# EDGAR Filing Document

**Accession Number:** 0000919160
**File Stem:** 0001398344-26-009905
**Filing Date:** 2026-5
**Character Count:** 16516
**Document Hash:** 27ee509ea0dbc9216c1e823442eb15b2
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001398344-26-009905.hdr.sgml**: 20260528

**ACCESSION NUMBER**: 0001398344-26-009905

**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:** 261032754

**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 China & Hong Kong Fund (Series ID: S000005894)

| Class ID   | Class Name                               | Ticker Symbol   |
|:---|:---|:---|
| C000016118 | Guinness Atkinson China & Hong Kong Fund | ICHKX           |

## Nport-Ex

**GUINNESS ATKINSON CHINA & HONG KONG FUND**

**Schedule of Investments**

**at March 31, 2026**

---

| | | |
|:---|:---|:---|
| **Shares** | **Common Stocks: 99.1%** | **Value** |
|  | **Appliances: 10.2%** |  |
| 292600 | Haier Smart Home Co., Ltd. - H Shares | $783788 |
| 84200 | Midea Group Co., Ltd. | 936312 |
| 137509 | Zhejiang Supor Cookware - A Shares | 877040 |
|  |  | 2597140 |
|  | **Application Software: 2.9%** |  |
| 597000 | TravelSky Technology Ltd. | 741824 |
|  | **Auto/Cars - Light Trucks: 3.9%** |  |
| 363000 | Geely Automobile Holdings Ltd. | 982745 |
|  | **Auto/Trucks Parts & Equipment: 3.5%** |  |
| 254480 | Weichai Power Co., Ltd. - H Shares | 900548 |
|  | **Automobiles: 3.6%** |  |
| 67400 | BYD Co. Ltd. | 923193 |
|  | **Commercial Banks: 3.4%** |  |
| 134500 | China Merchants Bank Co., Ltd. - H Shares | 852536 |
|  | **E-Commerce/Services: 7.2%** |  |
| 24500 | Alibaba Group Holding Ltd. | 381034 |
| 4201 | Alibaba Group Holding Ltd. - ADR | 527057 |
| 19202 | JD.com Inc. | 282131 |
| 21178 | JD.com Inc. - ADR | 626233 |
|  |  | 1816455 |
|  | **Electrical Equipment: 3.5%** |  |
| 217758 | Hongfa Technology Co., Ltd. | 887711 |
|  | **Energy-Alternate: 4.2%** |  |
| 418070 | Hangzhou First Applied Materials Co., Ltd. | 1072082 |
|  | **Finance: 3.1%** |  |
| 15800 | Hong Kong Exchanges & Clearing Ltd. | 795257 |
|  | **Food-Dairy Products: 3.6%** |  |
| 238900 | Inner Mongolia Yili Industrial Group Co., Ltd. - A Shares | 915157 |
|  | **Home Furnishings: 3.3%** |  |
| 447200 | Suofeiya Home Collection - A Shares | 825927 |
|  | **Hotels, Restaurants & Leisure: 3.7%** |  |
| 86300 | Meituan - Class B<sup>\*,1</sup> | 929015 |

---

**GUINNESS ATKINSON CHINA & HONG KONG FUND**

**Schedule of Investments**

**at March 31, 2026**

---

| | | |
|:---|:---|:---|
| **Shares** | **Common Stocks: 99.1%** | **Value** |
|  | **Insurance: 7.2%** |  |
| 91200 | AIA Group Ltd. | $1004448 |
| 106500 | Ping An Insurance Group Company of China Ltd. - H Shares | 823150 |
|  |  | 1827598 |
|  | **Internet Application Software: 4.4%** |  |
| 17600 | Tencent Holdings Ltd. | 1108392 |
|  | **Internet Content - Entertainment: 2.9%** |  |
| 6669 | NetEase Inc. - ADR | 746528 |
|  | **Machinery: 16.3%** |  |
| 327000 | Haitian International Holdings Ltd. | 849131 |
| 219968 | NARI Technology Co., Ltd. - A Shares | 835163 |
| 298497 | Sany Heavy Industry Co., Ltd. - A Shares | 839035 |
| 70600 | Shandong Himile Mechanical Science & Technology Co., Ltd. | 817913 |
| 81954 | Shenzhen Inovance Technology Co., Ltd. - A Shares | 804207 |
|  |  | 4145449 |
|  | **Pharmaceuticals: 3.4%** |  |
| 1148500 | Sino Biopharmaceutical Ltd. | 874514 |
|  | **Real Estate Operations/Development: 2.8%** |  |
| 476000 | China Overseas Land & Investments Ltd. | 707420 |
|  | **Retail-Apparel: 2.8%** |  |
| 117300 | Shenzhou International Group Holdings Ltd. | 710822 |
|  | **Web Portals: 3.2%** |  |
| 7184 | Baidu Inc. - ADR\* | 800441 |
|  | **Total Common Stock** | 25160754 |
|  | (cost $24,763,967) |  |
|  | **Total Investments in Securities** | 25160754 |
|  | (cost $24,763,967): 99.1% |  |
|  | Other Assets in Excess of Liabilities: 0.9% | 224867 |
|  | **Net Assets: 100.0%** | $**25385621** |

