# EDGAR Filing Document

**Accession Number:** 0000919160
**File Stem:** 0001398344-23-004966
**Filing Date:** 2023-2
**Character Count:** 13690
**Document Hash:** 179f34f745277c60de4e72eca5dd4226
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001398344-23-004966.hdr.sgml**: 20230227

**ACCESSION NUMBER**: 0001398344-23-004966

**CONFORMED SUBMISSION TYPE**: NPORT-P

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230227

**DATE AS OF CHANGE**: 20230227

**PERIOD START**: 20221231

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** GUINNESS ATKINSON FUNDS
- **CENTRAL INDEX KEY:** 0000919160
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** NPORT-P
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-08360
- **FILM NUMBER:** 23673109

**BUSINESS ADDRESS:**
- **STREET 1:** 251 SOUTH LAKE AVE
- **STREET 2:** SUITE 800
- **CITY:** PASADENA
- **STATE:** CA
- **ZIP:** 91101
- **BUSINESS PHONE:** 626-914-1041

**MAIL ADDRESS:**
- **STREET 1:** 251 SOUTH LAKE AVE
- **STREET 2:** SUITE 800
- **CITY:** PASADENA
- **STATE:** CA
- **ZIP:** 91101

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** INVESTEC FUNDS
- **DATE OF NAME CHANGE:** 20000927

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** GUINNESS FLIGHT INVESTMENT FUNDS
- **DATE OF NAME CHANGE:** 19970506

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** GUINNESS FLIGHT INVESTMENT FUNDS INC
- **DATE OF NAME CHANGE:** 19940217

## Series and Classes Contracts Data

### SmartETFs Smart Transportation & Technology ETF (Series ID: S000065017)

| Class ID   | Class Name                                      | Ticker Symbol   |
|:---|:---|:---|
| C000210495 | SmartETFs Smart Transportation & Technology ETF | MOTO            |

## Form NPORT-P: Monthly Portfolio Investments Report

### NPORT-P: Part A: General Information

**Item A.1. Information about the Registrant.**

- **a. Name of Registrant:** GUINNESS ATKINSON FUNDS

- **b. Investment Company Act file number:** 811-08360

- **c. CIK number of Registrant:** 0000919160

- **d. LEI of Registrant:** 54930097560RK2KMX577

- **e. Address and telephone number of Registrant.**

  - **Street Address 1:** 251 South Lake Ave

  - **City:** Pasadena

  - **State:** CA

  - **Foreign country:** US

  - **Zip / Postal Code:** 91101

  - **Telephone number:** 626-914-1041

**Item A.2. Information about the Series.**

- **a. Name of Series:** SmartETFs Smart Transportation & Technology ETF

- **b. EDGAR series identifier (if any):** S000065017

- **c. LEI of Series:** 549300V00BLH54GDJS35

**Item A.3. Reporting period.**

- **a. Date of fiscal year-end:** 2022-12-31

- **b. Date as of which information is reported:** 2022-12-31

**Item A.4. Final filing**

Does the Fund anticipate that this will be its final filing on Form N-PORT? **No**

### Fund Information

**Total Assets:** $10216592.44

**Total Liabilities:** $16607.02

**Net Assets:** $10199985.42

**Cash Not Reported:** $211764.41

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000210495 | -9.04%               | 13.12%               | 6.83%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $0.00                    | $-1069218.79                               |
| Month 2  | $0.00                    | $1321991.32                                |
| Month 3  | $0.00                    | $654149.67                                 |

