# EDGAR Filing Document

**Accession Number:** 0000919160
**File Stem:** 0001398344-26-009909
**Filing Date:** 2026-5
**Character Count:** 14238
**Document Hash:** c4823fa4ddffa0d33e46d32d0036d418
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001398344-26-009909.hdr.sgml**: 20260528

**ACCESSION NUMBER**: 0001398344-26-009909

**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:** 261032749

**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 Sustainable Energy ETF (Series ID: S000069963)

| Class ID   | Class Name                               | Ticker Symbol   |
|:---|:---|:---|
| C000222800 | Guinness Atkinson Sustainable Energy ETF | SOLR            |

## Nport-Ex

**Guinness Atkinson Sustainable Energy ETF**

**Schedule of Investments**

**at March 31, 2026 (Unaudited)**

---

| | | |
|:---|:---|:---|
| **Shares** | **Common Stocks: 94.6%** | **Value** |
|  | **Electrification: 21.4%** |  |
| 1351 | Amphenol Corp | $170699 |
| 1642 | Aptiv PLC\* | 114020 |
| 3061 | Infineon Technologies AG | 134464 |
| 4688 | Johnson Matthey PLC | 117705 |
| 416 | LG Chem Ltd. | 82628 |
| 574 | NXP Semiconductors NV | 112998 |
| 3416 | Sensata Technologies Holding | 120311 |
|  |  | 852825 |
|  | **Energy Efficiency: 19.2%** |  |
| 1495 | Aecom | 126806 |
| 2320 | Ameresco Inc.\* | 59160 |
| 6162 | Atlas Copco AB | 106217 |
| 286 | Carlisle Cos Inc | 95415 |
| 773 | Owens Corning | 83654 |
| 2639 | Spie SA | 130691 |
| 390 | Trane Technologies PLC | 162529 |
|  |  | 764472 |
|  | **Renewable Energy Generation: 20.9%** |  |
| 124994 | China Longyuan Power Group Corp Ltd. | 113658 |
| 8939 | Iberdrola SA | 204035 |
| 2145 | Nextera Energy Inc. | 199228 |
| 1326 | Ormat Technologies Inc. | 148406 |
| 1468 | Prysmian SpA | 167630 |
|  |  | 832957 |
|  | **Renewable Equipment Manufacturing: 33.1%** |  |
| 4051 | Canadian Solar Inc.\* | 56106 |
| 481 | Eaton Corp. PLC | 172039 |
| 786 | Enphase Energy Inc.\* | 29719 |
| 615 | First Solar Inc.\* | 121315 |
| 389 | Hubbell Inc. | 190898 |
| 1140 | Itron Inc.\* | 102178 |
| 1154 | Legrand SA | 175691 |
| 624 | Schneider Electric SE | 165260 |
| 613 | Siemens AG | 145765 |
| 3523 | Vestas Wind Systems A/S | 103652 |
| 148000 | Xinyi Solar Holdings Ltd. | 54925 |
|  |  | 1317548 |
|  | **Total Common Stocks (Cost $3,682,127)** | 3767802 |
|  | **Total Investments (Cost $3,682,127): 94.6%** | 3767802 |
|  | Other Assets in Excess of Liabilities: 5.4% | 215141 |
|  | **Total Net Assets - 100.0%** | $**3982943** |

---

\* Non-income producing security.

ADR - American Depository Receipt

PLC - Public Limited Company

## 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 Sustainable Energy ETF

- **b. EDGAR series identifier (if any):** S000069963

- **c. LEI of Series:** 549300MMUL2BU41VMS73

**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:** $4028267.95

**Total Liabilities:** $45734.23

**Net Assets:** $3982533.72

**Cash Not Reported:** $243419.87

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000222800 | -10.18%              | 3.55%                | 5.88%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $104285.72               | $-556745.29                                |
| Month 2  | $9265.14                 | $139403.85                                 |
| Month 3  | $37.16                   | $236440.20                                 |

