# EDGAR Filing Document

**Accession Number:** 0000919160
**File Stem:** 0001398344-23-004961
**Filing Date:** 2023-2
**Character Count:** 12531
**Document Hash:** 6a685134a7ab9607d9b933b2338fabbe
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001398344-23-004961.hdr.sgml**: 20230227

**ACCESSION NUMBER**: 0001398344-23-004961

**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:** 23673110

**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           |

## 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:** 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:** $135515350.54

**Total Liabilities:** $933702.78

**Net Assets:** $134581647.76

**Cash Not Reported:** $3167782.89

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000016119 | -5.88%               | 9.75%                | 5.42%                |
| Class ID C000161072 | -5.89%               | 9.73%                | 5.39%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $-164391.31              | $-8382364.94                               |
| Month 2  | $859502.58               | $12389336.27                               |
| Month 3  | $-887327.04              | $7921593.09                                |

### 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        |    176107 | NS      | $5343384.97   | 3.97%             |  |  |  | No            |                  1 | On Loan: No      |
| ADOBE INC                      | COMMON STOCK | CUSIP: 00724F101<br>LEI: N/A | Long             | EC               | CORP              | US        |     10240 | NS      | $3446067.20   | 2.56%             |  |  |  | No            |                  1 | On Loan: No      |
| ALPHABET INC-CL A              | COMMON STOCK | CUSIP: 02079K305<br>LEI: N/A | Long             | EC               | CORP              | US        |     43629 | NS      | $3849386.67   | 2.86%             |  |  |  | No            |                  1 | On Loan: No      |
| AMAZON.COM INC                 | COMMON STOCK | CUSIP: 023135106<br>LEI: N/A | Long             | EC               | CORP              | US        |     35756 | NS      | $3003504.00   | 2.23%             |  |  |  | No            |                  1 | On Loan: No      |
| AMPHENOL CORP-CL A             | COMMON STOCK | CUSIP: 032095101<br>LEI: N/A | Long             | EC               | CORP              | US        |     78337 | NS      | $5964579.18   | 4.43%             |  |  |  | No            |                  1 | On Loan: No      |
| ANTA SPORTS PRODUCTS LTD /HKD/ | COMMON STOCK | CUSIP: G04011105<br>LEI: N/A | Long             | EC               | CORP              | KY        |    296000 | NS      | $3879393.51   | 2.88%             |  |  |  | No            |                  1 | On Loan: No      |
| APPLE INC                      | COMMON STOCK | CUSIP: 037833100<br>LEI: N/A | Long             | EC               | CORP              | US        |     31867 | NS      | $4140479.31   | 3.08%             |  |  |  | No            |                  1 | On Loan: No      |
| APPLIED MATERIALS INC          | COMMON STOCK | CUSIP: 038222105<br>LEI: N/A | Long             | EC               | CORP              | US        |     44521 | NS      | $4335454.98   | 3.22%             |  |  |  | No            |                  1 | On Loan: No      |
| BRISTOL-MYERS SQUIBB CO        | COMMON STOCK | CUSIP: 110122108<br>LEI: N/A | Long             | EC               | CORP              | US        |     65813 | NS      | $4735245.35   | 3.52%             |  |  |  | No            |                  1 | On Loan: No      |
| COMCAST CORP-CLASS A           | COMMON STOCK | CUSIP: 20030N101<br>LEI: N/A | Long             | EC               | CORP              | US        |    107932 | NS      | $3774382.04   | 2.80%             |  |  |  | No            |                  1 | On Loan: No      |
| DANAHER CORP                   | COMMON STOCK | CUSIP: 235851102<br>LEI: N/A | Long             | EC               | CORP              | US        |     19447 | NS      | $5161622.74   | 3.84%             |  |  |  | No            |                  1 | On Loan: No      |
| INFINEON TECHNOLOGIES AG /EUR/ | COMMON STOCK | CUSIP: D35415104<br>LEI: N/A | Long             | EC               | CORP              | DE        |    142131 | NS      | $4325659.47   | 3.21%             |  |  |  | No            |                  1 | On Loan: No      |
| INTERCONTINENTAL EXCHANGE IN   | COMMON STOCK | CUSIP: 45866F104<br>LEI: N/A | Long             | EC               | CORP              | US        |     50731 | NS      | $5204493.29   | 3.87%             |  |  |  | No            |                  1 | On Loan: No      |
