# EDGAR Filing Document

**Accession Number:** 0000919160
**File Stem:** 0001398344-23-004967
**Filing Date:** 2023-2
**Character Count:** 11722
**Document Hash:** dc533e4e9d0a10fbaa9b658eefcce9d1
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001398344-23-004967.hdr.sgml**: 20230227

**ACCESSION NUMBER**: 0001398344-23-004967

**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:** 23673114

**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 Sustainable Energy II ETF (Series ID: S000069963)

| Class ID   | Class Name                          | Ticker Symbol   |
|:---|:---|:---|
| C000222800 | SmartETFs Sustainable Energy II ETF | SULR            |

## 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 Sustainable Energy II ETF

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

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

**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:** $5176523.67

**Total Liabilities:** $36243.49

**Net Assets:** $5140280.18

**Cash Not Reported:** $292945.77

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000222800 | -6.68%               | 13.32%               | 4.95%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $-105407.63              | $-265968.73                                |
| Month 2  | $0.00                    | $654738.29                                 |
| Month 3  | $0.00                    | $235337.37                                 |

### 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        |      2988 | NS      | $170734.32    | 3.32%             |  |  |  | No            |                  1 | On Loan: No      |
| APTIV PLC                      | COMMON STOCK | CUSIP: G6095L109<br>LEI: N/A | Long             | EC               | CORP              | JE        |      1674 | NS      | $155899.62    | 3.03%             |  |  |  | No            |                  1 | On Loan: No      |
| CANADIAN SOLAR INC             | COMMON STOCK | CUSIP: 136635109<br>LEI: N/A | Long             | EC               | CORP              | CA        |      5454 | NS      | $168528.60    | 3.28%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA LONGYUAN POWER GRO /HKD/ | COMMON STOCK | CUSIP: Y1501T101<br>LEI: N/A | Long             | EC               | CORP              | CN        |    104994 | NS      | $128324.43    | 2.50%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA SUNTIEN GREEN ENER /HKD/ | COMMON STOCK | CUSIP: Y15207106<br>LEI: N/A | Long             | EC               | CORP              | CN        |    228000 | NS      | $94932.45     | 1.85%             |  |  |  | No            |                  1 | On Loan: No      |
| EATON CORP PLC                 | COMMON STOCK | CUSIP: G29183103<br>LEI: N/A | Long             | EC               | CORP              | IE        |      1368 | NS      | $214707.60    | 4.18%             |  |  |  | No            |                  1 | On Loan: No      |
| ENPHASE ENERGY INC             | COMMON STOCK | CUSIP: 29355A107<br>LEI: N/A | Long             | EC               | CORP              | US        |       702 | NS      | $186001.92    | 3.62%             |  |  |  | No            |                  1 | On Loan: No      |
| FIRST SOLAR INC                | COMMON STOCK | CUSIP: 336433107<br>LEI: N/A | Long             | EC               | CORP              | US        |      1566 | NS      | $234571.14    | 4.56%             |  |  |  | No            |                  1 | On Loan: No      |
| GENTHERM INC                   | COMMON STOCK | CUSIP: 37253A103<br>LEI: N/A | Long             | EC               | CORP              | US        |      2700 | NS      | $176283.00    | 3.43%             |  |  |  | No            |                  1 | On Loan: No      |
| HUBBELL INC                    | COMMON STOCK | CUSIP: 443510607<br>LEI: N/A | Long             | EC               | CORP              | US        |       972 | NS      | $228108.96    | 4.44%             |  |  |  | No            |                  1 | On Loan: No      |
| IBERDROLA SA /EUR/             | COMMON STOCK | CUSIP: E6165F166<br>LEI: N/A | Long             | EC               | CORP              | ES        |     22031 | NS      | $257775.14    | 5.01%             |  |  |  | No            |                  1 | On Loan: No      |
