| 1 | THADDEUS JULIAN CULPEPPER | -- | -- | 85 | A |
| 2 | THE FIRST FINANCIAL FEDERAL CREDIT UNION | -- | -- | 85 | A |
| 3 | FOOTGOULD III, LLC | -- | -- | 85 | A |
| 4 | Calstart, Inc. | -- | -- | 85 | A |
| 5 | GRIFFINEST ASIA SECURITIES, LLC | -- | -- | 85 | A |
| 6 | CLG PROPERTY MANAGEMENT, L.P. | -- | -- | 85 | A |
| 7 | Flaherty & Crumrine Incorporated | -- | -- | 85 | A |
| 8 | Guinness Atkinson China & Hong Kong Fund | -- | -- | 85 | A |
| 9 | RIGHT START MORTGAGE, INC. | -- | -- | 85 | A |
| 10 | Gumport/Munger Living Trust | -- | -- | 85 | A |
| 11 | Sunshine Estates LLC | -- | -- | 85 | A |
| 12 | DC SANTA ANITA HOLDINGS LLC | -- | -- | 85 | A |
| 13 | CLIFFORD SWAN INVESTMENT COUNSEL LLC | -- | -- | 85 | A |
| 14 | Rowles Holdings, LLC | -- | -- | 85 | A |
| 15 | STARLITE MGMT-II, LP | -- | -- | 85 | A |
| 16 | Monrovia Stor-All LLC | -- | -- | 85 | A |
| 17 | Collingwood LLC | -- | -- | 85 | A |
| 18 | Ming Hsieh Revocable Family Living Trust | -- | -- | 85 | A |
| 19 | C & Y Global Inc. | -- | -- | 85 | A |
| 20 | East West Bank | -- | -- | 85 | A |
| 21 | WHITTIER TRUST COMPANY | -- | -- | 85 | A |
| 22 | 2005 Manhattan Beach Boulevard, LLC | -- | -- | 85 | A |
| 23 | ATLAS PACIFIC CORPORATION | -- | -- | 85 | A |
| 24 | SIXTY-FOUR WEST VALLEY, LLC | -- | -- | 85 | A |
| 25 | Auriq Systems, Inc. | -- | -- | 85 | A |
| 26 | Pasadena Service Federal Credit Union | -- | -- | 85 | A |
| 27 | WESTLAKE AUTO MALL, LLC | -- | -- | 85 | A |
| 28 | DC COLORADO HOLDINGS LLC | -- | -- | 85 | A |
| 29 | GATEWAY D.C. PROPERTIES, INC. | -- | -- | 85 | A |
| 30 | THE 0312 RAMONA APTS., LP | -- | -- | 85 | A |
| 31 | Mentor Associates LLC | -- | -- | 85 | A |
| 32 | 3839 AUTO MALL, LLC | -- | -- | 85 | A |
| 33 | COBRA 28 NO. 2, LP | -- | -- | 85 | A |
| 34 | MBM BEACH PROPERTIES, LLC | -- | -- | 85 | A |
| 35 | C WOOD PROPERTIES, LLC | -- | -- | 85 | A |
| 36 | COBRA 28 NO.6, LP | -- | -- | 85 | A |
| 37 | MOBILE HOME GROUP II, LP | -- | -- | 85 | A |
| 38 | Guinness Atkinson Asia Pacific Dividend Builder ETF | -- | -- | 85 | A |
| 39 | Lomita Brand Properties LLC | -- | -- | 85 | A |
| 40 | BEST PLAN, LLC | -- | -- | 85 | A |
| 41 | A & H DISTRIBUTION LLC | -- | -- | 85 | A |
| 42 | Northridge Property, LLC | -- | -- | 85 | A |
| 43 | J. G. BOSWELL COMPANY | -- | 350 | 85 | A |
| 44 | STARLITE MGMT - III, LP | -- | -- | 85 | A |
| 45 | SCPMG VEBA Trust for Collectively Bargained Retirees | -- | -- | 85 | A |
| 46 | ACEM LLC | -- | -- | 85 | A |
| 47 | PARSONS Federal Credit Union | -- | -- | 85 | A |
| 48 | CBG UNIVERSITY GARDENS, L.P. | -- | -- | 85 | A |
| 49 | PARTNER FUND SERVICES, LLC | -- | -- | 85 | A |
