# EDGAR Filing Document

**Accession Number:** 0000919160
**File Stem:** 0001398344-26-009911
**Filing Date:** 2026-5
**Character Count:** 15138
**Document Hash:** ca7861a7b5357db2f6f45a2a68feaf70
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001398344-26-009911.hdr.sgml**: 20260528

**ACCESSION NUMBER**: 0001398344-26-009911

**CONFORMED SUBMISSION TYPE**: NPORT-P

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20260331

**FILED AS OF DATE**: 20260528

**DATE AS OF CHANGE**: 20260528

**PERIOD START**: 20261231

**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:** 261032746

**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 US Dividend Builder ETF (Series ID: S000097910)

| Class ID   | Class Name                                | Ticker Symbol   |
|:---|:---|:---|
| C000267421 | Guinness Atkinson US Dividend Builder ETF | GAUD            |

## Nport-Ex

**Guinness Atkinson US Dividend Builder ETF**

**Schedule of Investments**

**at March 31, 2026 (Unaudited)**

---

| | | |
|:---|:---|:---|
| **Shares** | **Common Stocks: 98.4%** | **Value** |
|  | **Advertising Agencies: 3.2%** |  |
| 100 | Omnicom Group Inc. | $7531 |
|  | **Aerospace/Defense: 4.4%** |  |
| 17 | Lockheed Martin Corp. | 10275 |
|  | **Commercial Services: 2.7%** |  |
| 31 | Automatic Data Processing Inc. | 6298 |
|  | **Computer Services: 2.6%** |  |
| 31 | Accenture PLC | 6147 |
|  | **Containers & Packaging: 3.3%** |  |
| 45 | Avery Dennison Corp. | 7771 |
|  | **Cosmetics & Toiletries: 3.4%** |  |
| 56 | The Procter & Gamble Co. | 8089 |
|  | **Data Processing/Management: 5.2%** |  |
| 36 | Broadridge Financial Solutions Inc. | 5849 |
| 71 | Paychex Inc. | 6540 |
|  |  | 12389 |
|  | **Diversified Manufacturing Operations: 3.6%** |  |
| 33 | Illinois Tool Works Inc. | 8589 |
|  | **Electronics: 7.2%** |  |
| 37 | TE Connectivity PLC | 7734 |
| 47 | Texas Instruments Inc. | 9124 |
|  |  | 16858 |
|  | **Financial Information Services: 2.7%** |  |
| 29 | FactSet Research Systems Inc. | 6293 |
|  | **Food: 17.7%** |  |
| 171 | General Mills Inc. | 6365 |
| 152 | Mondelez International Inc. | 8761 |
| 55 | PepsiCo Inc. | 8541 |
| 117 | The Coca-Cola Co. | 8898 |
| 44 | The Hershey Co. | 9147 |
|  |  | 41712 |
|  | **Insurance: 9.6%** |  |
| 75 | Aflac Inc. | 8228 |
| 147 | Fidelity National Financial Inc. | 6818 |
| 44 | Marsh & McLennan Cos. Inc. | 7632 |
|  |  | 22678 |

---

**Guinness Atkinson US Dividend Builder ETF**

**Schedule of Investments**

**at March 31, 2026 (Unaudited)**

---

| | | |
|:---|:---|:---|
| **Shares** | **Common Stocks: 98.4%** | **Value** |
|  | **Investment Management: 9.5%** |  |
| 8 | Blackrock Inc. | $7694 |
| 308 | Invesco Ltd. | 7481 |
| 79 | T Rowe Price Group Inc. | 7121 |
|  |  | 22296 |
|  | **Medical: 14.1%** |  |
| 37 | AbbVie Inc. | 8047 |
| 42 | Becton Dickinson & Co. | 6604 |
| 40 | Johnson & Johnson | 9778 |
| 84 | Medtronic PLC | 7278 |
| 5 | Waters Corp. | 1489 |
|  |  | 33196 |
|  | **Networking: 3.6%** |  |
| 108 | Cisco Systems Inc. | 8380 |
|  | **Retail: 3.0%** |  |
| 158 | Tractor Supply Co. | 7157 |
|  | **Semiconductor Components: 2.6%** |  |
| 47 | QUALCOMM Inc. | 6053 |
|  | **Total Common Stocks (Cost $246,758)** | 231712 |
|  | **Total Investments in Securities (Cost $246,758): 98.4%** | 231712 |
|  | Other Assets in Excess of Liabilities: 1.6% | 3664 |
|  | **Total Net Assets - 100.0%** | $**235376** |

