# EDGAR Filing Document

**Accession Number:** 0000919160
**File Stem:** 0001398344-23-004957
**Filing Date:** 2023-2
**Character Count:** 12023
**Document Hash:** c0a90fcd53286af5423fd81ae80ff4b1
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001398344-23-004957.hdr.sgml**: 20230227

**ACCESSION NUMBER**: 0001398344-23-004957

**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:** 23673112

**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 Alternative Energy Fund (Series ID: S000009156)

| Class ID   | Class Name                                | Ticker Symbol   |
|:---|:---|:---|
| C000024897 | Guinness Atkinson Alternative Energy Fund | GAAEX           |

## 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 Alternative Energy Fund

- **b. EDGAR series identifier (if any):** S000009156

- **c. LEI of Series:** 549300CFIW30C5HQIM93

**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:** $27558941.68

**Total Liabilities:** $85855.30

**Net Assets:** $27473086.38

**Cash Not Reported:** $1548352.39

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000024897 | -7.42%               | 14.26%               | 5.52%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $-398814.26              | $-1789465.07                               |
| Month 2  | $0.00                    | $3682745.03                                |
| Month 3  | $122041.76               | $1243479.52                                |

### 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   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| AMERESCO INC-CL A              | COMMON STOCK | CUSIP: 02361E108<br>LEI: N/A | Long             | EC               | CORP              | US        |     16322 | NS      | $932639.08    | 3.39%             |  |  |  | No            |                  1 | On Loan: No      |
| APTIV PLC                      | COMMON STOCK | CUSIP: G6095L109<br>LEI: N/A | Long             | EC               | CORP              | JE        |      9394 | NS      | $874863.22    | 3.18%             |  |  |  | No            |                  1 | On Loan: No      |
| CANADIAN SOLAR INC             | COMMON STOCK | CUSIP: 136635109<br>LEI: N/A | Long             | EC               | CORP              | CA        |     26552 | NS      | $820456.80    | 2.99%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA LONGYUAN POWER GRO /HKD/ | COMMON STOCK | CUSIP: Y1501T101<br>LEI: N/A | Long             | EC               | CORP              | CN        |    593000 | NS      | $724768.91    | 2.64%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA SUNTIEN GREEN ENER /HKD/ | COMMON STOCK | CUSIP: Y15207106<br>LEI: N/A | Long             | EC               | CORP              | CN        |   1348000 | NS      | $561267.30    | 2.04%             |  |  |  | No            |                  1 | On Loan: No      |
| EATON CORP PLC                 | COMMON STOCK | CUSIP: G29183103<br>LEI: N/A | Long             | EC               | CORP              | IE        |      6926 | NS      | $1087035.70   | 3.96%             |  |  |  | No            |                  1 | On Loan: No      |
| ENPHASE ENERGY INC             | COMMON STOCK | CUSIP: 29355A107<br>LEI: N/A | Long             | EC               | CORP              | US        |      3350 | NS      | $887616.00    | 3.23%             |  |  |  | No            |                  1 | On Loan: No      |
| FIRST SOLAR INC                | COMMON STOCK | CUSIP: 336433107<br>LEI: N/A | Long             | EC               | CORP              | US        |      8186 | NS      | $1226180.94   | 4.46%             |  |  |  | No            |                  1 | On Loan: No      |
| GENTHERM INC                   | COMMON STOCK | CUSIP: 37253A103<br>LEI: N/A | Long             | EC               | CORP              | US        |     14479 | NS      | $945333.91    | 3.44%             |  |  |  | No            |                  1 | On Loan: No      |
| HUBBELL INC                    | COMMON STOCK | CUSIP: 443510607<br>LEI: N/A | Long             | EC               | CORP              | US        |      4298 | NS      | $1008654.64   | 3.67%             |  |  |  | No            |                  1 | On Loan: No      |
| IBERDROLA SA /EUR/             | COMMON STOCK | CUSIP: E6165F166<br>LEI: N/A | Long             | EC               | CORP              | ES        |    124749 | NS      | $1459633.73   | 5.31%             |  |  |  | No            |                  1 | On Loan: No      |
| INFINEON TECHNOLOGIES AG /EUR/ | COMMON STOCK | CUSIP: D35415104<br>LEI: N/A | Long             | EC               | CORP              | DE        |     37880 | NS      | $1152851.81   | 4.20%             |  |  |  | No            |                  1 | On Loan: No      |
