# EDGAR Filing Document

**Accession Number:** 0000919160
**File Stem:** 0001398344-26-009902
**Filing Date:** 2026-5
**Character Count:** 18308
**Document Hash:** f59994df5eaf24e6a4063af04c9c2e90
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001398344-26-009902.hdr.sgml**: 20260528

**ACCESSION NUMBER**: 0001398344-26-009902

**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:** 261032741

**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            |

## Nport-Ex

**Guinness Atkinson Asia Pacific Dividend Builder ETF**

**Schedule of Investments**

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

---

| | | |
|:---|:---|:---|
| **Shares** | **Common Stocks: 99.3%** | **Value** |
|  | **Australia: 8.7%** |  |
| 42751 | Corporate Travel Management Ltd.(1) | $235986 |
| 24224 | JB Hi-Fi Ltd. | 1210468 |
| 523943 | Metcash Ltd. | 1070101 |
| 93375 | Sonic Healthcare Ltd. | 1317568 |
|  |  | 3834123 |
|  | **China: 38.0%** |  |
| 1438000 | China Construction Bank Corp. - H Shares | 1538654 |
| 822000 | China Medical System Holdings | 1402646 |
| 199500 | China Merchants Bank Co., Ltd. - H Shares | 1253816 |
| 724500 | China Overseas Land & Investment Ltd. | 1067187 |
| 500700 | China Resources Gas Group Ltd. | 1215169 |
| 457800 | Haier Smart Home Co Ltd - /HKD/ | 1209723 |
| 1844000 | Industrial and Commercial Bank of China Ltd. - H Shares | 1613263 |
| 296300 | Inner Mongolia Yili Industrial Group Co., Ltd. - A Shares | 1133576 |
| 10811 | NetEase Inc. - ADR | 1210183 |
| 190500 | Ping An Insurance Group Company of China Ltd. - H Shares | 1444332 |
| 198300 | Shenzhou International | 1183050 |
| 717700 | Suofeiya Home Collection - A Shares | 1320255 |
| 194494 | Zhejiang Supor Cookware - A Shares | 1238267 |
|  |  | 16830121 |
|  | **Hong Kong: 3.8%** |  |
| 309500 | BOC Hong Kong Holdings Ltd. | 1689370 |
|  | **India: 2.7%** |  |
| 79783 | Tech Mahindra Ltd. | 1196839 |
|  | **Indonesia: 2.7%** |  |
| 6082700 | Bank Rakyat Indonesia Persero | 1191879 |
|  | **Malaysia: 2.9%** |  |
| 1094200 | Public Bank Bhd | 1264721 |
|  | **Singapore: 8.6%** |  |
| 594454 | Capland Ascendas - REIT | 1141980 |
| 715800 | CapitaLand Integrated Commercial Trust - REIT | 1274884 |
| 31505 | DBS Group Holdings Ltd. | 1394233 |
| 16644 | CapitaLand Ascendas REIT - Rights | 1553 |
|  |  | 3812650 |
|  | **South Korea: 3.0%** |  |
| 162540 | Korean Reinsurance Co | 1321613 |
|  | **Taiwan: 18.1%** |  |
| 172800 | Catcher Technology Co., Ltd. | 1017458 |
| 14200 | Elite Material Co., Ltd. | 1156316 |
| 164617 | Hon Hai Precision Industry Co., Ltd. | 966698 |
| 15365 | Largan Precision Co., Ltd. | 1037038 |
| 107000 | Nien Made Enterprise Co., Ltd. | 1105891 |
| 100700 | Novatek Microelectronics Corp. | 1196895 |
| 4590 | Taiwan Semiconductor Manufacturing Co., Ltd. | 1551191 |
|  |  | 8031487 |

