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%

74 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
CHINA MOBILE LIMITED SPONSORED ADR 171 20 13.36 2,970
ILLINOIS TOOL WKS INC COM 171 19 12.27 1,830
MICROSOFT CORP COM 161 New 3,510
JOHNSON & JOHNSON COM 159 15 10.07 1,530
GALLAGHER ARTHUR J & CO COM 158 14 9.77 3,370
MERCK & CO INC NEW COM 156 12 8.43 2,700
COCA COLA CO COM 155 12 8.75 3,730
AFLAC INC COM 145 11 8.41 2,450
MATTEL INC COM 133 21 19.06 4,310
TRIANGLE PETE CORP COM NEW 118 New 25,000
CALIFORNIA RES CORP COM 80 80 New 13,440
SEVENTY SEVEN ENERGY INC COM 49 -634 (92.86) 8,042
CHEVRON CORP NEW COM -2,841 Sold Out 0
ITRON INC COM -758 Sold Out 0