| INTUIT INC                     | COMMON STOCK | CUSIP: 461202103<br>LEI: N/A | Long             | EC               | CORP              | US        |     12382 | NS      | $4819322.04   | 3.58%             |  |  |  | No            |                  1 | On Loan: No      |
| KLA CORP                       | COMMON STOCK | CUSIP: 482480100<br>LEI: N/A | Long             | EC               | CORP              | US        |     13569 | NS      | $5115920.07   | 3.80%             |  |  |  | No            |                  1 | On Loan: No      |
| LAM RESEARCH CORP              | COMMON STOCK | CUSIP: 512807108<br>LEI: N/A | Long             | EC               | CORP              | US        |     10095 | NS      | $4242928.50   | 3.15%             |  |  |  | No            |                  1 | On Loan: No      |
| MASTERCARD INC - A             | COMMON STOCK | CUSIP: 57636Q104<br>LEI: N/A | Long             | EC               | CORP              | US        |     16847 | NS      | $5858207.31   | 4.35%             |  |  |  | No            |                  1 | On Loan: No      |
| MEDTRONIC PLC                  | COMMON STOCK | CUSIP: G5960L103<br>LEI: N/A | Long             | EC               | CORP              | IE        |     34820 | NS      | $2706210.40   | 2.01%             |  |  |  | No            |                  1 | On Loan: No      |
| META PLATFORMS INC-CLASS A     | COMMON STOCK | CUSIP: 30303M102<br>LEI: N/A | Long             | EC               | CORP              | US        |     18665 | NS      | $2246146.10   | 1.67%             |  |  |  | No            |                  1 | On Loan: No      |
| MICROSOFT CORP                 | COMMON STOCK | CUSIP: 594918104<br>LEI: N/A | Long             | EC               | CORP              | US        |     20875 | NS      | $5006242.50   | 3.72%             |  |  |  | No            |                  1 | On Loan: No      |
| NIKE INC -CL B                 | COMMON STOCK | CUSIP: 654106103<br>LEI: N/A | Long             | EC               | CORP              | US        |     40737 | NS      | $4766636.37   | 3.54%             |  |  |  | No            |                  1 | On Loan: No      |
| NVIDIA CORP                    | COMMON STOCK | CUSIP: 67066G104<br>LEI: N/A | Long             | EC               | CORP              | US        |     21186 | NS      | $3096122.04   | 2.30%             |  |  |  | No            |                  1 | On Loan: No      |
| PAYPAL HOLDINGS INC            | COMMON STOCK | CUSIP: 70450Y103<br>LEI: N/A | Long             | EC               | CORP              | US        |     52470 | NS      | $3736913.40   | 2.78%             |  |  |  | No            |                  1 | On Loan: No      |
| ROPER TECHNOLOGIES INC         | COMMON STOCK | CUSIP: 776696106<br>LEI: N/A | Long             | EC               | CORP              | US        |     13073 | NS      | $5648712.57   | 4.20%             |  |  |  | No            |                  1 | On Loan: No      |
| SALESFORCE INC                 | COMMON STOCK | CUSIP: 79466L302<br>LEI: N/A | Long             | EC               | CORP              | US        |     28235 | NS      | $3743678.65   | 2.78%             |  |  |  | No            |                  1 | On Loan: No      |
| SCHNEIDER ELEC SA /EUR/        | COMMON STOCK | CUSIP: F86921107<br>LEI: N/A | Long             | EC               | CORP              | FR        |     35206 | NS      | $4926578.19   | 3.66%             |  |  |  | No            |                  1 | On Loan: No      |
| TAIWAN SEMICONDUCTOR-SP ADR    | COMMON STOCK | CUSIP: 874039100<br>LEI: N/A | Long             | EC               | CORP              | TW        |     52937 | NS      | $3943277.13   | 2.93%             |  |  |  | No            |                  1 | On Loan: No      |
| THERMO FISHER SCIENTIFIC INC   | COMMON STOCK | CUSIP: 883556102<br>LEI: N/A | Long             | EC               | CORP              | US        |     10267 | NS      | $5653934.23   | 4.20%             |  |  |  | No            |                  1 | On Loan: No      |
| VISA INC-CLASS A SHARES        | COMMON STOCK | CUSIP: 92826C839<br>LEI: N/A | Long             | EC               | CORP              | US        |     26190 | NS      | $5441234.40   | 4.04%             |  |  |  | No            |                  1 | On Loan: No      |
| ZOOM VIDEO COMMUNICATIONS-A    | COMMON STOCK | CUSIP: 98980L101<br>LEI: N/A | Long             | EC               | CORP              | US        |     45740 | NS      | $3098427.60   | 2.30%             |  |  |  | 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