---

**Guinness Atkinson Asia Pacific Dividend Builder ETF**

**Schedule of Investments**

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

---

| | | |
|:---|:---|:---|
| **Shares** | **Common Stocks: 99.3%** | **Value** |
|  | **Thailand: 2.8%** |  |
| 358000 | Tisco Financial Group PCL/Foreign | $1241873 |
|  | **United States: 8.0%** |  |
| 10437 | Aflac Inc. | 1145043 |
| 3797 | Broadcom Inc. | 1175209 |
| 9380 | QUALCOMM Inc. | 1207956 |
|  |  | 3528208 |
|  | **Total Common Stocks (Cost $43,836,926)** | 43942884 |
|  | **Total Investments (Cost $43,836,926): 99.3%** | 43942884 |
|  | Other Assets in Excess of Liabilities: 0.7% | 307914 |
|  | **Total Net Assets - 100.0%** | $**44250798** |

---

\* 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 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:** 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:** $44687525.63

**Total Liabilities:** $474033.35

**Net Assets:** $44213492.28

**Cash Not Reported:** $187999.88

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000220961 | -7.99%               | 2.43%                | 1.82%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $0.00                    | $-3596465.17                               |
| Month 2  | $0.00                    | $823594.03                                 |
| Month 3  | $0.00                    | $581794.25                                 |

