Guinness Atkinson Asset Management Inc

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CIK 1409765

13F portfolio (2026-Q1)

$200M

Positions

123

Implied 1Y CAGR

modeled · as filed

Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2025-Q4. A lagged quarterly snapshot (filed ≤45 days after quarter-end); excludes shorts, options, cash, and shares listed only on non-US exchanges — foreign companies held via a US listing or ADR (e.g. Alibaba, TSMC) ARE included.

Implied return what this book implies · modeled, not advice methodology →

Open in PORT →

As filed = each book applied at its quarter-end (what the reported book did) · As copyable = applied at its statutory 45-day filing deadline (what a 13F follower could have earned).

Computing…

Hypothetical modeled performance constructed with hindsight — not actual results, and not indicative of future results. See the Disclaimer.

Exposures · what this manager owns, by sector & size (2026-Q1)

Holdings

123

Top 5

19.1%

Top 10

34.9%

Effective N

39.8

HHI

0.025

This quarter

3 new · 0 exit →

By sector

Information Technology54.6%

Financials12.0%

Communication Services9.5%

Industrials6.3%

Consumer Discretionary4.5%

Health Care4.5%

Energy4.1%

Consumer Staples1.8%

Other2.6%

By market cap

Mega (>$200B)45.7%

Large ($10–200B)43.6%

Unknown8.4%

Mid ($2–10B)2.0%

Small ($300M–2B)0.3%

By region

North America93.1%

Asia-Pacific6.9%

Other0.0%

By industry group GICS — finer than sector

Industry group	Weight	Names
Semiconductors & Semiconductor Equipment	20.62%	15
Technology Hardware & Equipment	19.76%	10
Software	11.94%	6
Software & IT Services	6.53%	7
Commercial Services & Supplies	6.34%	4
Machinery	4.71%	4
Oil, Gas & Consumable Fuels	4.14%	15
Capital Markets	4.13%	5
Specialty Retail	3.62%	3
Media & Entertainment	3.62%	2
Health Care Equipment & Supplies	3.31%	2
Insurance	1.69%	4
Utilities	1.57%	10
Pharmaceuticals & Biotechnology	1.18%	2
Beverages	1.14%	2
Electrical Equipment & Components	0.99%	2
Professional Services	0.92%	2
Chemicals	0.79%	2
Automobiles & Components	0.77%	4
Food Products	0.69%	4
Communications Equipment	0.61%	1
Construction & Engineering	0.37%	2
Construction Materials	0.23%	1
Distributors	0.15%	1
Banks	0.12%	1
Equity Real Estate Investment Trusts (REITs)	0.04%	7
Unclassified	0.01%	1
Road & Rail	0.01%	1
Aerospace & Defense	0.01%	1
Paper & Forest Products	0.00%	1
Life Sciences Tools & Services	0.00%	1

Top holdings

#	Ticker	Name	Sector	Weight
1	AVGO	Broadcom Inc.	Information Technology	4.41%
2	TSM	Taiwan Semiconductor Manufacturing Co Ltd	Information Technology	4.34%
3	NFLX	NETFLIX INC	Communication Services	3.62%
4	MSFT	MICROSOFT CORP	Information Technology	3.43%
5	MDT	Medtronic plc	Health Care	3.31%
6	APH	AMPHENOL CORP /DE/	Information Technology	3.30%
7	ROP	ROPER TECHNOLOGIES INC	Information Technology	3.21%
8	AMZN	AMAZON COM INC	Consumer Discretionary	3.14%
9	NVDA	NVIDIA CORP	Information Technology	3.08%
10	ICE	Intercontinental Exchange, Inc.	Financials	3.07%

122/123 names classified · sector 100.0% of weight · industry 100.0% · mkt cap 91.6%; unclassified names shown, never dropped.

