# EDGAR Filing Document

**Accession Number:** 0001409765
**File Stem:** 0001085146-23-000564
**Filing Date:** 2023-2
**Character Count:** 13376
**Document Hash:** 0d60fc4182282770c9cc0bd7e58297df
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001085146-23-000564.hdr.sgml**: 20230202

**ACCESSION NUMBER**: 0001085146-23-000564

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230202

**DATE AS OF CHANGE**: 20230202

**EFFECTIVENESS DATE**: 20230202

**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:** 23578832

**BUSINESS ADDRESS:**
- **STREET 1:** 225 SOUTH LAKE AVENUE, SUITE 216
- **CITY:** PASADENA
- **STATE:** CA
- **ZIP:** 91101
- **BUSINESS PHONE:** 818 716 2739

**MAIL ADDRESS:**
- **STREET 1:** 225 SOUTH LAKE AVENUE, SUITE 216
- **CITY:** PASADENA
- **STATE:** CA
- **ZIP:** 91101

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**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<br>**Address:** 225 SOUTH LAKE AVENUE SUITE 216<br>PASADENA, CA 91101

**Form 13F File Number:** 028-12657

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<br>**Title:** CFO<br>**Phone:** 442072221665

**Signature, Place, and Date of Signing:**

/s/Giles Robinette  London, X0  02-02-2023<br>[Signature]  [City, State]  [Date]

**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 are reported 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:** 104

**Form 13F Information Table Value Total:** $158905876

      (round to nearest dollar)

