
Decreased Positions 12
Positions with Activity 70
Sold Out Positions 2
Total Mkt Value (in $ millions) 165

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

Sector Weighting

Basic Materials
Capital Goods 5.63%
Conglomerates
Consumer Cyclical 0.18%
Consumer/Non-Cyclical 0.2%
Energy 28.28%
Financial 11.47%
Healthcare 2.93%
Services 14.5%
Technology 36.02%
Transportation
Utilities 0.71%

70 Activity 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 5,745 -313 (5.16) 58,775
INTERCONTINENTAL EXCHANGE INC COM 5,156 2,030 64.92 23,270
CISCO SYS INC COM 4,910 1,761 55.91 183,135
APPLIED MATLS INC COM 4,830 1,848 61.96 197,490
L-3 COMMUNICATIONS HLDGS INC COM 4,784 1,891 65.33 39,250
EBAY INC COM 4,779 1,577 49.23 84,720
DANAHER CORP DEL COM 4,733 1,831 63.09 56,380
BLOCK H & R INC COM 4,714 1,797 61.58 143,630
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 4,636 1,761 61.27 214,229
NVIDIA CORP COM 4,626 1,605 53.13 229,675
INTEL CORP COM 4,622 1,343 40.95 127,530
TD AMERITRADE HLDG CORP COM 4,606 1,541 50.26 132,360
STATE STR CORP COM 4,588 1,520 49.56 59,694
ORACLE CORP COM 4,567 1,786 64.25 110,950
ROPER INDS INC NEW COM 4,397 1,650 60.07 28,940
GILEAD SCIENCES INC COM 4,324 857 24.72 42,230
BOEING CO COM 4,313 4,313 New 34,490
COMCAST CORP NEW CL A 4,310 1,381 47.16 77,890
QUALCOMM INC COM 4,245 1,625 62.00 58,790
CAPITAL ONE FINL CORP COM 4,240 1,631 62.53 53,260