Sector allocation over time · how the GICS mix & top names shifted quarter by quarter

top 5/sector, rest → “Other” · 52 quarters

Information TechnologyCSCO, NTES, QCOM, CTSH, BIDU · other

FinancialsICE, PYPL, MA, V, WT · other

Communication ServicesGOOGL, CMCSA, META, NFLX, LUMN · other

EnergySLB, CNQ, HAL, HLX, BP · other

IndustrialsLRCX, BA, EBAY, BABA, ETN · other

Consumer DiscretionaryAMZN, HRB, JD, THRM, BBY · other

Health CareBMY, GILD, ABBV, JNJ, MDT · other

MaterialsNKE, PG, OC, CSL, AVY

UtilitiesORA, NEE, CIG, KMI, WMB · other

Consumer StaplesPEP, KO, MDLZ, DAR, HSY · other

Real EstateVTR, PLD, EQIX, DLR, WELL · other

UnclassifiedNEW ORIENTAL ED & TECHNOLOGY, VERIFONE SYS INC, L-3 COMMUNICATIONS HLDGS INC, TD AMERITRADE HLDG CORP, GANNETT INC · other

Sector is classified on each name's CURRENT fundamentals, not point-in-time — apparent sector drift can reflect the market re-rating a holding, not a manager trade. 13F is a lagged quarterly snapshot of long positions in US-listed securities only — foreign companies held via a US listing or ADR ARE included, but shares listed only on non-US exchanges (plus shorts, options and cash) are not. Latest quarter: 100.0% of the book is sector-classified (unclassified names shown, never dropped).

Style box · size × value-growth placement of the reported book (2026-Q1), classified on current fundamentals (not point-in-time) — load it into PORT to overlay your own portfolio

holdings, colored by sector (108 classified)Guinness Atkinson Asset Management Inc centroid (Large Core)

Information TechnologyFinancialsCommunication ServicesIndustrialsHealth CareConsumer DiscretionaryEnergyConsumer StaplesUtilitiesMaterialsReal Estate

Style box summary for Guinness Atkinson Asset Management Inc: centroid Large Core. Heaviest cells: Large Growth 40.7%, Large Core 20.7%, Large Value 12.1%.

Classified: 91.3% of book weight (108/123 names) · unclassified 8.7%: TSM, NTES, BIDU, JD, CNQ, SU, IMO, CVE, BABA, ENB +5 more. Size: cap 70/20/10 bands; style: value/growth composite on our own metrics — not Morningstar's model.

Contribution holdings-based, any period

No contribution data for this period.