**List of Other Included Managers:**

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.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| ABBVIE INC | COM | 00287Y109 |  | 591008 | 3657 | SH |  | SOLE |  | 3657 | 0 | 0 |
| ACUITYADS HLDGS INC | COM | 00510L106 |  | 16776 | 10823 | SH |  | SOLE |  | 10823 | 0 | 0 |
| ADOBE SYSTEMS INCORPORATED | COM | 00724F101 |  | 3497556 | 10393 | SH |  | SOLE |  | 10393 | 0 | 0 |
| AFLAC INC | COM | 001055102 |  | 741989 | 10314 | SH |  | SOLE |  | 10314 | 0 | 0 |
| ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 |  | 1057080 | 12000 | SH |  | SOLE |  | 12000 | 0 | 0 |
| ALPHABET INC | CAP STK CL A | 02079K305 |  | 3897031 | 44169 | SH |  | SOLE |  | 44169 | 0 | 0 |
| ALPHABET INC | CAP STK CL C | 02079K107 |  | 298133 | 3360 | SH |  | SOLE |  | 3360 | 0 | 0 |
| AMAZON COM INC | COM | 023135106 |  | 3048864 | 36296 | SH |  | SOLE |  | 36296 | 0 | 0 |
| AMERESCO INC | CL A | 02361E108 |  | 1103373 | 19310 | SH |  | SOLE |  | 19310 | 0 | 0 |
| AMPHENOL CORP NEW | CL A | 032095101 |  | 6346497 | 83353 | SH |  | SOLE |  | 83353 | 0 | 0 |
| ANALOG DEVICES INC | COM | 032654105 |  | 383830 | 2340 | SH |  | SOLE |  | 2340 | 0 | 0 |
| APPLE INC | COM | 037833100 |  | 4140479 | 31867 | SH |  | SOLE |  | 31867 | 0 | 0 |
| APPLIED MATLS INC | COM | 038222105 |  | 4677064 | 48029 | SH |  | SOLE |  | 48029 | 0 | 0 |
| ATLASSIAN CORPORATION | CL A | 049468101 |  | 30111 | 234 | SH |  | SOLE |  | 234 | 0 | 0 |
| AUTOHOME INC | SP ADS RP CL A | 05278C107 |  | 517140 | 16900 | SH |  | SOLE |  | 16900 | 0 | 0 |
| BAIDU INC | SPON ADR REP A | 056752108 |  | 1739148 | 15205 | SH |  | SOLE |  | 15205 | 0 | 0 |
| BAKER HUGHES COMPANY | CL A | 05722G100 |  | 239813 | 8121 | SH |  | SOLE |  | 8121 | 0 | 0 |
| BLACKROCK INC | COM | 09247X101 |  | 600918 | 848 | SH |  | SOLE |  | 848 | 0 | 0 |
| BRISTOL-MYERS SQUIBB CO | COM | 110122108 |  | 4735245 | 65813 | SH |  | SOLE |  | 65813 | 0 | 0 |
| BROADCOM INC | COM | 11135F101 |  | 1292150 | 2311 | SH |  | SOLE |  | 2311 | 0 | 0 |
| CANADIAN NAT RES LTD | COM | 136385101 |  | 512633 | 9231 | SH |  | SOLE |  | 9231 | 0 | 0 |
| CANADIAN SOLAR INC | COM | 136635109 |  | 988986 | 32006 | SH |  | SOLE |  | 32006 | 0 | 0 |
| CENOVUS ENERGY INC | COM | 15135U109 |  | 530076 | 27320 | SH |  | SOLE |  | 27320 | 0 | 0 |
| CHEVRON CORP NEW | COM | 166764100 |  | 978579 | 5452 | SH |  | SOLE |  | 5452 | 0 | 0 |
| CISCO SYS INC | COM | 17275R102 |  | 581160 | 12199 | SH |  | SOLE |  | 12199 | 0 | 0 |
| CME GROUP INC | COM | 12572Q105 |  | 556610 | 3310 | SH |  | SOLE |  | 3310 | 0 | 0 |
| COCA COLA CO | COM | 191216100 |  | 600160 | 9435 | SH |  | SOLE |  | 9435 | 0 | 0 |
| COMCAST CORP NEW | CL A | 20030N101 |  | 3774382 | 107932 | SH |  | SOLE |  | 107932 | 0 | 0 |
| CONOCOPHILLIPS | COM | 20825C104 |  | 792724 | 6718 | SH |  | SOLE |  | 6718 | 0 | 0 |
| CRITEO S A | SPONS ADS | 226718104 |  | 58635 | 2250 | SH |  | SOLE |  | 2250 | 0 | 0 |
| DANA INC | COM | 235825205 |  | 263807 | 17436 | SH |  | SOLE |  | 17436 | 0 | 0 |
| DANAHER CORPORATION | COM | 235851102 |  | 5161623 | 19447 | SH |  | SOLE |  | 19447 | 0 | 0 |
| DEVON ENERGY CORP NEW | COM | 25179M103 |  | 588343 | 9565 | SH |  | SOLE |  | 9565 | 0 | 0 |
| DIAMONDBACK ENERGY INC | COM | 25278X109 |  | 569005 | 4160 | SH |  | SOLE |  | 4160 | 0 | 0 |
