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) 171

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

Sector Weighting

Basic Materials
Capital Goods 5.7%
Conglomerates
Consumer Cyclical 0.18%
Consumer/Non-Cyclical 0.2%
Energy 28.51%
Financial 11.38%
Healthcare 2.55%
Services 14.42%
Technology 36.3%
Transportation
Utilities 0.68%

74 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
QUALCOMM INC COM 4,389 1,680 62.00 58,790
GANNETT INC COM 4,345 1,423 48.69 137,150
GILEAD SCIENCES INC COM 3,855 764 24.72 42,230
SCHLUMBERGER LTD COM 3,731 3,731 New 42,860
BP PLC SPONSORED ADR 3,685 1,644 80.57 94,620
VALERO ENERGY CORP NEW COM 3,570 578 19.30 71,699
EXXON MOBIL CORP COM 3,198 234 7.91 34,100
HELIX ENERGY SOLUTIONS GRP INC COM 2,967 New 136,480
DEVON ENERGY CORP NEW COM 2,830 175 6.58 47,000
SUNCOR ENERGY INC NEW COM 2,829 225 8.62 88,176
OCCIDENTAL PETE CORP DEL COM 2,763 2,763 New 33,600
CHESAPEAKE ENERGY CORP COM 2,732 498 22.29 137,700
CANADIAN NAT RES LTD COM 2,620 148 5.97 83,400
HESS CORP COM 2,532 -141 (5.29) 34,043
NEWFIELD EXPL CO COM 2,359 28 1.20 84,686
SOHU COM INC COM 2,334 New 45,050
NOBLE ENERGY INC COM 2,268 73 3.31 46,770
APACHE CORP COM 2,262 26 1.15 35,309
HALLIBURTON CO COM 2,017 -4 (0.2) 50,800
JA SOLAR HOLDINGS CO LTD SPON ADR REP5ORD 2,010 87 4.51 250,320