Holdings· 123 positions (2026-Q1) · largest first · Δ vs 2025-Q4

#	Security	Shares	Value	Weight	Δ QoQ
1	AVGOBROADCOM INC	28,517	$9M	4.4%	ADD 9%
2	TSMTAIWAN SEMICONDUCTOR MFG LTD	25,684	$9M	4.3%	TRIM −16%
3	NFLXNETFLIX INC	75,298	$7M	3.6%	ADD 39%
4	MSFTMICROSOFT CORP	18,566	$7M	3.4%	ADD 28%
5	MDTMEDTRONIC PLC	76,481	$7M	3.3%	ADD 4%
6	APHAMPHENOL CORP	52,213	$7M	3.3%	TRIM −7%
7	ROPROPER TECHNOLOGIES INC	18,169	$6M	3.2%	ADD 32%
8	AMZNAMAZON COM INC	30,164	$6M	3.1%	ADD 14%
9	NVDANVIDIA CORPORATION	35,389	$6M	3.1%	HOLD
10	ICEINTERCONTINENTAL EXCHANGE IN	39,137	$6M	3.1%	TRIM −4%
11	MAMASTERCARD INCORPORATED	12,270	$6M	3.1%	ADD 8%
12	KLACKLA CORP	4,134	$6M	3.0%	TRIM −23%
13	CRMSALESFORCE INC	32,504	$6M	3.0%	ADD 26%
14	TMOTHERMO FISHER SCIENTIFIC INC	12,343	$6M	3.0%	ADD 14%
15	AMATAPPLIED MATLS INC	17,729	$6M	3.0%	TRIM −39%
16	VVISA INC	19,959	$6M	3.0%	ADD 13%
17	GOOGLALPHABET INC	20,530	$6M	2.9%	TRIM −5%
18	AAPLAPPLE INC	23,043	$6M	2.9%	ADD 7%
19	AMEAMETEK INC	27,172	$6M	2.9%	TRIM −13%
20	DHRDANAHER CORP DEL	30,342	$6M	2.9%	ADD 5%
21	LRCXLAM RESEARCH CORP	26,038	$6M	2.8%	TRIM −37%
22	METAMETA PLATFORMS INC	9,604	$5M	2.7%	TRIM −6%
23	ADBEADOBE INC	18,709	$5M	2.3%	HOLD
24	INTUINTUIT	9,348	$4M	2.0%	HOLD
25	ETNEATON CORP PLC	6,829	$2M	1.2%	TRIM −3%
26	NTESNETEASE COM INC	20,880	$2M	1.2%	ADD 32%
27	AFLAFLAC INC	20,456	$2M	1.1%	ADD 19%
28	QCOMQUALCOMM INC	9,427	$1M	0.6%	ADD 93%
29	JNJJOHNSON & JOHNSON	4,841	$1M	0.6%	TRIM −31%
30	ABBVABBVIE INC	5,426	$1M	0.6%	TRIM −6%
31	CSCOCISCO SYS INC	15,078	$1M	0.6%	TRIM −14%
32	KOCOCA COLA CO	15,341	$1M	0.6%	TRIM −6%
33	PAYXPAYCHEX INC	12,444	$1M	0.6%	ADD 67%
34	BIDUBAIDU INC	10,223	$1M	0.6%	HOLD
35	MDLZMONDELEZ INTL INC	19,656	$1M	0.6%	ADD 5%
36	AJGGALLAGHER ARTHUR J & CO	5,191	$1M	0.6%	ADD 54%
37	PEPPEPSICO INC	7,126	$1M	0.6%	TRIM −6%
38	TXNTEXAS INSTRS INC	5,682	$1M	0.6%	TRIM −6%
39	NEENEXTERA ENERGY INC	11,873	$1M	0.6%	HOLD
40	CMECME GROUP INC	3,695	$1M	0.5%	TRIM −18%
41	HUBBHUBBELL INC	2,144	$1M	0.5%	HOLD
42	ITWILLINOIS TOOL WKS INC	4,003	$1M	0.5%	TRIM −6%
43	PGPROCTER AND GAMBLE CO	7,196	$1M	0.5%	ADD 10%
44	BLKBLACKROCK INC	1,047	$1M	0.5%	TRIM −6%
45	EMREMERSON ELEC CO	7,656	$1M	0.5%	TRIM −11%
46	OTISOTIS WORLDWIDE CORP	12,781	$985,159	0.5%	ADD 14%
47	JDJD.COM INC	32,438	$959,192	0.5%	HOLD
48	TTTRANE TECHNOLOGIES PLC	2,226	$927,663	0.5%	HOLD
49	STSENSATA TECHNOLOGIES HLDG PL	25,146	$885,642	0.4%	HOLD
50	NXPINXP SEMICONDUCTORS N V	4,360	$858,310	0.4%	HOLD
51	XOMEXXON MOBIL CORP	4,928	$836,084	0.4%	ADD 8%
52	ORAORMAT TECHNOLOGIES INC	7,386	$826,641	0.4%	HOLD
53	APTVAPTIV PLC	11,695	$812,101	0.4%	HOLD
54	VLOVALERO ENERGY CORP	3,127	$772,619	0.4%	ADD 8%
55	CVXCHEVRON CORP NEW	3,556	$735,736	0.4%	ADD 8%
56	ACMAECOM	8,259	$700,528	0.3%	NEW
57	COPCONOCOPHILLIPS	5,126	$676,632	0.3%	ADD 8%
58	FSLRFIRST SOLAR INC	3,393	$669,303	0.3%	HOLD
59	CNQCANADIAN NAT RES LTD	12,483	$608,634	0.3%	ADD 8%
60	SUSUNCOR ENERGY INC NEW	9,055	$598,702	0.3%	ADD 8%
61	ITRIITRON INC	6,410	$574,528	0.3%	HOLD
62	IMOIMPERIAL OIL LTD	4,338	$568,001	0.3%	ADD 8%
