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) 168

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

Sector Weighting

Basic Materials
Capital Goods 5.62%
Conglomerates
Consumer Cyclical 0.18%
Consumer/Non-Cyclical 0.2%
Energy 28.13%
Financial 11.49%
Healthcare 2.96%
Services 14.56%
Technology 36.09%
Transportation
Utilities 0.69%

74 Positions as of 09/30/2014

Company ▲ Class Value of Shares ($1,000s) Change in Value ($1,000s) Change (%) Shares Held
ABBVIE INC COM 199 38 23.63 2,930
AFLAC INC COM 148 11 8.41 2,450
APACHE CORP COM 2,194 25 1.15 35,309
APPLIED MATLS INC COM 4,939 1,890 61.96 197,490
BARRETT BILL CORP COM 475 106 28.57 48,600
BLOCK H & R INC COM 4,812 1,834 61.58 143,630
BOEING CO COM 4,334 4,334 New 34,490
BP PLC SPONSORED ADR 3,626 1,618 80.57 94,620
CALIFORNIA RES CORP COM 78 78 New 13,440
CANADIAN NAT RES LTD COM 2,518 142 5.97 83,400
CANADIAN SOLAR INC COM 388 388 New 18,400
CAPITAL ONE FINL CORP COM 4,376 1,683 62.53 53,260
CARRIZO OIL & GAS INC COM 1,157 100 9.47 30,070
CHESAPEAKE ENERGY CORP COM 2,636 480 22.29 137,700
CHEVRON CORP NEW COM -2,922 Sold Out 0
CHINA MOBILE LIMITED SPONSORED ADR 174 20 13.36 2,970
CHINACACHE INTL HLDG LTD SPON ADR 754 754 New 86,500
CISCO SYS INC COM 5,064 1,816 55.91 183,135
CNOOC LTD SPONSORED ADR 202 9 4.76 1,540
COCA COLA CO COM 158 13 8.75 3,730


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