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) 178

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

Sector Weighting

Basic Materials
Capital Goods 5.38%
Conglomerates
Consumer Cyclical 0.17%
Consumer/Non-Cyclical 0.19%
Energy 32.06%
Financial 10.6%
Healthcare 2.68%
Services 13.64%
Technology 34.53%
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
SOHU COM INC COM 2,208 New 45,050
TRINA SOLAR LIMITED SPON ADR 1,979 -131 (6.22) 181,020
CARRIZO OIL & GAS INC COM 1,614 140 9.47 30,070
STONE ENERGY CORP COM 1,207 384 46.74 51,800
ULTRA PETROLEUM CORP COM 1,144 215 23.10 48,500
QEP RES INC COM 942 114 13.76 37,200
CHINACACHE INTL HLDG LTD SPON ADR 919 919 New 86,500
ORMAT TECHNOLOGIES INC COM 780 -110 (12.32) 27,759
BARRETT BILL CORP COM 678 151 28.57 48,600
YINGLI GREEN ENERGY HLDG CO LT ADR 599 -167 (21.78) 202,200
JINKOSOLAR HLDG CO LTD SPONSORED ADR 597 -110 (15.6) 23,800
SUNPOWER CORP COM 572 -185 (24.47) 19,450
ENPHASE ENERGY INC COM 561 561 New 48,900
RENESOLA LTD SPONS ADS 545 128 30.77 249,900
CANADIAN SOLAR INC COM 507 507 New 18,400
COMPANHIA ENERGETICA DE MINAS SP ADR N-V PFD 457 -191 (29.45) 85,304
CNOOC LTD SPONSORED ADR 243 11 4.76 1,540
ABBVIE INC COM 197 38 23.63 2,930
GENERAL DYNAMICS CORP COM 192 14 8.13 1,330
CHINA MOBILE LIMITED SPONSORED ADR 186 22 13.36 2,970