# EDGAR Filing Document

**Accession Number:** 0000919160
**File Stem:** 0001398344-26-009906
**Filing Date:** 2026-5
**Character Count:** 15610
**Document Hash:** fd7fd05dd03598e4b08fb409e9892d07
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001398344-26-009906.hdr.sgml**: 20260528

**ACCESSION NUMBER**: 0001398344-26-009906

**CONFORMED SUBMISSION TYPE**: NPORT-P

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20260331

**FILED AS OF DATE**: 20260528

**DATE AS OF CHANGE**: 20260528

**PERIOD START**: 20261231

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** GUINNESS ATKINSON FUNDS
- **CENTRAL INDEX KEY:** 0000919160

**ORGANIZATION NAME:**
- **EIN:** 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:** 261032752

**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

### Guinness Atkinson Global Innovators Fund (Series ID: S000005895)

| Class ID   | Class Name                                                     | Ticker Symbol   |
|:---|:---|:---|
| C000016119 | Guinness Atkinson Global Innovators Fund - Investor Class      | IWIRX           |
| C000161072 | Guinness Atkinson Global Innovators Fund - Institutional Class | GINNX           |

## Nport-Ex

**GUINNESS ATKINSON GLOBAL INNOVATORS FUND**

**Schedule of Investments**

**at March 31, 2026**

---

| | | |
|:---|:---|:---|
| **Shares** | **Common Stocks: 98.1%** | **Value** |
|  | **Application Software: 9.0%** |  |
| 9348 | Intuit Inc. | $4041888 |
| 15657 | Microsoft Corp. | 5795752 |
| 32504 | Salesforce Inc. | 6067522 |
|  |  | 15905162 |
|  | **Computers: 3.3%** |  |
| 23043 | Apple Inc. | 5848083 |
|  | **Diversified Manufacturing Operations: 10.3%** |  |
| 30342 | Danaher Corp. | 5752843 |
| 18169 | Roper Technologies, Inc. | 6429282 |
| 12343 | Thermo Fisher Scientific Inc. | 6066955 |
|  |  | 18249080 |
|  | **E-Commerce: 3.5%** |  |
| 30164 | Amazon.com Inc.\* | 6282256 |
|  | **Electronic Components - Semiconductor: 9.7%** |  |
| 42106 | Amphenol Corp. | 5320093 |
| 19864 | Broadcom Inc. | 6148107 |
| 33489 | NVIDIA Corp. | 5840482 |
|  |  | 17308682 |
|  | **Enterprise Software/Services: 2.6%** |  |
| 18709 | Adobe Inc. | 4547784 |
|  | **Finance - Other Services: 14.0%** |  |
| 39137 | Intercontinental Exchange, Inc. | 6155467 |
| 55527 | London Stock Exchange Group PL | 6553675 |
| 12270 | Mastercard Inc. | 6130828 |
| 19959 | Visa Inc. | 6032408 |
|  |  | 24872378 |
|  | **Internet Content: 10.6%** |  |
| 9604 | Meta Platforms Inc. - Class A | 5494736 |
| 75298 | Netflix Inc.\* | 7239903 |
| 96700 | Tencent Holdings Ltd. | 6089858 |
|  |  | 18824497 |

---

**GUINNESS ATKINSON GLOBAL INNOVATORS FUND**

**Schedule of Investments**

**at March 31, 2026**

---

| | | |
|:---|:---|:---|
| **Shares** | **Common Stocks: 98.1%** | **Value** |
|  | **Machinery - Electric Utility: 6.4%** |  |
| 69401 | ABB Ltd. | $5609412 |
| 27172 | AMETEK Inc. | 5824590 |
|  |  | 11434002 |
|  | **Medical Instrument: 6.2%** |  |
| 65190 | Medtronic PLC | 5648713 |
| 126646 | Siemens Healthineers AG<sup>(1)</sup> | 5399161 |
|  |  | 11047874 |
|  | **Power Conversion/ Supply Equipment: 3.0%** |  |
| 19679 | Schneider Electric SE | 5333975 |
|  | **Retail - Apparel: 3.2%** |  |
| 586000 | ANTA Sports Products Ltd. | 5733818 |
|  | **Semiconductor: 13.0%** |  |
| 16595 | Applied Materials Inc. | 5672005 |
| 4134 | KLA-Tencor Corp. | 6086943 |
| 26038 | Lam Research Corp. | 5563279 |
| 16781 | Taiwan Semiconductor Manufacturing Co. Ltd. - ADR | 5671139 |
|  |  | 22993366 |
|  | **Web Portals: 3.3%** |  |
| 20530 | Alphabet Inc. - A Shares | 5903607 |
|  | **Total Common Stock** | 174284564 |
|  | (cost $102,739,895) |  |
|  | **Total Investments in Securities** | 174284564 |
|  | (cost $102,739,895): 98.1% |  |
|  | Other Assets in Excess of Liabilities: 1.9% | 3404298 |
|  | **Net Assets: 100.0%** | $**177688862** |

