GUINNESS ATKINSON ASSET MANAGEMENT INC Information

21550 OXNARD STREET, SUITE 850, WOODLAND HILLS, California, 91367, (818) 716-2739

Report Date: 09/30/2015

Position Statistics

Total Positions 73
New Positions 3
Increased Positions 20
Decreased Positions 25
Positions with Activity 45
Sold Out Positions 8
Total Mkt Value (in $ millions) 152

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

Sector Weighting

Basic Materials
Capital Goods 3.9%
Conglomerates
Consumer Cyclical 0.57%
Consumer/Non-Cyclical 0.48%
Energy 17.09%
Financial 7.06%
Healthcare 3.9%
Services 13.35%
Technology 49.55%
Transportation
Utilities 0.48%

73 Positions as of 09/30/2015

Company Class Value of Shares ($1,000s) ▲ Change in Value ($1,000s) Change (%) Shares Held
BP PLC SPONSORED ADR -5,342 Sold Out 0
CAPITAL ONE FINL CORP COM -5,487 Sold Out 0
CHESAPEAKE ENERGY CORP COM -427 Sold Out 0
EBAY INC COM -2,710 Sold Out 0
L-3 COMMUNICATIONS HLDGS INC COM -6,758 Sold Out 0
STONE ENERGY CORP COM -180 Sold Out 0
TD AMERITRADE HLDG CORP COM -5,027 Sold Out 0
XEROX CORP COM -5,013 Sold Out 0
TRIANGLE PETE CORP COM NEW 10 New 25,000
YINGLI GREEN ENERGY HLDG CO LT ADR NEW 94 New 21,510
ENPHASE ENERGY INC COM 119 New 55,700
COMPANHIA ENERGETICA DE MINAS SP ADR N-V PFD 199 New 134,304
ABBVIE INC COM 254 New 4,790
CHINA MOBILE LIMITED SPONSORED ADR 282 49 20.97 5,250
GALLAGHER ARTHUR J & CO COM 287 28 10.82 7,480
MERCK & CO INC NEW COM 301 32 11.74 6,090
TEVA PHARMACEUTICAL INDS LTD ADR 309 309 New 5,250
GENERAL DYNAMICS CORP COM 310 New 2,310
COCA COLA CO COM 342 New 8,060
CNOOC LTD SPONSORED ADR 345 74 27.27 3,500


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