### Schedule of Portfolio Investments

| Name                           | Title        | Identifiers                  | Payoff Profile   | Asset Category   | Issuer Category   | Country   |   Balance | Units   | Value (USD)   | % of Net Assets   | Maturity Date   | Coupon Type   | Annualized Rate (%)   | Restricted?   |   Fair Value Level | Lending Status   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| ALPHABET INC-CL C              | COMMON STOCK | CUSIP: 02079K107<br>LEI: N/A | Long             | EC               | CORP              | US        |      3360 | NS      | $298132.80    | 2.92%             |  |  |  | No            |                  1 | On Loan: No      |
| AMPHENOL CORP-CL A             | COMMON STOCK | CUSIP: 032095101<br>LEI: N/A | Long             | EC               | CORP              | US        |      5016 | NS      | $381918.24    | 3.74%             |  |  |  | No            |                  1 | On Loan: No      |
| ANALOG DEVICES INC             | COMMON STOCK | CUSIP: 032654105<br>LEI: N/A | Long             | EC               | CORP              | US        |      2340 | NS      | $383830.20    | 3.76%             |  |  |  | No            |                  1 | On Loan: No      |
| APTIV PLC                      | COMMON STOCK | CUSIP: G6095L109<br>LEI: N/A | Long             | EC               | CORP              | JE        |      2760 | NS      | $257038.80    | 2.52%             |  |  |  | No            |                  1 | On Loan: No      |
| CONTINENTAL AG /EUR/           | COMMON STOCK | CUSIP: D16212140<br>LEI: N/A | Long             | EC               | CORP              | DE        |      2520 | NS      | $151015.00    | 1.48%             |  |  |  | No            |                  1 | On Loan: No      |
| DAIMLER TRUCK HOLDING AG /EUR/ | COMMON STOCK | CUSIP: D1T3RZ100<br>LEI: N/A | Long             | EC               | CORP              | DE        |      2035 | NS      | $63055.74     | 0.62%             |  |  |  | No            |                  1 | On Loan: No      |
| DANA INC                       | COMMON STOCK | CUSIP: 235825205<br>LEI: N/A | Long             | EC               | CORP              | US        |     17436 | NS      | $263806.68    | 2.59%             |  |  |  | No            |                  1 | On Loan: No      |
| DENSO CORP /JPY/               | COMMON STOCK | CUSIP: J12075107<br>LEI: N/A | Long             | EC               | CORP              | JP        |      7200 | NS      | $358669.26    | 3.52%             |  |  |  | No            |                  1 | On Loan: No      |
| EATON CORP PLC                 | COMMON STOCK | CUSIP: G29183103<br>LEI: N/A | Long             | EC               | CORP              | IE        |      2760 | NS      | $433182.00    | 4.25%             |  |  |  | No            |                  1 | On Loan: No      |
| GEELY AUTOMOBILE HOLDING /HKD/ | COMMON STOCK | CUSIP: G3777B103<br>LEI: N/A | Long             | EC               | CORP              | KY        |     72000 | NS      | $105155.95    | 1.03%             |  |  |  | No            |                  1 | On Loan: No      |
| GENTHERM INC                   | COMMON STOCK | CUSIP: 37253A103<br>LEI: N/A | Long             | EC               | CORP              | US        |      6216 | NS      | $405842.64    | 3.98%             |  |  |  | No            |                  1 | On Loan: No      |
| HANON SYSTEMS /KRW/            | COMMON STOCK | CUSIP: Y29874107<br>LEI: N/A | Long             | EC               | CORP              | KR        |     31392 | NS      | $201701.44    | 1.98%             |  |  |  | No            |                  1 | On Loan: No      |
| HEXAGON AB-B SHS /SEK/         | COMMON STOCK | CUSIP: W4R431112<br>LEI: N/A | Long             | EC               | CORP              | SE        |     29556 | NS      | $308745.41    | 3.03%             |  |  |  | No            |                  1 | On Loan: No      |
| INFINEON TECHNOLOGIES AG /EUR/ | COMMON STOCK | CUSIP: D35415104<br>LEI: N/A | Long             | EC               | CORP              | DE        |     11436 | NS      | $348046.81    | 3.41%             |  |  |  | No            |                  1 | On Loan: No      |
| INTEL CORP                     | COMMON STOCK | CUSIP: 458140100<br>LEI: N/A | Long             | EC               | CORP              | US        |      7632 | NS      | $201713.76    | 1.98%             |  |  |  | No            |                  1 | On Loan: No      |
| JOHNSON MATTHEY PLC /GBP/      | COMMON STOCK | CUSIP: G51604166<br>LEI: N/A | Long             | EC               | CORP              | GB        |     11784 | NS      | $303018.09    | 2.97%             |  |  |  | No            |                  1 | On Loan: No      |
| KIA CORP /KRW/                 | COMMON STOCK | CUSIP: Y47601102<br>LEI: N/A | Long             | EC               | CORP              | KR        |      5796 | NS      | $272976.07    | 2.68%             |  |  |  | No            |                  1 | On Loan: No      |