63	CSLCARLISLE COS INC	1,630	$543,801	0.3%	HOLD
64	CVECENOVUS ENERGY INC	20,286	$536,453	0.3%	ADD 8%
65	BABAALIBABA GROUP HLDG LTD	4,201	$527,057	0.3%	TRIM −12%
66	FANGDIAMONDBACK ENERGY INC	2,649	$523,946	0.3%	ADD 8%
67	EOGEOG RES INC	3,581	$517,705	0.3%	ADD 8%
68	DVNDEVON ENERGY CORP NEW	10,185	$512,509	0.3%	ADD 8%
69	OCOWENS CORNING NEW	4,328	$468,376	0.2%	HOLD
70	HALHALLIBURTON CO	11,972	$466,788	0.2%	ADD 8%
71	SLBSCHLUMBERGER LTD	8,715	$447,864	0.2%	ADD 8%
72	PWRQUANTA SVCS INC	740	$406,275	0.2%	HOLD
73	KMIKINDER MORGAN INC DEL	11,872	$398,068	0.2%	ADD 8%
74	WMBWILLIAMS COS INC	5,410	$393,740	0.2%	ADD 8%
75	ENBENBRIDGE INC	6,983	$378,061	0.2%	ADD 8%
76	BKRBAKER HUGHES COMPANY	6,185	$377,594	0.2%	ADD 8%
77	TRPTC ENERGY CORP	5,800	$362,439	0.2%	ADD 8%
78	DANDANA INC	10,386	$349,489	0.2%	HOLD
79	ADIANALOG DEVICES INC	1,026	$326,412	0.2%	HOLD
80	AMRCAMERESCO INC	12,768	$325,584	0.2%	HOLD
81	GOOGALPHABET INC	1,098	$314,972	0.2%	HOLD
82	CSIQCANADIAN SOLAR INC	21,899	$303,301	0.2%	HOLD
83	TELTE CONNECTIVITY PLC	1,405	$293,673	0.1%	HOLD
84	TSLATESLA INC	740	$275,095	0.1%	HOLD
85	HDBHDFC BANK LTD	9,400	$233,872	0.1%	HOLD
86	DARDARLING INGREDIENTS INC	3,648	$225,629	0.1%	HOLD
87	ATHMAUTOHOME INC	12,300	$213,651	0.1%	HOLD
88	ONON SEMICONDUCTOR CORP	2,958	$183,159	0.1%	TRIM −77%
89	ENPHENPHASE ENERGY INC	4,616	$174,531	0.1%	HOLD
90	POWIPOWER INTEGRATIONS INC	3,228	$165,274	0.1%	HOLD
91	THRMGENTHERM INC	4,044	$112,342	0.1%	HOLD
92	SWKSSKYWORKS SOLUTIONS INC	1,986	$106,350	0.1%	HOLD
93	HLXHELIX ENERGY SOLUTIONS GRP I	10,556	$104,399	0.1%	ADD 8%
94	MBLYMOBILEYE GLOBAL INC	6,000	$41,220	0.0%	HOLD
95	EQIXEQUINIX INC	13	$12,743	0.0%	HOLD
96	VTRVENTAS INC	152	$12,431	0.0%	HOLD
97	DUKDUKE ENERGY CORP NEW	93	$12,177	0.0%	HOLD
98	WELLWELLTOWER INC	60	$11,863	0.0%	NEW
99	PLDPROLOGIS INC.	88	$11,632	0.0%	HOLD
100	BIPBROOKFIELD INFRAST PARTNERS	320	$11,539	0.0%	HOLD
101	AEPAMERICAN ELEC PWR CO INC	88	$11,535	0.0%	HOLD
102	DLRDIGITAL RLTY TR INC	63	$11,353	0.0%	HOLD
103	WECWEC ENERGY GROUP INC	98	$11,345	0.0%	HOLD
104	UNPUNION PAC CORP	46	$11,161	0.0%	HOLD
105	LNTALLIANT ENERGY CORP	155	$11,123	0.0%	HOLD
106	WTRGESSENTIAL UTILS INC	276	$11,115	0.0%	HOLD
107	LMTLOCKHEED MARTIN CORP	17	$10,275	0.0%	HOLD
108	AMTAMERICAN TOWER CORP	59	$10,182	0.0%	HOLD
109	SBACSBA COMMUNICATIONS CORP NEW	56	$9,638	0.0%	HOLD
110	HSYHERSHEY CO	44	$9,147	0.0%	HOLD
111	MRSHMARSH & MCLENNAN COS INC	44	$8,039	0.0%	HOLD
112	AVYAVERY DENNISON CORP	45	$7,771	0.0%	HOLD
113	OMCOMNICOM GROUP INC	100	$7,531	0.0%	HOLD
114	IVZINVESCO LTD	308	$7,481	0.0%	HOLD
115	TSCOTRACTOR SUPPLY CO	158	$7,157	0.0%	HOLD
116	TROWPRICE T ROWE GROUP INC	79	$7,121	0.0%	HOLD
117	FNFFIDELITY NATL FINL INC	147	$6,818	0.0%	HOLD
118	BDXBECTON DICKINSON & CO	42	$6,604	0.0%	HOLD
119	GISGENERAL MILLS INC	171	$6,365	0.0%	HOLD
120	ADPAUTOMATIC DATA PROCESSING IN	31	$6,299	0.0%	HOLD
121	FDSFACTSET RESH SYS INC	29	$6,293	0.0%	HOLD
122	BRBROADRIDGE FINL SOLUTIONS IN	36	$5,849	0.0%	HOLD
123	WATWATERS CORP	5	$1,489	0.0%	NEW