---

*\** *Non-income producing security.*

*ADR - American Depository Receipt*

*PLC - Public Limited Company*

*<sup>1</sup>* *Securities noted are exempt from registration under Rule 144A of the Securities Act of 1933, as amended, or otherwise restricted. These securities may be resold in transactions exempt from registration, normally to qualified institutional buyers.*

## 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:** Guinness Atkinson Global Innovators Fund

- **b. EDGAR series identifier (if any):** S000005895

- **c. LEI of Series:** 5493002JATDIWELU2P62

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

- **a. Date of fiscal year-end:** 2026-12-31

- **b. Date as of which information is reported:** 2026-03-31

**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:** $177955193.34

**Total Liabilities:** $351500.85

**Net Assets:** $177603692.49

**Cash Not Reported:** $3185406.35

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000016119 | -6.42%               | -0.59%               | 0.97%                |
| Class ID C000161072 | -6.44%               | -0.61%               | 0.92%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $1942439.31              | $-14296211.10                              |
| Month 2  | $11039874.33             | $-12239753.48                              |
| Month 3  | $0.00                    | $2014591.34                                |

### 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   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| ABB LTD-REG /CHF/              | COMMON STOCK | CUSIP: H0010V101<br>LEI: N/A | Long             | EC               | CORP              | CH        |     69401 | NS      | $5609411.76   | 3.16%             |  |  |  | No            |                  2 | On Loan: No      |
| ADOBE INC                      | COMMON STOCK | CUSIP: 00724F101<br>LEI: N/A | Long             | EC               | CORP              | US        |     18709 | NS      | $4547783.72   | 2.56%             |  |  |  | No            |                  1 | On Loan: No      |
| ALPHABET INC-CL A              | COMMON STOCK | CUSIP: 02079K305<br>LEI: N/A | Long             | EC               | CORP              | US        |     20530 | NS      | $5903606.80   | 3.32%             |  |  |  | No            |                  1 | On Loan: No      |
| AMAZON.COM INC                 | COMMON STOCK | CUSIP: 023135106<br>LEI: N/A | Long             | EC               | CORP              | US        |     30164 | NS      | $6282256.28   | 3.54%             |  |  |  | No            |                  1 | On Loan: No      |
| AMETEK INC                     | COMMON STOCK | CUSIP: 031100100<br>LEI: N/A | Long             | EC               | CORP              | US        |     27172 | NS      | $5824589.92   | 3.28%             |  |  |  | No            |                  1 | On Loan: No      |
| AMPHENOL CORP-CL A             | COMMON STOCK | CUSIP: 032095101<br>LEI: N/A | Long             | EC               | CORP              | US        |     42106 | NS      | $5320093.10   | 3.00%             |  |  |  | No            |                  1 | On Loan: No      |
| ANTA SPORTS PRODUCTS LTD /HKD/ | COMMON STOCK | CUSIP: G04011105<br>LEI: N/A | Long             | EC               | CORP              | KY        |    586000 | NS      | $5733818.18   | 3.23%             |  |  |  | No            |                  2 | On Loan: No      |
| APPLE INC                      | COMMON STOCK | CUSIP: 037833100<br>LEI: N/A | Long             | EC               | CORP              | US        |     23043 | NS      | $5848082.97   | 3.29%             |  |  |  | No            |                  1 | On Loan: No      |
| APPLIED MATERIALS INC          | COMMON STOCK | CUSIP: 038222105<br>LEI: N/A | Long             | EC               | CORP              | US        |     16595 | NS      | $5672005.05   | 3.19%             |  |  |  | No            |                  1 | On Loan: No      |
| BROADCOM INC                   | COMMON STOCK | CUSIP: 11135F101<br>LEI: N/A | Long             | EC               | CORP              | US        |     19864 | NS      | $6148106.64   | 3.46%             |  |  |  | No            |                  1 | On Loan: No      |
| DANAHER CORP                   | COMMON STOCK | CUSIP: 235851102<br>LEI: N/A | Long             | EC               | CORP              | US        |     30342 | NS      | $5752843.20   | 3.24%             |  |  |  | No            |                  1 | On Loan: No      |
| INTERCONTINENTAL EXCHANGE IN   | COMMON STOCK | CUSIP: 45866F104<br>LEI: N/A | Long             | EC               | CORP              | US        |     39137 | NS      | $6155467.36   | 3.47%             |  |  |  | No            |                  1 | On Loan: No      |
| INTUIT INC                     | COMMON STOCK | CUSIP: 461202103<br>LEI: N/A | Long             | EC               | CORP              | US        |      9348 | NS      | $4041888.24   | 2.28%             |  |  |  | No            |                  1 | On Loan: No      |