### 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   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| AECOM                          | COMMON STOCK | CUSIP: 00766T100<br>LEI: N/A | Long             | EC               | CORP              | US        |      1495 | NS      | $126805.90    | 3.18%             |  |  |  | No            |                  1 | On Loan: No      |
| AMERESCO INC-CL A              | COMMON STOCK | CUSIP: 02361E108<br>LEI: N/A | Long             | EC               | CORP              | US        |      2320 | NS      | $59160.00     | 1.49%             |  |  |  | No            |                  1 | On Loan: No      |
| AMPHENOL CORP-CL A             | COMMON STOCK | CUSIP: 032095101<br>LEI: N/A | Long             | EC               | CORP              | US        |      1351 | NS      | $170698.85    | 4.29%             |  |  |  | No            |                  1 | On Loan: No      |
| APTIV PLC                      | COMMON STOCK | CUSIP: G3265R107<br>LEI: N/A | Long             | EC               | CORP              | JE        |      1642 | NS      | $114020.48    | 2.86%             |  |  |  | No            |                  1 | On Loan: No      |
| ATLAS COPCO AB-A SHS /SEK/     | COMMON STOCK | CUSIP: W1R924252<br>LEI: N/A | Long             | EC               | CORP              | SE        |      6162 | NS      | $106216.68    | 2.67%             |  |  |  | No            |                  1 | On Loan: No      |
| CANADIAN SOLAR INC             | COMMON STOCK | CUSIP: 136635109<br>LEI: N/A | Long             | EC               | CORP              | CA        |      4051 | NS      | $56106.35     | 1.41%             |  |  |  | No            |                  1 | On Loan: No      |
| CARLISLE COS INC               | COMMON STOCK | CUSIP: 142339100<br>LEI: N/A | Long             | EC               | CORP              | US        |       286 | NS      | $95415.32     | 2.40%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA LONGYUAN POWER GRO /HKD/ | COMMON STOCK | CUSIP: Y1501T101<br>LEI: N/A | Long             | EC               | CORP              | CN        |    124994 | NS      | $113657.72    | 2.85%             |  |  |  | No            |                  1 | On Loan: No      |
| EATON CORP PLC                 | COMMON STOCK | CUSIP: G29183103<br>LEI: N/A | Long             | EC               | CORP              | IE        |       481 | NS      | $172039.27    | 4.32%             |  |  |  | No            |                  1 | On Loan: No      |
| ENPHASE ENERGY INC             | COMMON STOCK | CUSIP: 29355A107<br>LEI: N/A | Long             | EC               | CORP              | US        |       786 | NS      | $29718.66     | 0.75%             |  |  |  | No            |                  1 | On Loan: No      |
| FIRST SOLAR INC                | COMMON STOCK | CUSIP: 336433107<br>LEI: N/A | Long             | EC               | CORP              | US        |       615 | NS      | $121314.90    | 3.05%             |  |  |  | No            |                  1 | On Loan: No      |
| HUBBELL INC                    | COMMON STOCK | CUSIP: 443510607<br>LEI: N/A | Long             | EC               | CORP              | US        |       389 | NS      | $190897.86    | 4.79%             |  |  |  | No            |                  1 | On Loan: No      |
| IBERDROLA SA /EUR/             | COMMON STOCK | CUSIP: E6165F166<br>LEI: N/A | Long             | EC               | CORP              | ES        |      8939 | NS      | $204034.65    | 5.12%             |  |  |  | No            |                  1 | On Loan: No      |
| INFINEON TECHNOLOGIES AG /EUR/ | COMMON STOCK | CUSIP: D35415104<br>LEI: N/A | Long             | EC               | CORP              | DE        |      3061 | NS      | $134463.61    | 3.38%             |  |  |  | No            |                  1 | On Loan: No      |
| ITRON INC                      | COMMON STOCK | CUSIP: 465741106<br>LEI: N/A | Long             | EC               | CORP              | US        |      1140 | NS      | $102178.20    | 2.57%             |  |  |  | No            |                  1 | On Loan: No      |
