# EDGAR Filing Document

**Accession Number:** 0000919160
**File Stem:** 0001398344-23-004963
**Filing Date:** 2023-2
**Character Count:** 12321
**Document Hash:** 1c7a01641f96517970dbbd0b62bfaf8e
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001398344-23-004963.hdr.sgml**: 20230227

**ACCESSION NUMBER**: 0001398344-23-004963

**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:** 23673107

**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 Advertising & Marketing Technology ETF (Series ID: S000067431)

| Class ID   | Class Name                                       | Ticker Symbol   |
|:---|:---|:---|
| C000216796 | SmartETFs Advertising & Marketing Technology ETF | MRAD            |

## 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 Advertising & Marketing Technology ETF

- **b. EDGAR series identifier (if any):** S000067431

- **c. LEI of Series:** 549300QF3M5T2X6BFE86

**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:** $1161942.19

**Total Liabilities:** $35696.29

**Net Assets:** $1126245.90

**Cash Not Reported:** $75192.55

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000216796 | -4.65%               | 5.38%                | -0.40%               |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $0.00                    | $-54508.96                                 |
| Month 2  | $-152085.04              | $203727.41                                 |
| Month 3  | $0.00                    | $-53377.73                                 |

### 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   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| ACUITYADS HOLDING INC          | COMMON STOCK | CUSIP: 00510L106<br>LEI: N/A | Long             | EC               | CORP              | CA        |     10823 | NS      | $16775.65     | 1.49%             |  |  |  | No            |                  1 | On Loan: No      |
| ADOBE INC                      | COMMON STOCK | CUSIP: 00724F101<br>LEI: N/A | Long             | EC               | CORP              | US        |       153 | NS      | $51489.09     | 4.57%             |  |  |  | No            |                  1 | On Loan: No      |
| ALPHABET INC-CL A              | COMMON STOCK | CUSIP: 02079K305<br>LEI: N/A | Long             | EC               | CORP              | US        |       540 | NS      | $47644.20     | 4.23%             |  |  |  | No            |                  1 | On Loan: No      |
| AMAZON.COM INC                 | COMMON STOCK | CUSIP: 023135106<br>LEI: N/A | Long             | EC               | CORP              | US        |       540 | NS      | $45360.00     | 4.03%             |  |  |  | No            |                  1 | On Loan: No      |
| ATLASSIAN CORP-CL A            | COMMON STOCK | CUSIP: 049468101<br>LEI: N/A | Long             | EC               | CORP              | US        |       234 | NS      | $30111.12     | 2.67%             |  |  |  | No            |                  1 | On Loan: No      |
| BAIDU INC                      | COMMON STOCK | CUSIP: 056752108<br>LEI: N/A | Long             | EC               | CORP              | KY        |       405 | NS      | $46323.90     | 4.11%             |  |  |  | No            |                  1 | On Loan: No      |
| CRITEO SA-SPON ADR             | COMMON STOCK | CUSIP: 226718104<br>LEI: N/A | Long             | EC               | CORP              | FR        |      2250 | NS      | $58635.00     | 5.21%             |  |  |  | No            |                  1 | On Loan: No      |
| CYBERAGENT INC /JPY/           | COMMON STOCK | CUSIP: J1046G108<br>LEI: N/A | Long             | EC               | CORP              | JP        |      4500 | NS      | $40059.45     | 3.56%             |  |  |  | No            |                  1 | On Loan: No      |
| DIGITAL TURBINE INC            | COMMON STOCK | CUSIP: 25400W102<br>LEI: N/A | Long             | EC               | CORP              | US        |      1593 | NS      | $24277.32     | 2.16%             |  |  |  | No            |                  1 | On Loan: No      |
| FUTURE PLC /GBP/               | COMMON STOCK | CUSIP: G37005132<br>LEI: N/A | Long             | EC               | CORP              | GB        |      1989 | NS      | $30466.30     | 2.71%             |  |  |  | No            |                  1 | On Loan: No      |
| HUBSPOT INC                    | COMMON STOCK | CUSIP: 443573100<br>LEI: N/A | Long             | EC               | CORP              | US        |       144 | NS      | $41634.72     | 3.70%             |  |  |  | No            |                  1 | On Loan: No      |
| LIVERAMP HOLDINGS INC          | COMMON STOCK | CUSIP: 53815P108<br>LEI: N/A | Long             | EC               | CORP              | US        |      1287 | NS      | $30167.28     | 2.68%             |  |  |  | No            |                  1 | On Loan: No      |
