# EDGAR Filing Document

**Accession Number:** 0000919160
**File Stem:** 0001398344-26-003885
**Filing Date:** 2026-2
**Character Count:** 14841
**Document Hash:** c4a46fa7e6e55a1bfe38ac08820852f7
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001398344-26-003885.hdr.sgml**: 20260226

**ACCESSION NUMBER**: 0001398344-26-003885

**CONFORMED SUBMISSION TYPE**: NPORT-P

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20251231

**FILED AS OF DATE**: 20260226

**DATE AS OF CHANGE**: 20260226

**PERIOD START**: 20251231

**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:** 26690281

**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 Asia Pacific Dividend Builder ETF (Series ID: S000069134)

| Class ID   | Class Name                                          | Ticker Symbol   |
|:---|:---|:---|
| C000220961 | Guinness Atkinson Asia Pacific Dividend Builder ETF | ADIV            |

## 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 Asia Pacific Dividend Builder ETF

- **b. EDGAR series identifier (if any):** S000069134

- **c. LEI of Series:** 5493006E0KSEBGDM0P72

**Item A.3. Reporting period.**

- **a. Date of fiscal year-end:** 2025-12-31

- **b. Date as of which information is reported:** 2025-12-31

**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:** $29646953.76

**Total Liabilities:** $460482.73

**Net Assets:** $29186471.03

**Cash Not Reported:** $438548.40

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000220961 | -0.53%               | 1.10%                | 1.56%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $-112376.08              | $-110274.56                                |
| Month 2  | $30776.76                | $246925.57                                 |
| Month 3  | $35080.68                | $295687.48                                 |