| KLA CORP                       | COMMON STOCK | CUSIP: 482480100<br>LEI: N/A | Long             | EC               | CORP              | US        |      4134 | NS      | $6086942.94   | 3.43%             |  |  |  | No            |                  1 | On Loan: No      |
| LAM RESEARCH CORP              | COMMON STOCK | CUSIP: 512807306<br>LEI: N/A | Long             | EC               | CORP              | US        |     26038 | NS      | $5563279.08   | 3.13%             |  |  |  | No            |                  1 | On Loan: No      |
| LONDON STOCK EXCHANGE GR /GBP/ | COMMON STOCK | CUSIP: G5689U103<br>LEI: N/A | Long             | EC               | CORP              | GB        |     55527 | NS      | $6553674.82   | 3.69%             |  |  |  | No            |                  2 | On Loan: No      |
| MASTERCARD INC - A             | COMMON STOCK | CUSIP: 57636Q104<br>LEI: N/A | Long             | EC               | CORP              | US        |     12270 | NS      | $6130828.20   | 3.45%             |  |  |  | No            |                  1 | On Loan: No      |
| MEDTRONIC PLC                  | COMMON STOCK | CUSIP: G5960L103<br>LEI: N/A | Long             | EC               | CORP              | IE        |     65190 | NS      | $5648713.50   | 3.18%             |  |  |  | No            |                  1 | On Loan: No      |
| META PLATFORMS INC-CLASS A     | COMMON STOCK | CUSIP: 30303M102<br>LEI: N/A | Long             | EC               | CORP              | US        |      9604 | NS      | $5494736.52   | 3.09%             |  |  |  | No            |                  1 | On Loan: No      |
| MICROSOFT CORP                 | COMMON STOCK | CUSIP: 594918104<br>LEI: N/A | Long             | EC               | CORP              | US        |     15657 | NS      | $5795751.69   | 3.26%             |  |  |  | No            |                  1 | On Loan: No      |
| NETFLIX INC                    | COMMON STOCK | CUSIP: 64110L106<br>LEI: N/A | Long             | EC               | CORP              | US        |     75298 | NS      | $7239902.70   | 4.08%             |  |  |  | No            |                  1 | On Loan: No      |
| NVIDIA CORP                    | COMMON STOCK | CUSIP: 67066G104<br>LEI: N/A | Long             | EC               | CORP              | US        |     33489 | NS      | $5840481.60   | 3.29%             |  |  |  | No            |                  1 | On Loan: No      |
| ROPER TECHNOLOGIES INC         | COMMON STOCK | CUSIP: 776696106<br>LEI: N/A | Long             | EC               | CORP              | US        |     18169 | NS      | $6429282.34   | 3.62%             |  |  |  | No            |                  1 | On Loan: No      |
| SALESFORCE INC                 | COMMON STOCK | CUSIP: 79466L302<br>LEI: N/A | Long             | EC               | CORP              | US        |     32504 | NS      | $6067521.68   | 3.42%             |  |  |  | No            |                  1 | On Loan: No      |
| SCHNEIDER ELEC SA /EUR/        | COMMON STOCK | CUSIP: F86921107<br>LEI: N/A | Long             | EC               | CORP              | FR        |     19679 | NS      | $5333974.50   | 3.00%             |  |  |  | No            |                  2 | On Loan: No      |
| SIEMENS HEALTHINEERS AG /EUR/  | COMMON STOCK | CUSIP: D6T479107<br>LEI: N/A | Long             | EC               | CORP              | DE        |    126646 | NS      | $5399160.85   | 3.04%             |  |  |  | Yes           |                  2 | On Loan: No      |
| TAIWAN SEMICONDUCTOR-SP ADR    | COMMON STOCK | CUSIP: 874039100<br>LEI: N/A | Long             | EC               | CORP              | TW        |     16781 | NS      | $5671138.95   | 3.19%             |  |  |  | No            |                  1 | On Loan: No      |
| TENCENT HOLDINGS LTD /HKD/     | COMMON STOCK | CUSIP: G87572163<br>LEI: N/A | Long             | EC               | CORP              | KY        |     96700 | NS      | $6089858.49   | 3.43%             |  |  |  | No            |                  2 | On Loan: No      |
| THERMO FISHER SCIENTIFIC INC   | COMMON STOCK | CUSIP: 883556102<br>LEI: N/A | Long             | EC               | CORP              | US        |     12343 | NS      | $6066954.79   | 3.42%             |  |  |  | No            |                  1 | On Loan: No      |
| VISA INC-CLASS A SHARES        | COMMON STOCK | CUSIP: 92826C839<br>LEI: N/A | Long             | EC               | CORP              | US        |     19959 | NS      | $6032408.16   | 3.40%             |  |  |  | No            |                  1 | On Loan: No      |

### Signature

**Date Signed:** 2026-05-28

**Name of Applicant:** GUINNESS ATKINSON FUNDS

**Signature:** /s/ Lyna Phan

**Name of Signer:** Lyna Phan

**Title:** Assistant Treasurer