| 50 | Guinness Atkinson Global Innovators Fund | -- | -- | 85 | A |
| 51 | FOOTGOULD I, LLC | -- | -- | 85 | A |
| 52 | Kinney & Company | -- | -- | 85 | A |
| 53 | Kinemetrics, Inc. | -- | 125 | 85 | A |
| 54 | M7G, LLC | -- | 5 | 85 | A |
| 55 | Architech Investment, LLC | -- | -- | 85 | A |
| 56 | MOBILE HOME GROUP III, LP | -- | -- | 85 | A |
| 57 | STAR HORIZON, LLC | -- | -- | 85 | A |
| 58 | RUSNAK/ARCADIA | -- | -- | 85 | A |
| 59 | F. ROBERTS CONSTRUCTION | -- | -- | 85 | A |
| 60 | Allen Apartments Investors, LLC | -- | -- | 85 | A |
| 61 | Alliance Mortgage Group, LLC | -- | -- | 85 | A |
| 62 | SAGAR ENTERPRISES LLC | -- | -- | 85 | A |
| 63 | MY MORTGAGE, INC. | -- | -- | 85 | A |
| 64 | GULF COAST EDUCATORS FEDERAL CREDIT UNION | -- | -- | 85 | A |
| 65 | STARLITE MGMT-IX, LP | -- | -- | 85 | A |
| 66 | 975 E. Green Street LLC | -- | -- | 85 | A |
| 67 | Papazian-Hirsch Alhambra, LLC | -- | -- | 85 | A |
| 68 | Hospice of the Chesapeake, Inc. | -- | -- | 85 | A |
| 69 | COBRA 28 NO. 3, LP | -- | -- | 85 | A |
| 70 | GROUP II AZUSA PROPERTIES, LTD., A CALIFORNIA LIMITED PARTNERSHIP | -- | -- | 85 | A |
| 71 | ATH, LLC | -- | -- | 85 | A |
| 72 | MP OPPORTUNITY PARTNERS I, LP | -- | -- | 85 | A |
| 73 | EVOLVE LIFE CENTER LLC | -- | -- | 85 | A |
| 74 | 25072 REDLANDS BLVD., LLC | -- | -- | 85 | A |
| 75 | 3240 PHARMA DERWOOD LLC | -- | -- | 85 | A |
| 76 | C Wood Holdings, LLC | -- | -- | 85 | A |
| 77 | Jitco Group Limited | -- | -- | 85 | A |
| 78 | Fundamental QP LP | -- | -- | 85 | A |
| 79 | HILLSIDES | -- | -- | 85 | A |
| 80 | COBRA 28 NO.8, LP | -- | -- | 85 | A |
| 81 | 55 W. HUNTINGTON, LLC | -- | -- | 85 | A |
| 82 | M-S CASH DRAWER CORPORATION | -- | -- | 85 | A |
| 83 | Illidan 28 LP | -- | -- | 85 | A |
| 84 | SCPMG Keogh Plan | -- | -- | 85 | A |
| 85 | 1987 EAST COLORADO, LLC | -- | -- | 85 | A |
| 86 | SPSSM INVESTMENTS-IX,LP | -- | -- | 85 | A |
| 87 | GROUP III SGV PROPERTIES, LTD, A CALIFORNIA LIMITED PARTNERSHIP | -- | -- | 85 | A |
| 88 | AKA LAND MANAGEMENT, LLC | -- | -- | 85 | A |
| 89 | Sun Pacific Farming Cooperative, Inc. | -- | -- | 85 | A |
| 90 | PAMA V PROPERTIES, LP | -- | -- | 85 | A |
| 91 | 929 N. MILLIKEN, LLC | -- | -- | 85 | A |
| 92 | ANDERON HOLDINGS LLC | -- | -- | 85 | A |
| 93 | SOCAL4 LLC | -- | -- | 85 | A |
| 94 | COBRA-28 LIMITED PARTNERSHIP | -- | -- | 85 | A |
| 95 | Ameriko, Inc. | -- | -- | 85 | A |
| 96 | SPSSM INVESTMENTS - IV, LP | -- | -- | 85 | A |
| 97 | WESCOM CENTRAL CREDIT UNION | -- | -- | 85 | A |
| 98 | ITALIAN HARVEST IMPORTS INC. | -- | -- | 85 | A |
| 99 | HANSON DISTRIBUTING COMPANY | -- | -- | 85 | A |
| 100 | The Kam's Family Trust Of 2000 Dated April 1, 2000 | -- | -- | 85 | A |