Position trends· top 15 holdings · shares held over 6 quarters

green added · red trimmed

Security

2024-Q4

2025-Q1

2025-Q2

2025-Q3

2025-Q4

2026-Q1

Latest value

AVGOBROADCOM INC

12K

26K

29K

$9M

TSMTAIWAN SEMICONDUCTOR MFG LTD

49K

46K

43K

35K

31K

26K

$9M

NFLXNETFLIX INC

54K

75K

$7M

MSFTMICROSOFT CORP

18K

17K

16K

15K

19K

$7M

MDTMEDTRONIC PLC

—

78K

74K

76K

$7M

APHAMPHENOL CORP

106K

110K

95K

70K

56K

52K

$7M

ROPROPER TECHNOLOGIES INC

11K

10K

11K

14K

18K

$6M

AMZNAMAZON COM INC

35K

33K

31K

28K

27K

30K

$6M

NVDANVIDIA CORPORATION

63K

60K

53K

49K

35K

$6M

ICEINTERCONTINENTAL EXCHANGE IN

44K

42K

39K

36K

41K

39K

$6M

MAMASTERCARD INCORPORATED

15K

14K

13K

12K

11K

12K

$6M

KLACKLA CORP

$6M

CRMSALESFORCE INC

21K

20K

18K

20K

26K

33K

$6M

TMOTHERMO FISHER SCIENTIFIC INC

12K

11K

10K

11K

12K

$6M

AMATAPPLIED MATLS INC

38K

36K

33K

31K

29K

18K

$6M

Shares reported each quarter by the largest current holdings. Green = added vs the prior filing of that name, red = trimmed, grey = roughly held; a dash is a quarter with no 13F on file (a gap is skipped, not read as an exit). 13F is filed up to 45 days after quarter-end. Up to 40 quarters (10 years) available — use the selector above.

☆Guinness Atkinson Asset Management Inc