-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, C5gI6pg2DasbjZLCVE0DY5K0/QaH9qsf4nOvY21hwSgwyYpJ/2tY6MDGl8mn8QZp z81tAHbfs5qagzZ8lZeKWg== 0001409765-09-000002.txt : 20090421 0001409765-09-000002.hdr.sgml : 20090421 20090421065149 ACCESSION NUMBER: 0001409765-09-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090421 DATE AS OF CHANGE: 20090421 EFFECTIVENESS DATE: 20090421 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: 09760476 BUSINESS ADDRESS: STREET 1: 21550 OXNARD STREET, SUITE 750 CITY: WOODLAND HILLS STATE: CA ZIP: 91367 BUSINESS PHONE: 818 716 2739 MAIL ADDRESS: STREET 1: 21550 OXNARD STREET, SUITE 750 CITY: WOODLAND HILLS STATE: CA ZIP: 91367 13F-HR 1 gaam0903.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, 2009 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 21, 2009 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: 63 Form 13F Information Table Value Total: 61923 (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 - - ---------------------------------------------------------------------------------------------------------------------------------- AMAZON COM INC COM 023135106 1088 14820SH SOLE 14820 AMERICAN INTL GROUP INC COM 026874107 82 81665SH SOLE 81665 ANADARKO PETROLE COM 032511107 664 17070SH SOLE 17070 Apache Corp. COM 037411105 674 10509SH SOLE 10509 APPLIED MATERIALS INC COM 038222105 1060 98640SH SOLE 98640 BP PLC SPONSORED ADR 055622104 956 23850SH SOLE 23850 CHEVRON CORP COM 166764100 1031 15326SH SOLE 15326 CITIGROUP INC COM 172967101 349 137850SH SOLE 137850 COMPANHIA ENERGETICA DE MINAS SPON ADR PAR .0204409601 1449 98047SH SOLE 98047 CONOCOPHILLIPS COM 20825C104 1043 26628SH SOLE 26628 COSTCO WHSL CORP NEW COM 22160K105 1040 22450SH SOLE 22450 DAYSTAR TECHNOLOGIES INC COM 23962Q100 220 200000SH SOLE 200000 EBAY INC COM 278642103 1010 80390SH SOLE 80390 ECHELON CORP OC COM 27874N105 1788 221048SH SOLE 221048 ENCANA CORP COM 292505104 664 16236SH SOLE 16236 FIRST SOLAR INC COM 336433107 1592 12000SH SOLE 12000 HALLIBURTON CO COM 406216101 967 62500SH SOLE 62500 HELIX ENERGY SOL COM 42330P107 513 99880SH SOLE 99880 HESS CORP COM 42809H107 918 16943SH SOLE 16943 HONDA MOTOR LTD ADR AMER SHS 438128308 450 18990SH SOLE 18990 HSBC HLDGS PLC SPONSORED ADR N404280406 108 3824SH SOLE 3824 IMPERIAL OIL COM NEW 453038408 1076 29607SH SOLE 29607 INFOSPACE INC COM NEW 45678T201 934 179620SH SOLE 179620 JA SOLAR HLDGS CO LTD SPONSORED ADR 466090107 1480 439100SH SOLE 439100 L 3 COMMUNICATIONS HLDG CORP COM 502424104 898 13250SH SOLE 13250 LDK SOLAR CO LTD SPONSORED ADR 50183L107 354 55900SH SOLE 55900 MARATHON OIL CORP COM COM 565849106 1081 41100SH SOLE 41100 MEMC ELECTR MATLS INC COM 552715104 1322 80180SH SOLE 80180 MICROSOFT CORP COM 594918104 498 27118SH SOLE 27118 NETEASE COM INC SPONSORED ADR 64110W102 2390 89000SH SOLE 89000 NETFLIX COM INC COM 64110L106 1141 26590SH SOLE 26590 NEWFIELD EXPL CO COM 651290108 656 28886SH SOLE 28886 NEXEN INC COM 65334H102 1118 65921SH SOLE 65921 NOBLE ENERGY INC COM 655044105 1058 19635SH SOLE 19635 NOKIA CORP SPONSORED ADR 654902204 1123 96222SH SOLE 96222 NUCOR CORP COM 670346105 995 26080SH SOLE 26080 NVIDIA CORP COM 67066G104 1111 112665SH SOLE 112665 OCCIDENTAL PETE COM 674599105 1002 18008SH SOLE 18008 ORACLE CORP COM 68389X105 1056 58460SH SOLE 58460 ORMAT TECHNOLOGIES INC COM 686688102 1266 46119SH SOLE 46119 PARAMETRIC TECHNOLOGY CORP COM NEW 699173209 1133 113480SH SOLE 113480 PATTERSON-UTI COM 703481101 606 67670SH SOLE 67670 PEABODY ENERGY COM 704549104 632 25230SH SOLE 25230 PERFECT WORLD CO LT SPONSORED ADR R71372U104 1016 72400SH SOLE 72400 PETROBRAS-SP ADR SPONSORED ADR 71654V101 999 40760SH SOLE 40760 PETRO-CANADA COM 71644E102 1121 41730SH SOLE 41730 PIONEER NATURAL COM 723787107 689 41820SH SOLE 41820 QWEST COMMUNICATIONS INTL INC COM 749121109 898 262490SH SOLE 262490 RENESOLA LTD SPONSORED ADS 75971T103 1837 459200SH SOLE 459200 SCHLUMBERGER LTD COM 806857108 992 24430SH SOLE 24430 SOHU COM INC COM 83408W103 2135 51600SH SOLE 51600 SONY CORP AMER SH NEW 835699307 1160 56228SH SOLE 56228 STATE STREET CORPORATION COM 857477103 800 25984SH SOLE 25984 SUNCOR ENERGY INC COM 867229106 447 20050SH SOLE 20050 SUNPOWER CORP COM CL B 867652307 1153 58220SH SOLE 58220 SUNTECH PWR HLDGS CO LTD ADR 86800C104 1728 147811SH SOLE 147811 SWIFT ENERGY COMPANY COM 870738101 412 56400SH SOLE 56400 TAIWAN SEMICNDCTR MFG CO LTD SPONSORED ADR 874039100 1098 122706SH SOLE 122706 TD AMERITRADE HLDG CORP COM 87236Y108 1033 74780SH SOLE 74780 TOYOTA MTR CO ADR 2 COM 892331307 465 7350SH SOLE 7350 TRINA SOLAR LTD SPONSORED ADR 89628E104 2037 195500SH SOLE 195500 VODAFONE GROUP PLC NEW SPONSORED ADR N92857W209 459 26355SH SOLE 26355 WIND RIV SYS INC COM 973149107 848 132440SH SOLE 132440
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