0001409765-13-000003.txt : 20130416 0001409765-13-000003.hdr.sgml : 20130416 20130416120420 ACCESSION NUMBER: 0001409765-13-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130416 DATE AS OF CHANGE: 20130416 EFFECTIVENESS DATE: 20130416 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Guinness Atkinson Asset Management Inc CENTRAL INDEX KEY: 0001409765 IRS NUMBER: 980534338 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12657 FILM NUMBER: 13763119 BUSINESS ADDRESS: STREET 1: 21550 OXNARD STREET, SUITE 850 CITY: WOODLAND HILLS STATE: CA ZIP: 91367 BUSINESS PHONE: 818 716 2739 MAIL ADDRESS: STREET 1: 21550 OXNARD STREET, SUITE 850 CITY: WOODLAND HILLS STATE: CA ZIP: 91367 13F-HR 1 gaam1303.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2013 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Guinness Atkinson Asset Management Inc Address: 14 Queen Anne s Gate London, England SW1H 9AA Form 13F File Number: - The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Giles Robinette Title: Compliance Officer Phone: +44(0)20 7222 1665 Signature, Place, and Date of Signing: /s/ Giles Robinette London, England April 16, 2013 Report Type (Check only one.): [ X ] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 80 Form 13F Information Table Value Total: 101071 (thousands) List of Other Included Managers: NONE Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.
Form 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - -------------------------- ------------- -------- -------- ---------------- ---------- -------- -------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE issuer class CUSIP value shares shput/cdiscotherSOLE SHARENONE - ---------------------------------------------------------------------------------------------------------------------------------- Abbvie Common Stock 00287Y109 56 1370SH SOLE 1370 Aflac Common Stock 001055102 47 910SH SOLE 910 Apache Corp Common Stock 037411105 3180 41209SH SOLE 41209 Applied Materials Common Stock 038222105 1371 101690SH SOLE 101690 Gallagher & Co Common Stock 363576109 55 1340SH SOLE 1340 Best Buy Common Stock 086516101 1489 67220SH SOLE 67220 Bill Barrett Common Stock 06846N104 1129 55700SH SOLE 55700 Blucora Common Stock 095229100 1050 67810SH SOLE 67810 BP Depository Rece055622104 1198 28280SH SOLE 28280 Canadian Natural Resources Common Stock 136385101 3001 93600SH SOLE 93600 Capital One Financial Common Stock 14040H105 1142 20780SH SOLE 20780 Carrizo Oil & Gas Common Stock 144577103 1502 58270SH SOLE 58270 CEMIG Depository Rece204409601 451 38066SH SOLE 38066 Centurylink Inc Common Stock 156700106 1180 33577SH SOLE 33577 Chesapeake Energy Common Stock 165167107 2929 143500SH SOLE 143500 Chevron Common Stock 166764100 3137 26400SH SOLE 26400 China Mobile ADR Depository Rece16941M109 46 860SH SOLE 860 Coca-Cola Common Stock 191216100 49 1220SH SOLE 1220 Comcast Corp Common Stock 20030N101 1423 33880SH SOLE 33880 ConocoPhillips Common Stock 20825C104 3133 52128SH SOLE 52128 Danaher Corp Common Stock 235851102 1359 21870SH SOLE 21870 Devon Energy Common Stock 25179M103 2996 53100SH SOLE 53100 eBay Inc Common Stock 278642103 1355 24990SH SOLE 24990 Exxon Mobil Common Stock 30231G102 3154 35000SH SOLE 35000 General Dynamics Common Stock 369550108 51 720SH SOLE 720 Gilead Sciences Inc Common Stock 375558103 1395 28500SH SOLE 28500 