| INFINEON TECHNOLOGIES AG /EUR/ | COMMON STOCK | CUSIP: D35415104<br>LEI: N/A | Long             | EC               | CORP              | DE        |      7146 | NS      | $217483.61    | 4.23%             |  |  |  | No            |                  1 | On Loan: No      |
| ITRON INC                      | COMMON STOCK | CUSIP: 465741106<br>LEI: N/A | Long             | EC               | CORP              | US        |      2808 | NS      | $142225.20    | 2.77%             |  |  |  | No            |                  1 | On Loan: No      |
| JOHNSON MATTHEY PLC /GBP/      | COMMON STOCK | CUSIP: G51604166<br>LEI: N/A | Long             | EC               | CORP              | GB        |      6804 | NS      | $174960.55    | 3.40%             |  |  |  | No            |                  1 | On Loan: No      |
| LG CHEM LTD /KRW/              | COMMON STOCK | CUSIP: Y52758102<br>LEI: N/A | Long             | EC               | CORP              | KR        |       378 | NS      | $180129.38    | 3.50%             |  |  |  | No            |                  1 | On Loan: No      |
| NEXTERA ENERGY INC             | COMMON STOCK | CUSIP: 65339F101<br>LEI: N/A | Long             | EC               | CORP              | US        |      2934 | NS      | $245282.40    | 4.77%             |  |  |  | No            |                  1 | On Loan: No      |
| NIBE INDUSTRIER AB-B SHS /SEK/ | COMMON STOCK | CUSIP: W6S38Z126<br>LEI: N/A | Long             | EC               | CORP              | SE        |     19224 | NS      | $178892.17    | 3.48%             |  |  |  | No            |                  1 | On Loan: No      |
| ON SEMICONDUCTOR               | COMMON STOCK | CUSIP: 682189105<br>LEI: N/A | Long             | EC               | CORP              | US        |      3204 | NS      | $199833.48    | 3.89%             |  |  |  | No            |                  1 | On Loan: No      |
| ORMAT TECHNOLOGIES INC         | COMMON STOCK | CUSIP: 686688102<br>LEI: N/A | Long             | EC               | CORP              | US        |      2052 | NS      | $177456.96    | 3.45%             |  |  |  | No            |                  1 | On Loan: No      |
| SAMSUNG SDI CO LTD /KRW/       | COMMON STOCK | CUSIP: Y74866107<br>LEI: N/A | Long             | EC               | CORP              | KR        |       378 | NS      | $177427.44    | 3.45%             |  |  |  | No            |                  1 | On Loan: No      |
| SCHNEIDER ELEC SA /EUR/        | COMMON STOCK | CUSIP: F86921107<br>LEI: N/A | Long             | EC               | CORP              | FR        |      1530 | NS      | $214101.71    | 4.17%             |  |  |  | No            |                  1 | On Loan: No      |
| SENSATA TECHNOLOGIES HOLDING   | COMMON STOCK | CUSIP: G8060N102<br>LEI: N/A | Long             | EC               | CORP              | GB        |      4104 | NS      | $165719.52    | 3.22%             |  |  |  | No            |                  1 | On Loan: No      |
| SOLAREDGE TECHNOLOGIES INC     | COMMON STOCK | CUSIP: 83417M104<br>LEI: N/A | Long             | EC               | CORP              | US        |       432 | NS      | $122372.64    | 2.38%             |  |  |  | No            |                  1 | On Loan: No      |
| SUNNOVA ENERGY INTERNATIONAL   | COMMON STOCK | CUSIP: 86745K104<br>LEI: N/A | Long             | EC               | CORP              | US        |      3942 | NS      | $70995.42     | 1.38%             |  |  |  | No            |                  1 | On Loan: No      |
| TPI COMPOSITES INC             | COMMON STOCK | CUSIP: 87266J104<br>LEI: N/A | Long             | EC               | CORP              | US        |      2466 | NS      | $25005.24     | 0.49%             |  |  |  | No            |                  1 | On Loan: No      |
| TRANE TECHNOLOGIES PLC         | COMMON STOCK | CUSIP: G8994E103<br>LEI: N/A | Long             | EC               | CORP              | IE        |      1260 | NS      | $211793.40    | 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        |      6984 | NS      | $203185.17    | 3.95%             |  |  |  | No            |                  1 | On Loan: No      |
| XINYI SOLAR HOLDINGS LTD /HKD/ | COMMON STOCK | CUSIP: G9829N102<br>LEI: N/A | Long             | EC               | CORP              | KY        |    126000 | NS      | $139469.99    | 2.71%             |  |  |  | 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