---

*ADR - American Depository Receipt*

*PLC - Public Limited Company*

## 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 US Dividend Builder ETF

- **b. EDGAR series identifier (if any):** S000097910

- **c. LEI of Series:** 9845005DEAE2D3F59B80

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

- **a. Date of fiscal year-end:** 2026-12-31

- **b. Date as of which information is reported:** 2026-03-31

**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:** $235440.13

**Total Liabilities:** $64.22

**Net Assets:** $235375.91

**Cash Not Reported:** $1992.98

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000267421 | -7.78%               | 0.82%                | 2.78%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $25.08                   | $-20911.57                                 |
| Month 2  | $0.00                    | $1855.32                                   |
| Month 3  | $0.00                    | $6438.43                                   |

### 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   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| ABBVIE INC                   | COMMON STOCK | CUSIP: 00287Y109<br>LEI: N/A | Long             | EC               | CORP              | US        |        37 | NS      | $8047.13      | 3.42%             |  |  |  | No            |                  1 | On Loan: No      |
| ACCENTURE PLC-CL A           | COMMON STOCK | CUSIP: G1151C101<br>LEI: N/A | Long             | EC               | CORP              | IE        |        31 | NS      | $6146.99      | 2.61%             |  |  |  | No            |                  1 | On Loan: No      |
| AFLAC INC                    | COMMON STOCK | CUSIP: 001055102<br>LEI: N/A | Long             | EC               | CORP              | US        |        75 | NS      | $8228.25      | 3.50%             |  |  |  | No            |                  1 | On Loan: No      |
| AUTOMATIC DATA PROCESSING    | COMMON STOCK | CUSIP: 053015103<br>LEI: N/A | Long             | EC               | CORP              | US        |        31 | NS      | $6298.58      | 2.68%             |  |  |  | No            |                  1 | On Loan: No      |
| AVERY DENNISON CORP          | COMMON STOCK | CUSIP: 053611109<br>LEI: N/A | Long             | EC               | CORP              | US        |        45 | NS      | $7770.60      | 3.30%             |  |  |  | No            |                  1 | On Loan: No      |
| BECTON DICKINSON AND CO      | COMMON STOCK | CUSIP: 075887109<br>LEI: N/A | Long             | EC               | CORP              | US        |        42 | NS      | $6603.66      | 2.81%             |  |  |  | No            |                  1 | On Loan: No      |
| BLACKROCK INC                | COMMON STOCK | CUSIP: 09290D101<br>LEI: N/A | Long             | EC               | CORP              | US        |         8 | NS      | $7693.68      | 3.27%             |  |  |  | No            |                  1 | On Loan: No      |
| BROADRIDGE FINANCIAL SOLUTIO | COMMON STOCK | CUSIP: 11133T103<br>LEI: N/A | Long             | EC               | CORP              | US        |        36 | NS      | $5849.28      | 2.49%             |  |  |  | No            |                  1 | On Loan: No      |
| CISCO SYSTEMS INC            | COMMON STOCK | CUSIP: 17275R102<br>LEI: N/A | Long             | EC               | CORP              | US        |       108 | NS      | $8379.72      | 3.56%             |  |  |  | No            |                  1 | On Loan: No      |
| COCA-COLA CO/THE             | COMMON STOCK | CUSIP: 191216100<br>LEI: N/A | Long             | EC               | CORP              | US        |       117 | NS      | $8897.85      | 3.78%             |  |  |  | No            |                  1 | On Loan: No      |
| FACTSET RESEARCH SYSTEMS INC | COMMON STOCK | CUSIP: 303075105<br>LEI: N/A | Long             | EC               | CORP              | US        |        29 | NS      | $6292.71      | 2.67%             |  |  |  | No            |                  1 | On Loan: No      |
| FIDELITY NATIONAL FINANCIAL  | COMMON STOCK | CUSIP: 31620R303<br>LEI: N/A | Long             | EC               | CORP              | US        |       147 | NS      | $6817.86      | 2.90%             |  |  |  | No            |                  1 | On Loan: No      |
| GENERAL MILLS INC            | COMMON STOCK | CUSIP: 370334104<br>LEI: N/A | Long             | EC               | CORP              | US        |       171 | NS      | $6364.62      | 2.70%             |  |  |  | No            |                  1 | On Loan: No      |
| HERSHEY CO/THE               | COMMON STOCK | CUSIP: 427866108<br>LEI: N/A | Long             | EC               | CORP              | US        |        44 | NS      | $9147.16      | 3.89%             |  |  |  | No            |                  1 | On Loan: No      |