### 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   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| AFLAC INC                      | COMMON STOCK                        | CUSIP: 001055102<br>LEI: N/A | Long             | EC               | CORP              | US        |      6561 | NS      | $723481.47    | 2.48%             |  |  |  | No            |                  1 | On Loan: No      |
| BANK RAKYAT INDONESIA PE /IDR/ | COMMON STOCK                        | CUSIP: Y0697U112<br>LEI: N/A | Long             | EC               | CORP              | ID        |   3401100 | NS      | $746508.31    | 2.56%             |  |  |  | No            |                  1 | On Loan: No      |
| BOC HONG KONG HOLDINGS L /HKD/ | COMMON STOCK                        | CUSIP: Y0920U103<br>LEI: N/A | Long             | EC               | CORP              | HK        |    195500 | NS      | $990235.91    | 3.39%             |  |  |  | No            |                  1 | On Loan: No      |
| BROADCOM INC                   | COMMON STOCK                        | CUSIP: 11135F101<br>LEI: N/A | Long             | EC               | CORP              | US        |      2391 | NS      | $827525.10    | 2.84%             |  |  |  | No            |                  1 | On Loan: No      |
| CAPITALAND ASCENDAS REIT /SGD/ | REIT - Real Estate Investment Trust | CUSIP: Y0205X103<br>LEI: N/A | Long             | EC               | CORP              | SG        |    374054 | NS      | $823535.72    | 2.82%             |  |  |  | No            |                  1 | On Loan: No      |
| CAPITALAND INTEGRATED CO /SGD/ | REIT - Real Estate Investment Trust | CUSIP: Y0259J109<br>LEI: N/A | Long             | EC               | CORP              | SG        |    449800 | NS      | $836332.66    | 2.87%             |  |  |  | No            |                  1 | On Loan: No      |
| CATCHER TECHNOLOGY CO LT /TWD/ | COMMON STOCK                        | CUSIP: Y1148A101<br>LEI: N/A | Long             | EC               | CORP              | TW        |    108200 | NS      | $717836.18    | 2.46%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA CONSTRUCTION BANK- /HKD/ | COMMON STOCK                        | CUSIP: Y1397N101<br>LEI: N/A | Long             | EC               | CORP              | CN        |    906000 | NS      | $895220.11    | 3.07%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA MEDICAL SYSTEM HOL /HKD/ | COMMON STOCK                        | CUSIP: G21108124<br>LEI: N/A | Long             | EC               | CORP              | KY        |    518000 | NS      | $858607.66    | 2.94%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA MERCHANTS BANK-H /HKD/   | COMMON STOCK                        | CUSIP: Y14896115<br>LEI: N/A | Long             | EC               | CORP              | CN        |    123500 | NS      | $837869.09    | 2.87%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA OVERSEAS LAND & IN /HKD/ | COMMON STOCK                        | CUSIP: Y15004107<br>LEI: N/A | Long             | EC               | CORP              | HK        |    458500 | NS      | $721690.05    | 2.47%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA RESOURCES GAS GROU /HKD/ | COMMON STOCK                        | CUSIP: G2113B108<br>LEI: N/A | Long             | EC               | CORP              | BM        |    314500 | NS      | $914089.12    | 3.13%             |  |  |  | No            |                  1 | On Loan: No      |
| CORPORATE TRAVEL MANAGEM /AUD/ | COMMON STOCK                        | CUSIP: Q2909K105<br>LEI: N/A | Long             | EC               | CORP              | AU        |     42751 | NS      | $228239.03    | 0.78%             |  |  |  | No            |                  1 | On Loan: No      |
| DBS GROUP HOLDINGS LTD /SGD/   | COMMON STOCK                        | CUSIP: Y20246107<br>LEI: N/A | Long             | EC               | CORP              | SG        |     20105 | NS      | $881529.33    | 3.02%             |  |  |  | No            |                  1 | On Loan: No      |
| ELITE MATERIAL CO LTD /TWD/    | COMMON STOCK                        | CUSIP: Y2290G102<br>LEI: N/A | Long             | EC               | CORP              | TW        |     17800 | NS      | $933943.61    | 3.20%             |  |  |  | No            |                  1 | On Loan: No      |
| HAIER SMART HOME CO LTD- /HKD/ | COMMON STOCK                        | CUSIP: Y298BN100<br>LEI: N/A | Long             | EC               | CORP              | CN        |    239800 | NS      | $748123.25    | 2.56%             |  |  |  | No            |                  1 | On Loan: No      |
| HON HAI PRECISION INDUST /TWD/ | COMMON STOCK                        | CUSIP: Y36861105<br>LEI: N/A | Long             | EC               | CORP              | TW        |    103817 | NS      | $763262.90    | 2.62%             |  |  |  | No            |                  1 | On Loan: No      |
| IND & COMM BK OF CHINA-H /HKD/ | COMMON STOCK                        | CUSIP: Y3990B112<br>LEI: N/A | Long             | EC               | CORP              | CN        |   1160000 | NS      | $937527.30    | 3.21%             |  |  |  | No            |                  1 | On Loan: No      |
