0001409661-11-000002.txt : 20110510 0001409661-11-000002.hdr.sgml : 20110510 20110510072640 ACCESSION NUMBER: 0001409661-11-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110510 DATE AS OF CHANGE: 20110510 EFFECTIVENESS DATE: 20110510 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Guinness Asset Management LTD CENTRAL INDEX KEY: 0001409661 IRS NUMBER: 000000000 STATE OF INCORPORATION: X0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12636 FILM NUMBER: 11825737 BUSINESS ADDRESS: STREET 1: 14 QUEEN ANNE'S GATE CITY: LONDON STATE: X0 ZIP: SW1H 9AA BUSINESS PHONE: 44 20 72221665 MAIL ADDRESS: STREET 1: 14 QUEEN ANNE'S GATE CITY: LONDON STATE: X0 ZIP: SW1H 9AA 13F-HR 1 gam1103.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, 2011 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 Asset Management Limited Address: 14 Queen Anne s Gate London, England SW1H 9AA Form 13F File Number: 028-12636 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 May 10, 2011 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: 61 Form 13F Information Table Value Total: 308318 (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 - ---------------------------------------------------------------------------------------------------------------------------------- ABBOTT LABS COM 002824100 16 320SH SOLE 320 AFFILIATED MANAGERS GROUP COM 008252108 21 190SH SOLE 190 AFLAC INC COM 001055102 14 270SH SOLE 270 ALLIANCEBERNSTEIN HOLDING LP SBI 01881G106 18 840SH SOLE 840 APACHE CORP COM 037411105 16404 125300SH SOLE 125300 APPLIED MATLS INC COM 038222105 12 750SH SOLE 750 ARTIO GLOBAL INVS INC COM CL A 04315B107 21 1300SH SOLE 1300 BEST BUY INC COM 086516101 9 310SH SOLE 310 BARRETT BILL CORP COM 06846N104 16647 417126SH SOLE 417126 BLACKROCK INC COM 09247X101 36 180SH SOLE 180 BLACKSTONE GROUP L P COM UNITS 09253U108 24 1340SH SOLE 1340 CANADIAN NAT RES LTD COM 136385101 16180 328300SH SOLE 328300 CHESAPEAKE ENERGY CORP COM 165167107 15550 463900SH SOLE 463900 CHEVRON CORP COM 166764100 15964 148600SH SOLE 148600 CONOCOPHILLIPS COM 20825C104 16059 201090SH SOLE 201090 DEVON ENERGY CORP COM 25179M103 15490 168790SH SOLE 168790 FEDERATED INVS INC COM CL B 314211103 20 730SH SOLE 730 FOREST OIL CORP COM 346091705 8292 219200SH SOLE 219200 FORTRESS INVESTMENT GROUP COM CL A 34958B106 19 3320SH SOLE 3320 FRANKLIN RES COM 354613101 23 180SH SOLE 180 GENERAL DYNAMICS CORP COM 369550108 28 370SH SOLE 370 HALLIBURTON CO COM 406216101 17044 341970SH SOLE 341970 HELIX ENERGY SOLUTIONS COM 42330P107 11525 670030SH SOLE 670030 HESS CORP COM 42809H107 16436 192890SH SOLE 192890 ILLINOIS TOOL WKS COM 452308109 15 280SH SOLE 280 ITRON INC COM 465741106 173 3070SH SOLE 3070 JA SOLAR HOLDINGS CO LTD ADR 466090107 8582 1E+06SH SOLE 1E+06 JANUS CAP GROUP INC COM 47102X105 29 2320SH SOLE 2320 JOHNSON & JOHNSON COM 478160104 14 240SH SOLE 240 L-3 COMMUNICATIONS HLDGS INC COM 502424104 28 360SH SOLE 360 LDK SOLAR CO LTD ADR 50183L107 151 12350SH SOLE 12350 MARATHON OIL CORP COM 565849106 16399 307620SH SOLE 307620 MATTEL INC COM 577081102 15 590SH SOLE 590 MEMC ELECTR MATLS INC COM 552715104 147 11380SH SOLE 11380 MICROSOFT CORP COM 594918104 14 540SH SOLE 540 NETEASE COM INC ADR 64110W102 13 260SH SOLE 260 NEWFIELD EXPL CO COM 651290108 16038 211000SH SOLE 211000 NEXEN INC COM 65334H102 14974 602660SH SOLE 602660 NOBLE ENERGY INC COM 655044105 16076 166335SH SOLE 166335 OCH ZIFF CAP MGMT GROUP COM CL A 67551U105 20 1220SH SOLE 1220 ORMAT TECHNOLOGIES INC COM 686688102 151 5970SH SOLE 5970 PATTERSON UTI ENERGY INC COM 703481101 11302 384540SH SOLE 384540 PEPSICO INC COM 713448108 25 390SH SOLE 390 POWER ONE INC COM 73930R102 150 17140SH SOLE 17140 PROCTER & GAMBLE CO COM 742718109 15 240SH SOLE 240 RAYMOND JAMES FINANCIAL INC COM 754730109 22 580SH SOLE 580 RENESOLA LTD ADS 75971T103 182 17260SH SOLE 17260 REYNOLDS AMERICAN INC COM 761713106 28 790SH SOLE 790 SOHU COM INC COM 83408W103 31 350SH SOLE 350 STATE STR CORP COM 857477103 18 410SH SOLE 410 STR HLDGS INC COM 78478V100 164 8570SH SOLE 8570 SUNCOR ENERGY INC COM 867224107 15638 349855SH SOLE 349855 SUNPOWER CORP COM CL B 867652307 143 8590SH SOLE 8590 SUNTECH PWR HLDGS CO LTD ADR 86800C104 165 16770SH SOLE 16770 TRINA SOLAR LIMITED ADR 89628E104 8957 297370SH SOLE 297370 UNIT CORP COM 909218109 16237 262094SH SOLE 262094 V F CORP COM 918204108 29 290SH SOLE 290 VALERO ENERGY CORP COM 91913Y100 16299 546575SH SOLE 546575 WADDELL & REED FINL INC COM CL A 930059100 52 1270SH SOLE 1270 WAL MART STORES INC COM 931142103 15 280SH SOLE 280 YINGLI GREEN ENERGY HLDG CO ADR 98584B103 155 11990SH SOLE 11990
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