H & R Block Common Stock 093671105 1384 47040SH SOLE 47040 Halliburton Common Stock 406216101 3027 74900SH SOLE 74900 Helix Energy Solutions Common Stock 42330P107 2926 127880SH SOLE 127880 Hess Common Stock 42809H107 3233 45143SH SOLE 45143 Honda Motor Co ADR Depository Rece438128308 656 17140SH SOLE 17140 HSBC Holdings ADR Depository Rece404280406 209 3924SH SOLE 3924 Illinois Tool Works Common Stock 452308109 47 770SH SOLE 770 Intel Corp Common Stock 458140100 1202 55050SH SOLE 55050 Intercontinental Ex. Common Stock 45865V100 1311 8040SH SOLE 8040 Itron Common Stock 465741106 418 9000SH SOLE 9000 JA Solar Depository Rece466090206 714 197120SH SOLE 197120 Johnson & Johnson Common Stock 478160104 57 700SH SOLE 700 Kraft Foods Common Stock 50076Q106 55 1063SH SOLE 1063 L-3 Communications Common Stock 502424104 1436 17750SH SOLE 17750 LDK Solar ADR Depository Rece50183L107 171 155800SH SOLE 155800 Mattel Common Stock 577081102 63 1450SH SOLE 1450 Merck & Co Common Stock 58933Y105 50 1140SH SOLE 1140 Microsoft Common Stock 594918104 44 1550SH SOLE 1550 Mondelez International Common Stock 609207105 59 1920SH SOLE 1920 Netease.com Depository Rece64110W102 5121 93500SH SOLE 93500 Newfield Exploration Common Stock 651290108 2625 117086SH SOLE 117086 Noble Energy Common Stock 655044105 3254 28135SH SOLE 28135 Nokia ADR Depository Rece654902204 710 216422SH SOLE 216422 Northrop Grumman Common Stock 666807102 54 770SH SOLE 770 Nvidia Corp Common Stock 67066G104 1095 85395SH SOLE 85395 Oracle Corp Common Stock 68389X105 1283 39680SH SOLE 39680 Ormat Technologies Common Stock 686688102 457 22119SH SOLE 22119 Patterson UTI Energy Common Stock 703481101 2965 124370SH SOLE 124370 Penn Virginia Common Stock 707882106 948 234700SH SOLE 234700 PetroChina ADR Depository Rece71646E100 185 1400SH SOLE 1400 Pfizer Common Stock 717081103 60 2070SH SOLE 2070 Power One Common Stock 73930R102 468 113000SH SOLE 113000 Procter & Gamble Common Stock 742718109 59 770SH SOLE 770 QEP Resources Common Stock 74733V100 1067 33500SH SOLE 33500 Renesola ADR Depository Rece75971T103 348 252000SH SOLE 252000 Research In Motion Common Stock 760975102 530 36660SH SOLE 36660 Reynolds American Common Stock 761713106 47 1060SH SOLE 1060 Roper Industries Inc Common Stock 776696106 1430 11230SH SOLE 11230 Sohu.com Common Stock 83408W103 3383 68200SH SOLE 68200 State Street Common Stock 857477103 1375 23274SH SOLE 23274 Stone Energy Common Stock 861642106 1555 71500SH SOLE 71500 Suncor Energy Common Stock 867224107 3041 101476SH SOLE 101476 Sunpower Common Stock 867652406 462 40000SH SOLE 40000 Suntech Power Depository Rece86800C104 96 247291SH SOLE 247291 Taiwan Semiconductor ADS Depository Rece874039100 1316 76529SH SOLE 76529 TD Ameritrade Common Stock 87236Y108 1301 63080SH SOLE 63080 Toyota Motor ADR Depository Rece892331307 692 6740SH SOLE 6740 Triangle Petroleum Common Stock 89600B201 528 80000SH SOLE 80000 Trina Solar ADR Depository Rece89628E104 835 230100SH SOLE 230100 Ultra Petroleum Common Stock 903914109 1136 56500SH SOLE 56500 Unit Corp Common Stock 909218109 3074 67497SH SOLE 67497 Valero Energy Common Stock 91913Y100 3121 68599SH SOLE 68599 Vodafone ADR Depository Rece92857W209 1251 44045SH SOLE 44045 Yingli Green Energy ADR Depository Rece98584B103 259 136500SH SOLE 136500
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