| INNER MONGOLIA YILI INDU /CNY/ | COMMON STOCK                        | CUSIP: Y40847108<br>LEI: N/A | Long             | EC               | CORP              | CN        |    186100 | NS      | $762901.70    | 2.61%             |  |  |  | No            |                  1 | On Loan: No      |
| JB HI-FI LTD /AUD/             | COMMON STOCK                        | CUSIP: Q5029L101<br>LEI: N/A | Long             | EC               | CORP              | AU        |     13013 | NS      | $835596.14    | 2.86%             |  |  |  | No            |                  1 | On Loan: No      |
| KOREAN REINSURANCE CO /KRW/    | COMMON STOCK                        | CUSIP: Y49391108<br>LEI: N/A | Long             | EC               | CORP              | KR        |    102158 | NS      | $817984.17    | 2.80%             |  |  |  | No            |                  1 | On Loan: No      |
| LARGAN PRECISION CO LTD /TWD/  | COMMON STOCK                        | CUSIP: Y52144105<br>LEI: N/A | Long             | EC               | CORP              | TW        |      9665 | NS      | $769143.12    | 2.64%             |  |  |  | No            |                  1 | On Loan: No      |
| METCASH LTD /AUD/              | COMMON STOCK                        | CUSIP: Q6014C106<br>LEI: N/A | Long             | EC               | CORP              | AU        |    329307 | NS      | $725217.95    | 2.48%             |  |  |  | No            |                  1 | On Loan: No      |
| NETEASE INC-ADR                | COMMON STOCK                        | CUSIP: 64110W102<br>LEI: N/A | Long             | EC               | CORP              | KY        |      5791 | NS      | $796957.42    | 2.73%             |  |  |  | No            |                  1 | On Loan: No      |
| NIEN MADE ENTERPRISE CO  /TWD/ | COMMON STOCK                        | CUSIP: Y6349P112<br>LEI: N/A | Long             | EC               | CORP              | TW        |     69000 | NS      | $794494.77    | 2.72%             |  |  |  | No            |                  1 | On Loan: No      |
| NOVATEK MICROELECTRONICS /TWD/ | COMMON STOCK                        | CUSIP: Y64153102<br>LEI: N/A | Long             | EC               | CORP              | TW        |     62700 | NS      | $747952.28    | 2.56%             |  |  |  | No            |                  1 | On Loan: No      |
| PING AN INSURANCE GROUP  /HKD/ | COMMON STOCK                        | CUSIP: Y69790106<br>LEI: N/A | Long             | EC               | CORP              | CN        |    114500 | NS      | $958506.80    | 3.28%             |  |  |  | No            |                  1 | On Loan: No      |
| PUBLIC BANK BERHAD /MYR/       | COMMON STOCK                        | CUSIP: Y71497104<br>LEI: N/A | Long             | EC               | CORP              | MY        |    687600 | NS      | $769271.56    | 2.64%             |  |  |  | No            |                  1 | On Loan: No      |
| QUALCOMM INC                   | COMMON STOCK                        | CUSIP: 747525103<br>LEI: N/A | Long             | EC               | CORP              | US        |      4830 | NS      | $826171.50    | 2.83%             |  |  |  | No            |                  1 | On Loan: No      |
| SHENZHOU INTERNATIONAL G /HKD/ | COMMON STOCK                        | CUSIP: G8087W101<br>LEI: N/A | Long             | EC               | CORP              | KY        |     92400 | NS      | $726605.50    | 2.49%             |  |  |  | No            |                  1 | On Loan: No      |
| SONIC HEALTHCARE LTD /AUD/     | COMMON STOCK                        | CUSIP: Q8563C107<br>LEI: N/A | Long             | EC               | CORP              | AU        |     58681 | NS      | $885424.86    | 3.03%             |  |  |  | No            |                  1 | On Loan: No      |
| SUOFEIYA HOME COLLECTION /CNH/ | COMMON STOCK                        | CUSIP: Y29336107<br>LEI: N/A | Long             | EC               | CORP              | CN        |    451700 | NS      | $881179.51    | 3.02%             |  |  |  | No            |                  1 | On Loan: No      |
| TAIWAN SEMICONDUCTOR-SP ADR    | COMMON STOCK                        | CUSIP: 874039100<br>LEI: N/A | Long             | EC               | CORP              | TW        |      2880 | NS      | $875203.20    | 3.00%             |  |  |  | No            |                  1 | On Loan: No      |
| TECH MAHINDRA LTD /INR/        | COMMON STOCK                        | CUSIP: Y85491127<br>LEI: N/A | Long             | EC               | CORP              | IN        |     50143 | NS      | $887778.07    | 3.04%             |  |  |  | No            |                  1 | On Loan: No      |
| TISCO FINANCIAL-FOREIGN /THB/  | COMMON STOCK                        | CUSIP: Y8843E171<br>LEI: N/A | Long             | EC               | CORP              | TH        |    225000 | NS      | $789912.63    | 2.71%             |  |  |  | No            |                  1 | On Loan: No      |
| ZHEJIANG SUPOR COOKWARE /CNH/  | COMMON STOCK                        | CUSIP: Y98925103<br>LEI: N/A | Long             | EC               | CORP              | CN        |    122294 | NS      | $772685.77    | 2.65%             |  |  |  | No            |                  1 | On Loan: No      |

### Signature

**Date Signed:** 2026-02-26

**Name of Applicant:** GUINNESS ATKINSON FUNDS

**Signature:** /s/ Lyna Phan

**Name of Signer:** Lyna Phan

**Title:** Assistant Treasurer