| DIGITAL TURBINE INC | COM NEW | 25400W102 |  | 24277 | 1593 | SH |  | SOLE |  | 1593 | 0 | 0 |
| EMERSON ELEC CO | COM | 291011104 |  | 605466 | 6303 | SH |  | SOLE |  | 6303 | 0 | 0 |
| ENBRIDGE INC | COM | 29250N105 |  | 411684 | 10529 | SH |  | SOLE |  | 10529 | 0 | 0 |
| ENPHASE ENERGY INC | COM | 29355A107 |  | 1073618 | 4052 | SH |  | SOLE |  | 4052 | 0 | 0 |
| EOG RES INC | COM | 26875P101 |  | 581286 | 4488 | SH |  | SOLE |  | 4488 | 0 | 0 |
| EXXON MOBIL CORP | COM | 30231G102 |  | 1059762 | 9608 | SH |  | SOLE |  | 9608 | 0 | 0 |
| FIRST SOLAR INC | COM | 336433107 |  | 1460752 | 9752 | SH |  | SOLE |  | 9752 | 0 | 0 |
| GALLAGHER ARTHUR J  CO | COM | 363576109 |  | 573539 | 3042 | SH |  | SOLE |  | 3042 | 0 | 0 |
| GENTHERM INC | COM | 37253A103 |  | 1527460 | 23395 | SH |  | SOLE |  | 23395 | 0 | 0 |
| HALLIBURTON CO | COM | 406216101 |  | 294613 | 7487 | SH |  | SOLE |  | 7487 | 0 | 0 |
| HELIX ENERGY SOLUTIONS GRP I | COM | 42330P107 |  | 158065 | 21418 | SH |  | SOLE |  | 21418 | 0 | 0 |
| HUBBELL INC | COM | 443510607 |  | 1236764 | 5270 | SH |  | SOLE |  | 5270 | 0 | 0 |
| HUBSPOT INC | COM | 443573100 |  | 41635 | 144 | SH |  | SOLE |  | 144 | 0 | 0 |
| ILLINOIS TOOL WKS INC | COM | 452308109 |  | 588862 | 2673 | SH |  | SOLE |  | 2673 | 0 | 0 |
| IMPERIAL OIL LTD | COM NEW | 453038408 |  | 543742 | 11163 | SH |  | SOLE |  | 11163 | 0 | 0 |
| INTEL CORP | COM | 458140100 |  | 201714 | 7632 | SH |  | SOLE |  | 7632 | 0 | 0 |
| INTERCONTINENTAL EXCHANGE IN | COM | 45866F104 |  | 5204493 | 50731 | SH |  | SOLE |  | 50731 | 0 | 0 |
| INTUIT | COM | 461202103 |  | 4819322 | 12382 | SH |  | SOLE |  | 12382 | 0 | 0 |
| ITRON INC | COM | 465741106 |  | 859277 | 16965 | SH |  | SOLE |  | 16965 | 0 | 0 |
| JD.COM INC | SPON ADR CL A | 47215P106 |  | 2211522 | 39400 | SH |  | SOLE |  | 39400 | 0 | 0 |
| JOHNSON  JOHNSON | COM | 478160104 |  | 591248 | 3347 | SH |  | SOLE |  | 3347 | 0 | 0 |
| KINDER MORGAN INC DEL | COM | 49456B101 |  | 378125 | 20914 | SH |  | SOLE |  | 20914 | 0 | 0 |
| KLA CORP | COM NEW | 482480100 |  | 5115920 | 13569 | SH |  | SOLE |  | 13569 | 0 | 0 |
| LAM RESEARCH CORP | COM | 512807108 |  | 4242929 | 10095 | SH |  | SOLE |  | 10095 | 0 | 0 |
| LEAR CORP | COM NEW | 521865204 |  | 279789 | 2256 | SH |  | SOLE |  | 2256 | 0 | 0 |
| LIVERAMP HLDGS INC | COM | 53815P108 |  | 30167 | 1287 | SH |  | SOLE |  | 1287 | 0 | 0 |
| MAGNITE INC | COM | 55955D100 |  | 36122 | 3411 | SH |  | SOLE |  | 3411 | 0 | 0 |
| MASTERCARD INCORPORATED | CL A | 57636Q104 |  | 5858207 | 16847 | SH |  | SOLE |  | 16847 | 0 | 0 |
| META PLATFORMS INC | CL A | 30303M102 |  | 2279721 | 18944 | SH |  | SOLE |  | 18944 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 |  | 5579413 | 23265 | SH |  | SOLE |  | 23265 | 0 | 0 |
| MONDELEZ INTL INC | CL A | 609207105 |  | 591119 | 8869 | SH |  | SOLE |  | 8869 | 0 | 0 |
| NETEASE INC | SPONSORED ADS | 64110W102 |  | 1967619 | 27091 | SH |  | SOLE |  | 27091 | 0 | 0 |
| NEXTERA ENERGY INC | COM | 65339F101 |  | 1545095 | 18482 | SH |  | SOLE |  | 18482 | 0 | 0 |
| NIKE INC | CL B | 654106103 |  | 4766636 | 40737 | SH |  | SOLE |  | 40737 | 0 | 0 |
| NVIDIA CORPORATION | COM | 67066G104 |  | 3399509 | 23262 | SH |  | SOLE |  | 23262 | 0 | 0 |