---

*\** *Non-income producing security.*

*ADR - American Depository Receipt*

*<sup>1</sup>* *Securities noted are exempt from registration under Rule 144A of the Securities Act of 1933, as amended, or otherwise restricted. These securities may be resold in transactions exempt from registration, normally to qualified institutional buyers.*

## 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 China & Hong Kong Fund

- **b. EDGAR series identifier (if any):** S000005894

- **c. LEI of Series:** 549300DM0YHA9DTLSY91

**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:** $25538410.98

**Total Liabilities:** $148588.22

**Net Assets:** $25389822.76

**Cash Not Reported:** $344282.68

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000016118 | -7.00%               | -0.53%               | 5.10%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $614504.54               | $-2551062.44                               |
| Month 2  | $37100.93                | $-138991.78                                |
| Month 3  | $75395.23                | $1308311.30                                |

### 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   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| AIA GROUP LTD /HKD/                      | COMMON STOCK | CUSIP: Y002A1105<br>LEI: N/A | Long             | EC               | CORP              | HK        |     91200 | NS      | $1004448.26   | 3.96%             |  |  |  | No            |                  2 | On Loan: No      |
| ALIBABA GROUP HOLDING LT /HKD/           | COMMON STOCK | CUSIP: G01719114<br>LEI: N/A | Long             | EC               | CORP              | KY        |     24500 | NS      | $381034.36    | 1.50%             |  |  |  | No            |                  1 | On Loan: No      |
| ALIBABA GROUP HOLDING-SP ADR             | COMMON STOCK | CUSIP: 01609W102<br>LEI: N/A | Long             | EC               | CORP              | KY        |      4201 | NS      | $527057.46    | 2.08%             |  |  |  | No            |                  2 | On Loan: No      |
| BAIDU INC                                | COMMON STOCK | CUSIP: 056752108<br>LEI: N/A | Long             | EC               | CORP              | KY        |      7184 | NS      | $800441.28    | 3.15%             |  |  |  | No            |                  1 | On Loan: No      |
| BYD CO LTD-H /HKD/                       | COMMON STOCK | CUSIP: Y1023R104<br>LEI: N/A | Long             | EC               | CORP              | CN        |     67400 | NS      | $923192.47    | 3.64%             |  |  |  | No            |                  2 | On Loan: No      |
| CHINA MERCHANTS BANK-H /HKD/             | COMMON STOCK | CUSIP: Y14896115<br>LEI: N/A | Long             | EC               | CORP              | CN        |    134500 | NS      | $852536.12    | 3.36%             |  |  |  | No            |                  2 | On Loan: No      |
| CHINA OVERSEAS LAND & IN /HKD/           | COMMON STOCK | CUSIP: Y15004107<br>LEI: N/A | Long             | EC               | CORP              | HK        |    476000 | NS      | $707419.60    | 2.79%             |  |  |  | No            |                  2 | On Loan: No      |
| GEELY AUTOMOBILE HOLDING /HKD/           | COMMON STOCK | CUSIP: G3777B103<br>LEI: N/A | Long             | EC               | CORP              | KY        |    363000 | NS      | $982744.60    | 3.87%             |  |  |  | No            |                  2 | On Loan: No      |
| HAIER SMART HOME CO LTD- /HKD/           | COMMON STOCK | CUSIP: Y298BN100<br>LEI: N/A | Long             | EC               | CORP              | CN        |    292600 | NS      | $783788.46    | 3.09%             |  |  |  | No            |                  2 | On Loan: No      |
| HAITIAN INTERNATIONAL HOLDINGS LTD /HKD/ | COMMON STOCK | CUSIP: G4232C108<br>LEI: N/A | Long             | EC               | CORP              | KY        |    327000 | NS      | $849130.53    | 3.34%             |  |  |  | No            |                  2 | On Loan: No      |
| HANGZHOU FIRST PV MATERI /CNH/           | COMMON STOCK | CUSIP: Y29846105<br>LEI: N/A | Long             | EC               | CORP              | CN        |    418070 | NS      | $1072081.53   | 4.22%             |  |  |  | No            |                  2 | On Loan: No      |
| HONG KONG EXCHANGES & CL /HKD/           | COMMON STOCK | CUSIP: Y3506N139<br>LEI: N/A | Long             | EC               | CORP              | HK        |     15800 | NS      | $795257.46    | 3.13%             |  |  |  | No            |                  2 | On Loan: No      |
| HONGFA TECHNOLOGY CO LTD /CNH/           | COMMON STOCK | CUSIP: Y9716T105<br>LEI: N/A | Long             | EC               | CORP              | CN        |    217758 | NS      | $887710.79    | 3.50%             |  |  |  | No            |                  2 | On Loan: No      |
