# EDGAR Filing Document

**Accession Number:** 0000919160
**File Stem:** 0001398344-26-009901
**Filing Date:** 2026-5
**Character Count:** 16587
**Document Hash:** 762c56cb2465140e98d0f7199244b9d2
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001398344-26-009901.hdr.sgml**: 20260528

**ACCESSION NUMBER**: 0001398344-26-009901

**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:** 261032758

**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 Smart Transportation & Technology ETF (Series ID: S000065017)

| Class ID   | Class Name                                              | Ticker Symbol   |
|:---|:---|:---|
| C000210495 | Guinness Atkinson Smart Transportation & Technology ETF | MOTO            |

## Nport-Ex

**Guinness Atkinson Smart Transportation & Technology ETF**

**Schedule of Investments**

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

---

| | | |
|:---|:---|:---|
| **Shares** | **Common Stocks: 96.8%** | **Value** |
|  | **Other: 7.7%** |  |
| 3648 | Darling Ingredients Inc.\* | $225629 |
| 740 | Quanta Services Inc. | 406275 |
|  |  | 631904 |
|  | **Smart Transportation: 32.4%** |  |
| 2484 | Aptiv PLC\* | 172489 |
| 22500 | BYD Co. Ltd. | 303591 |
| 1764 | Continental AG | 121535 |
| 1273 | Daimler Truck Holding AG | 61027 |
| 13800 | Denso Corp. | 169332 |
| 111000 | Geely Automobile Holdings Ltd. | 296145 |
| 8118 | Johnson Matthey PLC | 203825 |
| 3168 | Kia Corp. | 305573 |
| 3054 | Mercedes-Benz Group AG\* | 184959 |
| 6000 | Mobileye Global Inc - A\* | 41220 |
| 6084 | Sensata Technologies Holding | 214278 |
| 740 | Tesla Inc.\* | 275095 |
| 9396 | Volvo AB Class B | 303276 |
|  |  | 2652345 |
|  | **Technology: 5.0%** |  |
| 1212 | Taiwan Semiconductor Manufacturing Co., Ltd. - ADR | 409595 |
|  | **Transportation Technology: 51.7%** |  |
| 1098 | Alphabet Inc. Class C | 314972 |
| 2604 | Amphenol Corp. Class A | 329015 |
| 1026 | Analog Devices Inc. | 326412 |
| 894 | Aumovio SE \* | 34538 |
| 10386 | Dana Inc. | 349489 |
| 886 | Eaton Corp. PLC | 316896 |
| 4044 | Gentherm Inc.\* | 112342 |
| 19992 | Hexagon AB Class B | 190185 |
| 5874 | Infineon Technologies AG - ADR | 258033 |
| 534 | LG Chem Ltd. | 106066 |
| 1900 | NVIDIA Corp. | 331360 |
| 1140 | NXP Semiconductors NV | 224420 |
| 2958 | ON Semiconductor Corp.\* | 183159 |
| 3228 | Power Integrations Inc. | 165274 |
| 12700 | Renesas Electronics Corp.\* | 172158 |
| 632 | Samsung SDI Co., Ltd. | 171293 |
| 1050 | Siemens AG | 249679 |
| 1986 | Skyworks Solutions Inc. | 106350 |
| 1368 | TE Connectivity Ltd. | 285939 |
|  |  | 4227580 |
|  | **Total Common Stocks (Cost $6,856,254)** | 7921424 |

---

**Guinness Atkinson Smart Transportation & Technology ETF**

**Schedule of Investments**

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

---

| | | |
|:---|:---|:---|
| **Shares** | **Preferred Stocks: 1.7%** | **Value** |
|  | **Preferred Stocks** |  |
|  | **Smart Transportation: 1.7%** |  |
| 1356 | Volkswagen AG | $135435 |
|  | **Total Preferred Stocks (Cost $277,433)** | 135435 |
|  | **Total Investments (Cost $7,133,687): 98.5%** | 8056859 |
|  | Other Assets in Excess of Liabilities: 1.5% | 127612 |
|  | **Total Net Assets - 100.0%** | $**8184471** |

---

\* Non-income producing security.

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 Smart Transportation & Technology ETF

- **b. EDGAR series identifier (if any):** S000065017

- **c. LEI of Series:** 549300V00BLH54GDJS35

**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:** $8215171.28

**Total Liabilities:** $30951.44

**Net Assets:** $8184219.84

**Cash Not Reported:** $102339.73

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000210495 | -9.62%               | 5.91%                | 6.50%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $0.00                    | $-884592.24                                |
| Month 2  | $0.00                    | $496594.17                                 |
| Month 3  | $0.00                    | $526157.07                                 |