### 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        |     10437 | NS      | $1145043.27   | 2.59%             |  |  |  | No            |                  1 | On Loan: No      |
| BANK RAKYAT INDONESIA PE /IDR/ | COMMON STOCK                        | CUSIP: Y0697U112<br>LEI: N/A | Long             | EC               | CORP              | ID        |   5411300 | NS      | $1060321.22   | 2.40%             |  |  |  | No            |                  1 | On Loan: No      |
| BOC HONG KONG HOLDINGS L /HKD/ | COMMON STOCK                        | CUSIP: Y0920U103<br>LEI: N/A | Long             | EC               | CORP              | HK        |    309500 | NS      | $1689369.54   | 3.82%             |  |  |  | No            |                  1 | On Loan: No      |
| BROADCOM INC                   | COMMON STOCK                        | CUSIP: 11135F101<br>LEI: N/A | Long             | EC               | CORP              | US        |      3797 | NS      | $1175209.47   | 2.66%             |  |  |  | No            |                  1 | On Loan: No      |
| CAPITALAND ASCENDAS REIT /SGD/ | REIT - Real Estate Investment Trust | CUSIP: Y0205X103<br>LEI: N/A | Long             | EC               | CORP              | SG        |    594454 | NS      | $1141980.46   | 2.58%             |  |  |  | No            |                  1 | On Loan: No      |
| CAPITALAND INTEGRATED CO /SGD/ | REIT - Real Estate Investment Trust | CUSIP: Y0259J109<br>LEI: N/A | Long             | EC               | CORP              | SG        |    715800 | NS      | $1274883.92   | 2.88%             |  |  |  | No            |                  1 | On Loan: No      |
| CAPITALAND RTS 04/15/26 /SGD/  | RIGHTS                              | CUSIP: N/A<br>LEI: N/A       | Long             | EC               | CORP              | SG        |     16644 | NS      | $1553.40      | 0.00%             |  |  |  | No            |                  3 | On Loan: No      |
| CATCHER TECHNOLOGY CO LT /TWD/ | COMMON STOCK                        | CUSIP: Y1148A101<br>LEI: N/A | Long             | EC               | CORP              | TW        |    172800 | NS      | $1017457.48   | 2.30%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA CONSTRUCTION BANK- /HKD/ | COMMON STOCK                        | CUSIP: Y1397N101<br>LEI: N/A | Long             | EC               | CORP              | CN        |   1438000 | NS      | $1538654.41   | 3.48%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA MEDICAL SYSTEM HOL /HKD/ | COMMON STOCK                        | CUSIP: G21108124<br>LEI: N/A | Long             | EC               | CORP              | KY        |    822000 | NS      | $1402646.30   | 3.17%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA MERCHANTS BANK-H /HKD/   | COMMON STOCK                        | CUSIP: Y14896115<br>LEI: N/A | Long             | EC               | CORP              | CN        |    199500 | NS      | $1253816.09   | 2.84%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA OVERSEAS LAND & IN /HKD/ | COMMON STOCK                        | CUSIP: Y15004107<br>LEI: N/A | Long             | EC               | CORP              | HK        |    724500 | NS      | $1067187.21   | 2.41%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA RESOURCES GAS GROU /HKD/ | COMMON STOCK                        | CUSIP: G2113B108<br>LEI: N/A | Long             | EC               | CORP              | BM        |    500700 | NS      | $1215168.82   | 2.75%             |  |  |  | No            |                  1 | On Loan: No      |
| CORPORATE TRAVEL MANAGEM /AUD/ | COMMON STOCK                        | CUSIP: Q2909K105<br>LEI: N/A | Long             | EC               | CORP              | AU        |     42751 | NS      | $235985.52    | 0.53%             |  |  |  | No            |                  1 | On Loan: No      |
| DBS GROUP HOLDINGS LTD /SGD/   | COMMON STOCK                        | CUSIP: Y20246107<br>LEI: N/A | Long             | EC               | CORP              | SG        |     31505 | NS      | $1394232.55   | 3.15%             |  |  |  | No            |                  1 | On Loan: No      |
| ELITE MATERIAL CO LTD /TWD/    | COMMON STOCK                        | CUSIP: Y2290G102<br>LEI: N/A | Long             | EC               | CORP              | TW        |     29200 | NS      | $2377775.69   | 5.38%             |  |  |  | No            |                  1 | On Loan: No      |
| HAIER SMART HOME CO LTD- /HKD/ | COMMON STOCK                        | CUSIP: Y298BN100<br>LEI: N/A | Long             | EC               | CORP              | CN        |    384200 | NS      | $1015236.80   | 2.30%             |  |  |  | No            |                  1 | On Loan: No      |
| HON HAI PRECISION INDUST /TWD/ | COMMON STOCK                        | CUSIP: Y36861105<br>LEI: N/A | Long             | EC               | CORP              | TW        |    164617 | NS      | $966697.59    | 2.19%             |  |  |  | No            |                  1 | On Loan: No      |
| IND & COMM BK OF CHINA-H /HKD/ | COMMON STOCK                        | CUSIP: Y3990B112<br>LEI: N/A | Long             | EC               | CORP              | CN        |   1844000 | NS      | $1613263.36   | 3.65%             |  |  |  | No            |                  1 | On Loan: No      |
