Guinness Atkinson Asset Management Inc

Q1 2014 13F-HR Holdings

Location
Woodland Hills, CA
Holdings as of
3/31/2014
Date filed
4/24/2014
Form type
13F-HR
Num holdings
68
Total value ($000)
$100,069
Net value change ($000)
-1,264 (-1.2%)
New positions
0
Sold out positions
3
Turnover %
4.1%
Sector allocation + QoQ delta (equities-only)
Prev filing: 1/29/2014 Next filing: 7/24/2014 SEC filing

Snapshot: Change Analysis

Compared to Q4 2013
Methodology: sector metrics are equities-only; instrument mix chart is ex-options; options exposure is shown separately. Why this matters.
Top Adds (Value $000, Stocks/ETFs)
NEWFIELD EXPLOR 666 34.0%
AMAT 540 34.8%
TSM 482 30.9%
LUMN 444 28.8%
NVDA 436 27.6%
HAL 353 16.1%
UNTC 339 13.6%
CNQ 336 13.3%
HRB 286 16.7%
STONE ENERGY CORP 274 21.4%
Top Reduces (Value $000, Stocks/ETFs)
COP -2,355 -100.0%
VOD -1,682 -100.0%
NTES -1,131 -21.3%
SOHUN -937 -24.2%
PENN VIRGINIA CORP -666 -62.0%
JKS -355 -31.1%
GILD -274 -14.9%
PTC -159 -8.2%
EXE -137 -5.6%
ITRI -110 -14.2%
Instrument mix + QoQ Δ (ex-options)
How this table is calculated: SEC VALUE ($000) is used as reported. For derivatives (PUT/CALL/WARRANT/RIGHT), SEC value represents reported underlying exposure, not premium cash paid/received. Column % is bucket-based: non-options share is calculated inside non-option total, options share is calculated inside options total. Details.
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Instrument:
Issuer Name Ticker Sector Industry Class History Value ($000) % Shares Shares Δ Shares Δ% Value Δ ($000) Value Δ% Principal Option Type