| JOHNSON MATTHEY PLC /GBP/      | COMMON STOCK | CUSIP: G51604166<br>LEI: N/A | Long             | EC               | CORP              | GB        |      4688 | NS      | $117705.10    | 2.96%             |  |  |  | No            |                  1 | On Loan: No      |
| LEGRAND SA /EUR/               | COMMON STOCK | CUSIP: F56196185<br>LEI: N/A | Long             | EC               | CORP              | FR        |      1154 | NS      | $175690.96    | 4.41%             |  |  |  | No            |                  1 | On Loan: No      |
| LG CHEM LTD /KRW/              | COMMON STOCK | CUSIP: Y52758102<br>LEI: N/A | Long             | EC               | CORP              | KR        |       416 | NS      | $82627.96     | 2.07%             |  |  |  | No            |                  1 | On Loan: No      |
| NEXTERA ENERGY INC             | COMMON STOCK | CUSIP: 65339F101<br>LEI: N/A | Long             | EC               | CORP              | US        |      2145 | NS      | $199227.60    | 5.00%             |  |  |  | No            |                  1 | On Loan: No      |
| NXP SEMICONDUCTORS NV          | COMMON STOCK | CUSIP: N6596X109<br>LEI: N/A | Long             | EC               | CORP              | NL        |       574 | NS      | $112997.64    | 2.84%             |  |  |  | No            |                  1 | On Loan: No      |
| ORMAT TECHNOLOGIES INC         | COMMON STOCK | CUSIP: 686688102<br>LEI: N/A | Long             | EC               | CORP              | US        |      1326 | NS      | $148405.92    | 3.73%             |  |  |  | No            |                  1 | On Loan: No      |
| OWENS CORNING                  | COMMON STOCK | CUSIP: 690742101<br>LEI: N/A | Long             | EC               | CORP              | US        |       773 | NS      | $83654.06     | 2.10%             |  |  |  | No            |                  1 | On Loan: No      |
| PRYSMIAN SPA /EUR/             | COMMON STOCK | CUSIP: T7630L105<br>LEI: N/A | Long             | EC               | CORP              | IT        |      1468 | NS      | $167630.45    | 4.21%             |  |  |  | No            |                  1 | On Loan: No      |
| SCHNEIDER ELEC SA /EUR/        | COMMON STOCK | CUSIP: F86921107<br>LEI: N/A | Long             | EC               | CORP              | FR        |       624 | NS      | $165259.91    | 4.15%             |  |  |  | No            |                  1 | On Loan: No      |
| SENSATA TECHNOLOGIES HOLDING   | COMMON STOCK | CUSIP: G8060N102<br>LEI: N/A | Long             | EC               | CORP              | GB        |      3416 | NS      | $120311.52    | 3.02%             |  |  |  | No            |                  1 | On Loan: No      |
| SIEMENS AG-REG /EUR/           | COMMON STOCK | CUSIP: D69671218<br>LEI: N/A | Long             | EC               | CORP              | DE        |       613 | NS      | $145764.78    | 3.66%             |  |  |  | No            |                  1 | On Loan: No      |
| SPIE SA /EUR/                  | COMMON STOCK | CUSIP: F8691R101<br>LEI: N/A | Long             | EC               | CORP              | FR        |      2639 | NS      | $130691.30    | 3.28%             |  |  |  | No            |                  1 | On Loan: No      |
| TRANE TECHNOLOGIES PLC         | COMMON STOCK | CUSIP: G8994E103<br>LEI: N/A | Long             | EC               | CORP              | IE        |       390 | NS      | $162528.60    | 4.08%             |  |  |  | No            |                  1 | On Loan: No      |
| VESTAS WIND SYSTEMS A/S /DKK/  | COMMON STOCK | CUSIP: K9773J201<br>LEI: N/A | Long             | EC               | CORP              | DK        |      3523 | NS      | $103652.12    | 2.60%             |  |  |  | No            |                  1 | On Loan: No      |
| XINYI SOLAR HOLDINGS LTD /HKD/ | COMMON STOCK | CUSIP: G9829N102<br>LEI: N/A | Long             | EC               | CORP              | KY        |    148000 | NS      | $54925.62     | 1.38%             |  |  |  | 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