| ITRON INC                      | COMMON STOCK | CUSIP: 465741106<br>LEI: N/A | Long             | EC               | CORP              | US        |     14157 | NS      | $717052.05    | 2.61%             |  |  |  | No            |                  1 | On Loan: No      |
| JOHNSON MATTHEY PLC /GBP/      | COMMON STOCK | CUSIP: G51604166<br>LEI: N/A | Long             | EC               | CORP              | GB        |     33018 | NS      | $849036.94    | 3.09%             |  |  |  | No            |                  1 | On Loan: No      |
| LG CHEM LTD /KRW/              | COMMON STOCK | CUSIP: Y52758102<br>LEI: N/A | Long             | EC               | CORP              | KR        |      2151 | NS      | $1025021.94   | 3.73%             |  |  |  | No            |                  1 | On Loan: No      |
| NEXTERA ENERGY INC             | COMMON STOCK | CUSIP: 65339F101<br>LEI: N/A | Long             | EC               | CORP              | US        |     15548 | NS      | $1299812.80   | 4.73%             |  |  |  | No            |                  1 | On Loan: No      |
| NIBE INDUSTRIER AB-B SHS /SEK/ | COMMON STOCK | CUSIP: W6S38Z126<br>LEI: N/A | Long             | EC               | CORP              | SE        |    103462 | NS      | $962783.09    | 3.50%             |  |  |  | No            |                  1 | On Loan: No      |
| ON SEMICONDUCTOR               | COMMON STOCK | CUSIP: 682189105<br>LEI: N/A | Long             | EC               | CORP              | US        |     16584 | NS      | $1034344.08   | 3.76%             |  |  |  | No            |                  1 | On Loan: No      |
| ORMAT TECHNOLOGIES INC         | COMMON STOCK | CUSIP: 686688102<br>LEI: N/A | Long             | EC               | CORP              | US        |     12003 | NS      | $1038019.44   | 3.78%             |  |  |  | No            |                  1 | On Loan: No      |
| SAMSUNG SDI CO LTD /KRW/       | COMMON STOCK | CUSIP: Y74866107<br>LEI: N/A | Long             | EC               | CORP              | KR        |      2298 | NS      | $1078646.17   | 3.93%             |  |  |  | No            |                  1 | On Loan: No      |
| SCHNEIDER ELEC SA /EUR/        | COMMON STOCK | CUSIP: F86921107<br>LEI: N/A | Long             | EC               | CORP              | FR        |      7972 | NS      | $1115567.84   | 4.06%             |  |  |  | No            |                  1 | On Loan: No      |
| SENSATA TECHNOLOGIES HOLDING   | COMMON STOCK | CUSIP: G8060N102<br>LEI: N/A | Long             | EC               | CORP              | GB        |     25305 | NS      | $1021815.90   | 3.72%             |  |  |  | No            |                  1 | On Loan: No      |
| SOLAREDGE TECHNOLOGIES INC     | COMMON STOCK | CUSIP: 83417M104<br>LEI: N/A | Long             | EC               | CORP              | US        |      2000 | NS      | $566540.00    | 2.06%             |  |  |  | No            |                  1 | On Loan: No      |
| SUNNOVA ENERGY INTERNATIONAL   | COMMON STOCK | CUSIP: 86745K104<br>LEI: N/A | Long             | EC               | CORP              | US        |     20499 | NS      | $369186.99    | 1.34%             |  |  |  | No            |                  1 | On Loan: No      |
| TIANNENG POWER INTL LTD /HKD/  | COMMON STOCK | CUSIP: G8655K109<br>LEI: N/A | Long             | EC               | CORP              | KY        |     80000 | NS      | $84452.73     | 0.31%             |  |  |  | No            |                  1 | On Loan: No      |
| TPI COMPOSITES INC             | COMMON STOCK | CUSIP: 87266J104<br>LEI: N/A | Long             | EC               | CORP              | US        |     16282 | NS      | $165099.48    | 0.60%             |  |  |  | No            |                  1 | On Loan: No      |
| TRANE TECHNOLOGIES PLC         | COMMON STOCK | CUSIP: G8994E103<br>LEI: N/A | Long             | EC               | CORP              | IE        |      6735 | NS      | $1132086.15   | 4.12%             |  |  |  | No            |                  1 | On Loan: No      |
| VESTAS WIND SYSTEMS A/S /DKK/  | COMMON STOCK | CUSIP: K9773J201<br>LEI: N/A | Long             | EC               | CORP              | DK        |     37938 | NS      | $1103728.36   | 4.02%             |  |  |  | No            |                  1 | On Loan: No      |
| XINYI SOLAR HOLDINGS LTD /HKD/ | COMMON STOCK | CUSIP: G9829N102<br>LEI: N/A | Long             | EC               | CORP              | KY        |    584200 | NS      | $646653.73    | 2.35%             |  |  |  | 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