| INNER MONGOLIA YILI INDU /CNY/           | COMMON STOCK | CUSIP: Y40847108<br>LEI: N/A | Long             | EC               | CORP              | CN        |    238900 | NS      | $915157.34    | 3.60%             |  |  |  | No            |                  2 | On Loan: No      |
| JD.COM INC-ADR                           | COMMON STOCK | CUSIP: 47215P106<br>LEI: N/A | Long             | EC               | CORP              | KY        |     21178 | NS      | $626233.46    | 2.47%             |  |  |  | No            |                  1 | On Loan: No      |
| JD.COM INC-CLASS A /HKD/                 | COMMON STOCK | CUSIP: G8208B101<br>LEI: N/A | Long             | EC               | CORP              | KY        |     19202 | NS      | $282131.19    | 1.11%             |  |  |  | No            |                  2 | On Loan: No      |
| MEITUAN-CLASS B /HKD/                    | COMMON STOCK | CUSIP: G59669104<br>LEI: N/A | Long             | EC               | CORP              | KY        |     86300 | NS      | $929014.56    | 3.66%             |  |  |  | Yes           |                  2 | On Loan: No      |
| MIDEA GROUP CO LTD-A /CNH/               | COMMON STOCK | CUSIP: Y6S40V103<br>LEI: N/A | Long             | EC               | CORP              | CN        |     84200 | NS      | $936311.56    | 3.69%             |  |  |  | No            |                  2 | On Loan: No      |
| NARI TECHNOLOGY DEVELOPM /CNY/           | COMMON STOCK | CUSIP: Y2959R100<br>LEI: N/A | Long             | EC               | CORP              | CN        |    219968 | NS      | $835162.56    | 3.29%             |  |  |  | No            |                  2 | On Loan: No      |
| NETEASE INC-ADR                          | COMMON STOCK | CUSIP: 64110W102<br>LEI: N/A | Long             | EC               | CORP              | KY        |      6669 | NS      | $746527.86    | 2.94%             |  |  |  | No            |                  1 | On Loan: No      |
| PING AN INSURANCE GROUP  /HKD/           | COMMON STOCK | CUSIP: Y69790106<br>LEI: N/A | Long             | EC               | CORP              | CN        |    106500 | NS      | $823150.20    | 3.24%             |  |  |  | No            |                  2 | On Loan: No      |
| SANY HEAVY INDUSTRY CO L /CNY/           | COMMON STOCK | CUSIP: Y75268105<br>LEI: N/A | Long             | EC               | CORP              | CN        |    298497 | NS      | $839035.04    | 3.30%             |  |  |  | No            |                  2 | On Loan: No      |
| SHANDONG HIMILE MECHANIC /CNH/           | COMMON STOCK | CUSIP: Y767AC109<br>LEI: N/A | Long             | EC               | CORP              | CN        |     70600 | NS      | $817912.81    | 3.22%             |  |  |  | No            |                  2 | On Loan: No      |
| SHENZHEN INOVANCE TECHNO /CNH/           | COMMON STOCK | CUSIP: Y7744Z101<br>LEI: N/A | Long             | EC               | CORP              | CN        |     81954 | NS      | $804206.65    | 3.17%             |  |  |  | No            |                  2 | On Loan: No      |
| SHENZHOU INTERNATIONAL G /HKD/           | COMMON STOCK | CUSIP: G8087W101<br>LEI: N/A | Long             | EC               | CORP              | KY        |    117300 | NS      | $710821.98    | 2.80%             |  |  |  | No            |                  2 | On Loan: No      |
| SINO BIOPHARMACEUTICAL /HKD/             | COMMON STOCK | CUSIP: G8167W138<br>LEI: N/A | Long             | EC               | CORP              | KY        |   1148500 | NS      | $874513.51    | 3.44%             |  |  |  | No            |                  2 | On Loan: No      |
| SUOFEIYA HOME COLLECTION /CNH/           | COMMON STOCK | CUSIP: Y29336107<br>LEI: N/A | Long             | EC               | CORP              | CN        |    447200 | NS      | $825927.20    | 3.25%             |  |  |  | No            |                  2 | On Loan: No      |
| TENCENT HOLDINGS LTD /HKD/               | COMMON STOCK | CUSIP: G87572163<br>LEI: N/A | Long             | EC               | CORP              | KY        |     17600 | NS      | $1108392.03   | 4.37%             |  |  |  | No            |                  2 | On Loan: No      |
| TRAVELSKY TECHNOLOGY /HKD/-H             | COMMON STOCK | CUSIP: Y8972V101<br>LEI: N/A | Long             | EC               | CORP              | CN        |    597000 | NS      | $741824.28    | 2.92%             |  |  |  | No            |                  2 | On Loan: No      |
| WEICHAI POWER CO LTD-H /HKD/             | COMMON STOCK | CUSIP: Y9531A109<br>LEI: N/A | Long             | EC               | CORP              | CN        |    254480 | NS      | $900548.35    | 3.55%             |  |  |  | No            |                  2 | On Loan: No      |
| ZHEJIANG SUPOR COOKWARE /CNH/            | COMMON STOCK | CUSIP: Y98925103<br>LEI: N/A | Long             | EC               | CORP              | CN        |    137509 | NS      | $877040.35    | 3.45%             |  |  |  | No            |                  2 | 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