| LEAR CORP                      | COMMON STOCK | CUSIP: 521865204<br>LEI: N/A | Long             | EC               | CORP              | US        |      2256 | NS      | $279789.12    | 2.74%             |  |  |  | No            |                  1 | On Loan: No      |
| LG CHEM LTD /KRW/              | COMMON STOCK | CUSIP: Y52758102<br>LEI: N/A | Long             | EC               | CORP              | KR        |       684 | NS      | $325948.40    | 3.20%             |  |  |  | No            |                  1 | On Loan: No      |
| MERCEDES-BENZ GROUP AG /EUR/   | COMMON STOCK | CUSIP: D1668R123<br>LEI: N/A | Long             | EC               | CORP              | DE        |      4920 | NS      | $323385.19    | 3.17%             |  |  |  | No            |                  1 | On Loan: No      |
| NVIDIA CORP                    | COMMON STOCK | CUSIP: 67066G104<br>LEI: N/A | Long             | EC               | CORP              | US        |      2076 | NS      | $303386.64    | 2.97%             |  |  |  | No            |                  1 | On Loan: No      |
| NXP SEMICONDUCTORS NV          | COMMON STOCK | CUSIP: N6596X109<br>LEI: N/A | Long             | EC               | CORP              | NL        |      2112 | NS      | $333759.36    | 3.27%             |  |  |  | No            |                  1 | On Loan: No      |
| ON SEMICONDUCTOR               | COMMON STOCK | CUSIP: 682189105<br>LEI: N/A | Long             | EC               | CORP              | US        |      7032 | NS      | $438585.84    | 4.30%             |  |  |  | No            |                  1 | On Loan: No      |
| POWER INTEGRATIONS INC         | COMMON STOCK | CUSIP: 739276103<br>LEI: N/A | Long             | EC               | CORP              | US        |      4560 | NS      | $327043.20    | 3.21%             |  |  |  | No            |                  1 | On Loan: No      |
| QUANTA SERVICES INC            | COMMON STOCK | CUSIP: 74762E102<br>LEI: N/A | Long             | EC               | CORP              | US        |      3336 | NS      | $475380.00    | 4.66%             |  |  |  | No            |                  1 | On Loan: No      |
| SAMSUNG SDI CO LTD /KRW/       | COMMON STOCK | CUSIP: Y74866107<br>LEI: N/A | Long             | EC               | CORP              | KR        |       816 | NS      | $383017.96    | 3.76%             |  |  |  | No            |                  1 | On Loan: No      |
| SENSATA TECHNOLOGIES HOLDING   | COMMON STOCK | CUSIP: G8060N102<br>LEI: N/A | Long             | EC               | CORP              | GB        |      7044 | NS      | $284436.72    | 2.79%             |  |  |  | No            |                  1 | On Loan: No      |
| SKYWORKS SOLUTIONS INC         | COMMON STOCK | CUSIP: 83088M102<br>LEI: N/A | Long             | EC               | CORP              | US        |      2604 | NS      | $237302.52    | 2.33%             |  |  |  | No            |                  1 | On Loan: No      |
| TAIWAN SEMICONDUCTOR-SP ADR    | COMMON STOCK | CUSIP: 874039100<br>LEI: N/A | Long             | EC               | CORP              | TW        |      3612 | NS      | $269057.88    | 2.64%             |  |  |  | No            |                  1 | On Loan: No      |
| TESLA INC                      | COMMON STOCK | CUSIP: 88160R101<br>LEI: N/A | Long             | EC               | CORP              | US        |      1944 | NS      | $239461.92    | 2.35%             |  |  |  | No            |                  1 | On Loan: No      |
| TIANNENG POWER INTL LTD /HKD/  | COMMON STOCK | CUSIP: G8655K109<br>LEI: N/A | Long             | EC               | CORP              | KY        |     96000 | NS      | $101343.27    | 0.99%             |  |  |  | No            |                  1 | On Loan: No      |
| TOYOTA MOTOR CORP /JPY/        | COMMON STOCK | CUSIP: J92676113<br>LEI: N/A | Long             | EC               | CORP              | JP        |     21600 | NS      | $298388.02    | 2.93%             |  |  |  | No            |                  1 | On Loan: No      |
| VITESCO TECHNOLOGIES GRO /EUR/ | COMMON STOCK | CUSIP: D8T4KW107<br>LEI: N/A | Long             | EC               | CORP              | DE        |       430 | NS      | $24972.09     | 0.24%             |  |  |  | No            |                  1 | On Loan: No      |
| VOLKSWAGENWERK AG PRF /EUR/    | COMMON STOCK | CUSIP: D94523103<br>LEI: N/A | Long             | EC               | CORP              | DE        |      1908 | NS      | $237789.47    | 2.33%             |  |  |  | No            |                  1 | On Loan: No      |
| VOLVO AB-B SHS /SEK/           | COMMON STOCK | CUSIP: 928856301<br>LEI: N/A | Long             | EC               | CORP              | SE        |     17388 | NS      | $314082.15    | 3.08%             |  |  |  | No            |                  1 | On Loan: No      |

### Signature

**Date Signed:** 2023-02-27

**Name of Applicant:** GUINNESS ATKINSON FUNDS

**Signature:** /s/ Lyna Phan

**Name of Signer:** Lyna Phan

**Title:** Assistant Treasurer