| ILLINOIS TOOL WORKS          | COMMON STOCK | CUSIP: 452308109<br>LEI: N/A | Long             | EC               | CORP              | US        |        33 | NS      | $8589.57      | 3.65%             |  |  |  | No            |                  1 | On Loan: No      |
| INVESCO LTD                  | COMMON STOCK | CUSIP: G491BT108<br>LEI: N/A | Long             | EC               | CORP              | BM        |       308 | NS      | $7481.32      | 3.18%             |  |  |  | No            |                  1 | On Loan: No      |
| JOHNSON & JOHNSON            | COMMON STOCK | CUSIP: 478160104<br>LEI: N/A | Long             | EC               | CORP              | US        |        40 | NS      | $9777.60      | 4.15%             |  |  |  | No            |                  1 | On Loan: No      |
| LOCKHEED MARTIN CORP         | COMMON STOCK | CUSIP: 539830109<br>LEI: N/A | Long             | EC               | CORP              | US        |        17 | NS      | $10274.63     | 4.37%             |  |  |  | No            |                  1 | On Loan: No      |
| MARSH & MCLENNAN COS         | COMMON STOCK | CUSIP: 571748102<br>LEI: N/A | Long             | EC               | CORP              | US        |        44 | NS      | $7631.80      | 3.24%             |  |  |  | No            |                  1 | On Loan: No      |
| MEDTRONIC PLC                | COMMON STOCK | CUSIP: G5960L103<br>LEI: N/A | Long             | EC               | CORP              | IE        |        84 | NS      | $7278.60      | 3.09%             |  |  |  | No            |                  1 | On Loan: No      |
| MONDELEZ INTERNATIONAL INC-A | COMMON STOCK | CUSIP: 609207105<br>LEI: N/A | Long             | EC               | CORP              | US        |       152 | NS      | $8761.28      | 3.72%             |  |  |  | No            |                  1 | On Loan: No      |
| OMNICOM GROUP                | COMMON STOCK | CUSIP: 681919106<br>LEI: N/A | Long             | EC               | CORP              | US        |       100 | NS      | $7531.00      | 3.20%             |  |  |  | No            |                  1 | On Loan: No      |
| PAYCHEX INC                  | COMMON STOCK | CUSIP: 704326107<br>LEI: N/A | Long             | EC               | CORP              | US        |        71 | NS      | $6540.52      | 2.78%             |  |  |  | No            |                  1 | On Loan: No      |
| PEPSICO INC                  | COMMON STOCK | CUSIP: 713448108<br>LEI: N/A | Long             | EC               | CORP              | US        |        55 | NS      | $8540.95      | 3.63%             |  |  |  | No            |                  1 | On Loan: No      |
| PROCTER & GAMBLE CO/THE      | COMMON STOCK | CUSIP: 742718109<br>LEI: N/A | Long             | EC               | CORP              | US        |        56 | NS      | $8088.64      | 3.44%             |  |  |  | No            |                  1 | On Loan: No      |
| QUALCOMM INC                 | COMMON STOCK | CUSIP: 747525103<br>LEI: N/A | Long             | EC               | CORP              | US        |        47 | NS      | $6052.66      | 2.57%             |  |  |  | No            |                  1 | On Loan: No      |
| T ROWE PRICE GROUP INC       | COMMON STOCK | CUSIP: 74144T108<br>LEI: N/A | Long             | EC               | CORP              | US        |        79 | NS      | $7121.06      | 3.03%             |  |  |  | No            |                  1 | On Loan: No      |
| TE CONNECTIVITY PLC          | COMMON STOCK | CUSIP: G87052109<br>LEI: N/A | Long             | EC               | CORP              | IE        |        37 | NS      | $7733.74      | 3.29%             |  |  |  | No            |                  1 | On Loan: No      |
| TEXAS INSTRUMENTS INC        | COMMON STOCK | CUSIP: 882508104<br>LEI: N/A | Long             | EC               | CORP              | US        |        47 | NS      | $9124.58      | 3.88%             |  |  |  | No            |                  1 | On Loan: No      |
| TRACTOR SUPPLY COMPANY       | COMMON STOCK | CUSIP: 892356106<br>LEI: N/A | Long             | EC               | CORP              | US        |       158 | NS      | $7157.40      | 3.04%             |  |  |  | No            |                  1 | On Loan: No      |
| WATERS CORP                  | COMMON STOCK | CUSIP: 941848103<br>LEI: N/A | Long             | EC               | CORP              | US        |         5 | NS      | $1489.00      | 0.63%             |  |  |  | No            |                  1 | On Loan: No      |

### Signature

**Date Signed:** 2026-05-28

**Name of Applicant:** GUINNESS ATKINSON FUNDS

**Signature:** /s/ Lyna Phan

**Name of Signer:** Lyna Phan

**Title:** Assistant Treasurer