| MAGNITE INC                    | COMMON STOCK | CUSIP: 55955D100<br>LEI: N/A | Long             | EC               | CORP              | US        |      3411 | NS      | $36122.49     | 3.21%             |  |  |  | No            |                  1 | On Loan: No      |
| META PLATFORMS INC-CLASS A     | COMMON STOCK | CUSIP: 30303M102<br>LEI: N/A | Long             | EC               | CORP              | US        |       279 | NS      | $33574.86     | 2.98%             |  |  |  | No            |                  1 | On Loan: No      |
| NEXT FIFTEEN COMMUNICATI /GBP/ | COMMON STOCK | CUSIP: G6500G109<br>LEI: N/A | Long             | EC               | CORP              | GB        |      3384 | NS      | $40501.76     | 3.60%             |  |  |  | No            |                  1 | On Loan: No      |
| PEGASYSTEMS INC COM            | COMMON STOCK | CUSIP: 705573103<br>LEI: N/A | Long             | EC               | CORP              | US        |       711 | NS      | $24344.64     | 2.16%             |  |  |  | No            |                  1 | On Loan: No      |
| PERION NETWORK LTD             | COMMON STOCK | CUSIP: M78673114<br>LEI: N/A | Long             | EC               | CORP              | IL        |      2943 | NS      | $74457.90     | 6.61%             |  |  |  | No            |                  1 | On Loan: No      |
| PUBMATIC INC-CLASS A           | COMMON STOCK | CUSIP: 74467Q103<br>LEI: N/A | Long             | EC               | CORP              | US        |      2295 | NS      | $29398.95     | 2.61%             |  |  |  | No            |                  1 | On Loan: No      |
| ROKU INC                       | COMMON STOCK | CUSIP: 77543R102<br>LEI: N/A | Long             | EC               | CORP              | US        |       369 | NS      | $15018.30     | 1.33%             |  |  |  | No            |                  1 | On Loan: No      |
| S4 CAPITAL PLC /GBP/           | COMMON STOCK | CUSIP: G8059H124<br>LEI: N/A | Long             | EC               | CORP              | GB        |     11052 | NS      | $25279.60     | 2.24%             |  |  |  | No            |                  1 | On Loan: No      |
| SALESFORCE INC                 | COMMON STOCK | CUSIP: 79466L302<br>LEI: N/A | Long             | EC               | CORP              | US        |       342 | NS      | $45345.78     | 4.03%             |  |  |  | No            |                  1 | On Loan: No      |
| TECHTARGET                     | COMMON STOCK | CUSIP: 87874R100<br>LEI: N/A | Long             | EC               | CORP              | US        |       783 | NS      | $34498.98     | 3.06%             |  |  |  | No            |                  1 | On Loan: No      |
| TENCENT HOLDINGS LTD /HKD/     | COMMON STOCK | CUSIP: G87572163<br>LEI: N/A | Long             | EC               | CORP              | KY        |      1100 | NS      | $47069.07     | 4.18%             |  |  |  | No            |                  1 | On Loan: No      |
| TRADE DESK INC/THE -CLASS A    | COMMON STOCK | CUSIP: 88339J105<br>LEI: N/A | Long             | EC               | CORP              | US        |       900 | NS      | $40347.00     | 3.58%             |  |  |  | No            |                  1 | On Loan: No      |
| TREMOR INTERNATIONAL LTD-ADR   | COMMON STOCK | CUSIP: 89484T104<br>LEI: N/A | Long             | EC               | CORP              | IL        |      4367 | NS      | $28167.15     | 2.50%             |  |  |  | No            |                  1 | On Loan: No      |
| VALUECOMMERCE CO LTD /JPY/     | COMMON STOCK | CUSIP: J9451Q107<br>LEI: N/A | Long             | EC               | CORP              | JP        |      2000 | NS      | $27651.39     | 2.46%             |  |  |  | No            |                  1 | On Loan: No      |
| WEIMOB INC /HKD/               | COMMON STOCK | CUSIP: G9T20A106<br>LEI: N/A | Long             | EC               | CORP              | KY        |     55000 | NS      | $46928.15     | 4.17%             |  |  |  | Yes           |                  1 | On Loan: No      |
| YANDEX NV-A                    | COMMON STOCK | CUSIP: N97284108<br>LEI: N/A | Long             | EC               | CORP              | NL        |      1280 | NS      | $12.80        | 0.00%             |  |  |  | No            |                  1 | On Loan: No      |
| Z HOLDINGS CORP /JPY/          | COMMON STOCK | CUSIP: J9894K105<br>LEI: N/A | Long             | EC               | CORP              | JP        |     14100 | NS      | $35678.52     | 3.17%             |  |  |  | No            |                  1 | On Loan: No      |
| ZOOMINFO TECHNOLOGIES INC      | COMMON STOCK | CUSIP: 98980F104<br>LEI: N/A | Long             | EC               | CORP              | US        |       999 | NS      | $30079.89     | 2.67%             |  |  |  | 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