### 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   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| ALPHABET INC-CL C              | COMMON STOCK | CUSIP: 02079K107<br>LEI: N/A | Long             | EC               | CORP              | US        |      1098 | NS      | $314972.28    | 3.85%             |  |  |  | No            |                  1 | On Loan: No      |
| AMPHENOL CORP-CL A             | COMMON STOCK | CUSIP: 032095101<br>LEI: N/A | Long             | EC               | CORP              | US        |      2604 | NS      | $329015.40    | 4.02%             |  |  |  | No            |                  1 | On Loan: No      |
| ANALOG DEVICES INC             | COMMON STOCK | CUSIP: 032654105<br>LEI: N/A | Long             | EC               | CORP              | US        |      1026 | NS      | $326411.64    | 3.99%             |  |  |  | No            |                  1 | On Loan: No      |
| APTIV PLC                      | COMMON STOCK | CUSIP: G3265R107<br>LEI: N/A | Long             | EC               | CORP              | JE        |      2484 | NS      | $172488.96    | 2.11%             |  |  |  | No            |                  1 | On Loan: No      |
| AUMOVIO SE /EUR/               | COMMON STOCK | CUSIP: D0R9B8108<br>LEI: N/A | Long             | EC               | CORP              | DE        |       894 | NS      | $34538.37     | 0.42%             |  |  |  | No            |                  1 | On Loan: No      |
| BYD CO LTD-H /HKD/             | COMMON STOCK | CUSIP: Y1023R104<br>LEI: N/A | Long             | EC               | CORP              | CN        |     22500 | NS      | $303590.67    | 3.71%             |  |  |  | No            |                  1 | On Loan: No      |
| CONTINENTAL AG /EUR/           | COMMON STOCK | CUSIP: D16212140<br>LEI: N/A | Long             | EC               | CORP              | DE        |      1764 | NS      | $121535.37    | 1.48%             |  |  |  | No            |                  1 | On Loan: No      |
| DAIMLER TRUCK HOLDING AG /EUR/ | COMMON STOCK | CUSIP: D1T3RZ100<br>LEI: N/A | Long             | EC               | CORP              | DE        |      1273 | NS      | $61026.75     | 0.75%             |  |  |  | No            |                  1 | On Loan: No      |
| DANA INC                       | COMMON STOCK | CUSIP: 235825205<br>LEI: N/A | Long             | EC               | CORP              | US        |     10386 | NS      | $349488.90    | 4.27%             |  |  |  | No            |                  1 | On Loan: No      |
| DARLING INGREDIENTS INC        | COMMON STOCK | CUSIP: 237266101<br>LEI: N/A | Long             | EC               | CORP              | US        |      3648 | NS      | $225628.80    | 2.76%             |  |  |  | No            |                  1 | On Loan: No      |
| DENSO CORP /JPY/               | COMMON STOCK | CUSIP: J12075107<br>LEI: N/A | Long             | EC               | CORP              | JP        |     13800 | NS      | $169331.82    | 2.07%             |  |  |  | No            |                  1 | On Loan: No      |
| EATON CORP PLC                 | COMMON STOCK | CUSIP: G29183103<br>LEI: N/A | Long             | EC               | CORP              | IE        |       886 | NS      | $316895.62    | 3.87%             |  |  |  | No            |                  1 | On Loan: No      |
| GEELY AUTOMOBILE HOLDING /HKD/ | COMMON STOCK | CUSIP: G3777B103<br>LEI: N/A | Long             | EC               | CORP              | KY        |    111000 | NS      | $296145.34    | 3.62%             |  |  |  | No            |                  1 | On Loan: No      |
| GENTHERM INC                   | COMMON STOCK | CUSIP: 37253A103<br>LEI: N/A | Long             | EC               | CORP              | US        |      4044 | NS      | $112342.32    | 1.37%             |  |  |  | No            |                  1 | On Loan: No      |
| HEXAGON AB-B SHS /SEK/         | COMMON STOCK | CUSIP: W4R431112<br>LEI: N/A | Long             | EC               | CORP              | SE        |     19992 | NS      | $190184.75    | 2.32%             |  |  |  | No            |                  1 | On Loan: No      |
| INFINEON TECHNOLOGIES AG /EUR/ | COMMON STOCK | CUSIP: D35415104<br>LEI: N/A | Long             | EC               | CORP              | DE        |      5874 | NS      | $258033.07    | 3.15%             |  |  |  | No            |                  1 | On Loan: No      |
| JOHNSON MATTHEY PLC /GBP/      | COMMON STOCK | CUSIP: G51604166<br>LEI: N/A | Long             | EC               | CORP              | GB        |      8118 | NS      | $203824.66    | 2.49%             |  |  |  | No            |                  1 | On Loan: No      |
| KIA CORP /KRW/                 | COMMON STOCK | CUSIP: Y47601102<br>LEI: N/A | Long             | EC               | CORP              | KR        |      3168 | NS      | $305572.52    | 3.73%             |  |  |  | No            |                  1 | On Loan: No      |