| INNER MONGOLIA YILI INDU /CNY/ | COMMON STOCK                        | CUSIP: Y40847108<br>LEI: N/A | Long             | EC               | CORP              | CN        |    296300 | NS      | $1133576.04   | 2.56%             |  |  |  | No            |                  1 | On Loan: No      |
| JB HI-FI LTD /AUD/             | COMMON STOCK                        | CUSIP: Q5029L101<br>LEI: N/A | Long             | EC               | CORP              | AU        |     20689 | NS      | $1033825.17   | 2.34%             |  |  |  | No            |                  1 | On Loan: No      |
| KOREAN REINSURANCE CO /KRW/    | COMMON STOCK                        | CUSIP: Y49391108<br>LEI: N/A | Long             | EC               | CORP              | KR        |    162540 | NS      | $1321612.65   | 2.99%             |  |  |  | No            |                  1 | On Loan: No      |
| LARGAN PRECISION CO LTD /TWD/  | COMMON STOCK                        | CUSIP: Y52144105<br>LEI: N/A | Long             | EC               | CORP              | TW        |     15365 | NS      | $1037037.65   | 2.35%             |  |  |  | No            |                  1 | On Loan: No      |
| METCASH LTD /AUD/              | COMMON STOCK                        | CUSIP: Q6014C106<br>LEI: N/A | Long             | EC               | CORP              | AU        |    523943 | NS      | $1070101.16   | 2.42%             |  |  |  | No            |                  1 | On Loan: No      |
| NETEASE INC-ADR                | COMMON STOCK                        | CUSIP: 64110W102<br>LEI: N/A | Long             | EC               | CORP              | KY        |     10811 | NS      | $1210183.34   | 2.74%             |  |  |  | No            |                  1 | On Loan: No      |
| NIEN MADE ENTERPRISE CO  /TWD/ | COMMON STOCK                        | CUSIP: Y6349P112<br>LEI: N/A | Long             | EC               | CORP              | TW        |    107000 | NS      | $1105891.20   | 2.50%             |  |  |  | No            |                  1 | On Loan: No      |
| NOVATEK MICROELECTRONICS /TWD/ | COMMON STOCK                        | CUSIP: Y64153102<br>LEI: N/A | Long             | EC               | CORP              | TW        |    100700 | NS      | $1196894.67   | 2.71%             |  |  |  | No            |                  1 | On Loan: No      |
| PING AN INSURANCE GROUP  /HKD/ | COMMON STOCK                        | CUSIP: Y69790106<br>LEI: N/A | Long             | EC               | CORP              | CN        |    190500 | NS      | $1444332.15   | 3.27%             |  |  |  | No            |                  1 | On Loan: No      |
| PUBLIC BANK BERHAD /MYR/       | COMMON STOCK                        | CUSIP: Y71497104<br>LEI: N/A | Long             | EC               | CORP              | MY        |   1094200 | NS      | $1264721.17   | 2.86%             |  |  |  | No            |                  1 | On Loan: No      |
| QUALCOMM INC                   | COMMON STOCK                        | CUSIP: 747525103<br>LEI: N/A | Long             | EC               | CORP              | US        |      9380 | NS      | $1207956.40   | 2.73%             |  |  |  | No            |                  1 | On Loan: No      |
| SHENZHOU INTERNATIONAL G /HKD/ | COMMON STOCK                        | CUSIP: G8087W101<br>LEI: N/A | Long             | EC               | CORP              | KY        |    145600 | NS      | $868644.01    | 1.96%             |  |  |  | No            |                  1 | On Loan: No      |
| SONIC HEALTHCARE LTD /AUD/     | COMMON STOCK                        | CUSIP: Q8563C107<br>LEI: N/A | Long             | EC               | CORP              | AU        |     93375 | NS      | $1317567.91   | 2.98%             |  |  |  | No            |                  1 | On Loan: No      |
| SUOFEIYA HOME COLLECTION /CNH/ | COMMON STOCK                        | CUSIP: Y29336107<br>LEI: N/A | Long             | EC               | CORP              | CN        |    717700 | NS      | $1320255.39   | 2.99%             |  |  |  | No            |                  1 | On Loan: No      |
| TAIWAN SEMICONDUCTOR-SP ADR    | COMMON STOCK                        | CUSIP: 874039100<br>LEI: N/A | Long             | EC               | CORP              | TW        |      4590 | NS      | $1551190.50   | 3.51%             |  |  |  | No            |                  1 | On Loan: No      |
| TECH MAHINDRA LTD /INR/        | COMMON STOCK                        | CUSIP: Y85491127<br>LEI: N/A | Long             | EC               | CORP              | IN        |     79783 | NS      | $1196838.92   | 2.71%             |  |  |  | No            |                  1 | On Loan: No      |
| TISCO FINANCIAL-FOREIGN /THB/  | COMMON STOCK                        | CUSIP: Y8843E171<br>LEI: N/A | Long             | EC               | CORP              | TH        |    358000 | NS      | $1241872.60   | 2.81%             |  |  |  | No            |                  1 | On Loan: No      |
| ZHEJIANG SUPOR COOKWARE /CNH/  | COMMON STOCK                        | CUSIP: Y98925103<br>LEI: N/A | Long             | EC               | CORP              | CN        |    194494 | NS      | $1238266.70   | 2.80%             |  |  |  | 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