| ON SEMICONDUCTOR CORP | COM | 682189105 |  | 1672763 | 26820 | SH |  | SOLE |  | 26820 | 0 | 0 |
| ORMAT TECHNOLOGIES INC | COM | 686688102 |  | 1215476 | 14055 | SH |  | SOLE |  | 14055 | 0 | 0 |
| OTIS WORLDWIDE CORP | COM | 68902V107 |  | 598915 | 7648 | SH |  | SOLE |  | 7648 | 0 | 0 |
| PAYCHEX INC | COM | 704326107 |  | 563008 | 4872 | SH |  | SOLE |  | 4872 | 0 | 0 |
| PAYPAL HLDGS INC | COM | 70450Y103 |  | 3736913 | 52470 | SH |  | SOLE |  | 52470 | 0 | 0 |
| PEGASYSTEMS INC | COM | 705573103 |  | 24345 | 711 | SH |  | SOLE |  | 711 | 0 | 0 |
| PEPSICO INC | COM | 713448108 |  | 591842 | 3276 | SH |  | SOLE |  | 3276 | 0 | 0 |
| PIONEER NAT RES CO | COM | 723787107 |  | 523013 | 2290 | SH |  | SOLE |  | 2290 | 0 | 0 |
| POWER INTEGRATIONS INC | COM | 739276103 |  | 327043 | 4560 | SH |  | SOLE |  | 4560 | 0 | 0 |
| PROCTER AND GAMBLE CO | COM | 742718109 |  | 608362 | 4014 | SH |  | SOLE |  | 4014 | 0 | 0 |
| PUBMATIC INC | COM CL A | 74467Q103 |  | 29399 | 2295 | SH |  | SOLE |  | 2295 | 0 | 0 |
| QUALCOMM INC | COM | 747525103 |  | 93009 | 846 | SH |  | SOLE |  | 846 | 0 | 0 |
| QUANTA SVCS INC | COM | 74762E102 |  | 475380 | 3336 | SH |  | SOLE |  | 3336 | 0 | 0 |
| ROKU INC | COM CL A | 77543R102 |  | 15018 | 369 | SH |  | SOLE |  | 369 | 0 | 0 |
| ROPER TECHNOLOGIES INC | COM | 776696106 |  | 5648713 | 13073 | SH |  | SOLE |  | 13073 | 0 | 0 |
| SALESFORCE INC | COM | 79466L302 |  | 3789025 | 28577 | SH |  | SOLE |  | 28577 | 0 | 0 |
| SCHLUMBERGER LTD | COM STK | 806857108 |  | 722512 | 13515 | SH |  | SOLE |  | 13515 | 0 | 0 |
| SKYWORKS SOLUTIONS INC | COM | 83088M102 |  | 237303 | 2604 | SH |  | SOLE |  | 2604 | 0 | 0 |
| SOLAREDGE TECHNOLOGIES INC | COM | 83417M104 |  | 688913 | 2432 | SH |  | SOLE |  | 2432 | 0 | 0 |
| SUNCOR ENERGY INC NEW | COM | 867224107 |  | 466884 | 14718 | SH |  | SOLE |  | 14718 | 0 | 0 |
| SUNNOVA ENERGY INTL INC. | COM | 86745K104 |  | 440182 | 24441 | SH |  | SOLE |  | 24441 | 0 | 0 |
| SUNPOWER CORP | COM | 867652406 |  | 85048 | 4717 | SH |  | SOLE |  | 4717 | 0 | 0 |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 874039100 |  | 4839318 | 64966 | SH |  | SOLE |  | 64966 | 0 | 0 |
| TECHTARGET INC | COM | 87874R100 |  | 34499 | 783 | SH |  | SOLE |  | 783 | 0 | 0 |
| TESLA INC | COM | 88160R101 |  | 239462 | 1944 | SH |  | SOLE |  | 1944 | 0 | 0 |
| TEXAS INSTRS INC | COM | 882508104 |  | 559435 | 3386 | SH |  | SOLE |  | 3386 | 0 | 0 |
| THE TRADE DESK INC | COM CL A | 88339J105 |  | 40347 | 900 | SH |  | SOLE |  | 900 | 0 | 0 |
| THERMO FISHER SCIENTIFIC INC | COM | 883556102 |  | 5653934 | 10267 | SH |  | SOLE |  | 10267 | 0 | 0 |
| TPI COMPOSITES INC | COM | 87266J104 |  | 190104 | 18748 | SH |  | SOLE |  | 18748 | 0 | 0 |
| TREMOR INTL LTD | ADS | 89484T104 |  | 28167 | 4367 | SH |  | SOLE |  | 4367 | 0 | 0 |
| V F CORP | COM | 918204108 |  | 371907 | 13470 | SH |  | SOLE |  | 13470 | 0 | 0 |
| VALERO ENERGY CORP | COM | 91913Y100 |  | 775495 | 6113 | SH |  | SOLE |  | 6113 | 0 | 0 |
| VISA INC | COM CL A | 92826C839 |  | 5441234 | 26190 | SH |  | SOLE |  | 26190 | 0 | 0 |
| ZOOM VIDEO COMMUNICATIONS IN | CL A | 98980L101 |  | 3098428 | 45740 | SH |  | SOLE |  | 45740 | 0 | 0 |
| ZOOMINFO TECHNOLOGIES INC | COMMON STOCK | 98980F104 |  | 30080 | 999 | SH |  | SOLE |  | 999 | 0 | 0 |

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