| LG CHEM LTD /KRW/              | COMMON STOCK | CUSIP: Y52758102<br>LEI: N/A | Long             | EC               | CORP              | KR        |       534 | NS      | $106065.70    | 1.30%             |  |  |  | No            |                  1 | On Loan: No      |
| MERCEDES-BENZ GROUP AG /EUR/   | COMMON STOCK | CUSIP: D1668R123<br>LEI: N/A | Long             | EC               | CORP              | DE        |      3054 | NS      | $184958.91    | 2.26%             |  |  |  | No            |                  1 | On Loan: No      |
| MOBILEYE GLOBAL INC-A          | COMMON STOCK | CUSIP: 60741F104<br>LEI: N/A | Long             | EC               | CORP              | US        |      6000 | NS      | $41220.00     | 0.50%             |  |  |  | No            |                  1 | On Loan: No      |
| NVIDIA CORP                    | COMMON STOCK | CUSIP: 67066G104<br>LEI: N/A | Long             | EC               | CORP              | US        |      1900 | NS      | $331360.00    | 4.05%             |  |  |  | No            |                  1 | On Loan: No      |
| NXP SEMICONDUCTORS NV          | COMMON STOCK | CUSIP: N6596X109<br>LEI: N/A | Long             | EC               | CORP              | NL        |      1140 | NS      | $224420.40    | 2.74%             |  |  |  | No            |                  1 | On Loan: No      |
| ON SEMICONDUCTOR               | COMMON STOCK | CUSIP: 682189105<br>LEI: N/A | Long             | EC               | CORP              | US        |      2958 | NS      | $183159.36    | 2.24%             |  |  |  | No            |                  1 | On Loan: No      |
| POWER INTEGRATIONS INC         | COMMON STOCK | CUSIP: 739276103<br>LEI: N/A | Long             | EC               | CORP              | US        |      3228 | NS      | $165273.60    | 2.02%             |  |  |  | No            |                  1 | On Loan: No      |
| QUANTA SERVICES INC            | COMMON STOCK | CUSIP: 74762E102<br>LEI: N/A | Long             | EC               | CORP              | US        |       740 | NS      | $406274.80    | 4.96%             |  |  |  | No            |                  1 | On Loan: No      |
| RENESAS ELECTRONICS CORP /JPY/ | COMMON STOCK | CUSIP: J4881V107<br>LEI: N/A | Long             | EC               | CORP              | JP        |     12700 | NS      | $172157.96    | 2.10%             |  |  |  | No            |                  1 | On Loan: No      |
| SAMSUNG SDI CO LTD /KRW/       | COMMON STOCK | CUSIP: Y74866107<br>LEI: N/A | Long             | EC               | CORP              | KR        |       632 | NS      | $171293.05    | 2.09%             |  |  |  | No            |                  1 | On Loan: No      |
| SENSATA TECHNOLOGIES HOLDING   | COMMON STOCK | CUSIP: G8060N102<br>LEI: N/A | Long             | EC               | CORP              | GB        |      6084 | NS      | $214278.48    | 2.62%             |  |  |  | No            |                  1 | On Loan: No      |
| SIEMENS AG-REG /EUR/           | COMMON STOCK | CUSIP: D69671218<br>LEI: N/A | Long             | EC               | CORP              | DE        |      1050 | NS      | $249678.66    | 3.05%             |  |  |  | No            |                  1 | On Loan: No      |
| SKYWORKS SOLUTIONS INC         | COMMON STOCK | CUSIP: 83088M102<br>LEI: N/A | Long             | EC               | CORP              | US        |      1986 | NS      | $106350.30    | 1.30%             |  |  |  | No            |                  1 | On Loan: No      |
| TAIWAN SEMICONDUCTOR-SP ADR    | COMMON STOCK | CUSIP: 874039100<br>LEI: N/A | Long             | EC               | CORP              | TW        |      1212 | NS      | $409595.40    | 5.00%             |  |  |  | No            |                  1 | On Loan: No      |
| TE CONNECTIVITY PLC            | COMMON STOCK | CUSIP: G87052109<br>LEI: N/A | Long             | EC               | CORP              | IE        |      1368 | NS      | $285939.36    | 3.49%             |  |  |  | No            |                  1 | On Loan: No      |
| TESLA INC                      | COMMON STOCK | CUSIP: 88160R101<br>LEI: N/A | Long             | EC               | CORP              | US        |       740 | NS      | $275095.00    | 3.36%             |  |  |  | No            |                  1 | On Loan: No      |
| VOLKSWAGENWERK AG PRF /EUR/    | COMMON STOCK | CUSIP: D94523103<br>LEI: N/A | Long             | EC               | CORP              | DE        |      1356 | NS      | $135435.11    | 1.65%             |  |  |  | No            |                  1 | On Loan: No      |
| VOLVO AB-B SHS /SEK/           | COMMON STOCK | CUSIP: 928856301<br>LEI: N/A | Long             | EC               | CORP              | SE        |      9396 | NS      | $303276.10    | 3.71%             |  |  |  | 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