# EDGAR Filing Document

**Accession Number:** 0000919160
**File Stem:** 0001398344-26-009903
**Filing Date:** 2026-5
**Character Count:** 16258
**Document Hash:** f4370a8162bbbce0abbe063dcdc83a9f
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001398344-26-009903.hdr.sgml**: 20260528

**ACCESSION NUMBER**: 0001398344-26-009903

**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:** 261032747

**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 Dividend Builder ETF (Series ID: S000069135)

| Class ID   | Class Name                             | Ticker Symbol   |
|:---|:---|:---|
| C000220962 | Guinness Atkinson Dividend Builder ETF | DIVS            |

## Nport-Ex

**Guinness Atkinson Dividend Builder ETF**

**Schedule of Investments**

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

---

| | | |
|:---|:---|:---|
| **Shares** | **Common Stocks: 98.2%** | **Value** |
|  | **China: 2.7%** |  |
| 107200 | ANTA Sports Products Ltd | $1034930 |
|  | **France: 8.2%** |  |
| 13626 | Danone SA | 1087494 |
| 13251 | Publicis Groupe | 1085138 |
| 3578 | Schneider Electric SE | 947596 |
|  |  | 3120228 |
|  | **Germany: 3.1%** |  |
| 4069 | Deutsche Boerse AG | 1181115 |
|  | **Ireland: 2.6%** |  |
| 11207 | Medtronic PLC | 971087 |
|  | **Sweden: 5.0%** |  |
| 27438 | Assa Abloy AB-B | 975197 |
| 54034 | Atlas Copco | 931404 |
|  |  | 1906601 |
|  | **Switzerland: 8.0%** |  |
| 12563 | ABB Ltd. | 993788 |
| 10860 | Nestle SA | 1065284 |
| 2458 | Roche Holding AG | 967581 |
|  |  | 3026653 |
|  | **Taiwan: 2.8%** |  |
| 3101 | Taiwan Semiconductor Manufacturing Co., Ltd. | 1047983 |
|  | **United Kingdom: 10.7%** |  |
| 217647 | Diageo PLC | 1076793 |
| 13563 | Haleon PLC | 913363 |
| 16282 | Reckitt Benckiser Group PLC | 904886 |
| 35539 | Unilever PLC | 1164652 |
|  |  | 4059694 |
|  | **United States: 55.1%** |  |
| 5389 | AbbVie Inc. | 1172054 |
| 9944 | Aflac Inc. | 1090956 |
| 5191 | Arthur J Gallagher & Co. | 1124267 |
| 1039 | BlackRock Inc. | 999217 |
| 3753 | Broadcom Inc. | 1161591 |
| 14970 | Cisco Systems Inc. | 1161522 |
| 3695 | CME Group Inc. | 1091318 |
| 3231 | Eaton Corp. PLC | 1155632 |
| 7656 | Emerson Electric Co. | 1003089 |
| 3970 | Illinois Tool Works Inc. | 1033351 |
| 4801 | Johnson & Johnson | 1173556 |
| 2909 | Microsoft Corp. | 1076825 |
| 19504 | Mondelez International Inc. | 1124211 |
| 12781 | Otis Worldwide Corp. | 985159 |

---

**Guinness Atkinson Dividend Builder ETF**

**Schedule of Investments**

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

---

| | | |
|:---|:---|:---|
| **Shares** | **Common Stocks: 98.2%** | **Value** |
|  | **Common Stocks (Continued)** |  |
|  | **United States (Continued)** |  |
| 12373 | Paychex Inc. | $1139801 |
| 7071 | PepsiCo Inc. | 1098056 |
| 7140 | The Procter & Gamble Co. | 1031302 |
| 5635 | Texas Instruments Inc. | 1093979 |
| 15224 | The Coca-Cola Co. | 1157785 |
|  |  | 20873671 |
|  | **Total Common Stocks (Cost $28,157,359)** | 37221962 |
|  | **Total Investments in Securities (Cost $28,157,359): 98.2%** | 37221962 |
|  | Other Assets in Excess of Liabilities: 1.8% | 690360 |
|  | **Total Net Assets - 100.0%** | $**37912322** |

---

\* 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 Dividend Builder ETF

- **b. EDGAR series identifier (if any):** S000069135

- **c. LEI of Series:** 549300LDFVCSRZU8VI59

**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:** $37977366.57

**Total Liabilities:** $66890.64

**Net Assets:** $37910475.93

**Cash Not Reported:** $562723.20

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000220962 | -9.33%               | 4.73%                | 3.51%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $1493005.74              | $-5732815.53                               |
| Month 2  | $0.00                    | $1917166.58                                |
| Month 3  | $281364.35               | $1131709.94                                |

### 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   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| ABB LTD-REG /CHF/              | COMMON STOCK | CUSIP: H0010V101<br>LEI: N/A | Long             | EC               | CORP              | CH        |     12563 | NS      | $993788.38    | 2.62%             |  |  |  | No            |                  1 | On Loan: No      |
| ABBVIE INC                     | COMMON STOCK | CUSIP: 00287Y109<br>LEI: N/A | Long             | EC               | CORP              | US        |      5389 | NS      | $1172053.61   | 3.09%             |  |  |  | No            |                  1 | On Loan: No      |
| AFLAC INC                      | COMMON STOCK | CUSIP: 001055102<br>LEI: N/A | Long             | EC               | CORP              | US        |      9944 | NS      | $1090956.24   | 2.88%             |  |  |  | No            |                  1 | On Loan: No      |
| ANTA SPORTS PRODUCTS LTD /HKD/ | COMMON STOCK | CUSIP: G04011105<br>LEI: N/A | Long             | EC               | CORP              | KY        |    107200 | NS      | $1034929.83   | 2.73%             |  |  |  | No            |                  1 | On Loan: No      |
| ARTHUR J GALLAGHER & CO        | COMMON STOCK | CUSIP: 363576109<br>LEI: N/A | Long             | EC               | CORP              | US        |      5191 | NS      | $1124266.78   | 2.97%             |  |  |  | No            |                  1 | On Loan: No      |
| ASSA ABLOY AB-B /SEK/          | COMMON STOCK | CUSIP: W0817X204<br>LEI: N/A | Long             | EC               | CORP              | SE        |     27438 | NS      | $975197.12    | 2.57%             |  |  |  | No            |                  1 | On Loan: No      |
| ATLAS COPCO AB-A SHS /SEK/     | COMMON STOCK | CUSIP: W1R924252<br>LEI: N/A | Long             | EC               | CORP              | SE        |     54034 | NS      | $931404.15    | 2.46%             |  |  |  | No            |                  1 | On Loan: No      |
| BLACKROCK INC                  | COMMON STOCK | CUSIP: 09290D101<br>LEI: N/A | Long             | EC               | CORP              | US        |      1039 | NS      | $999216.69    | 2.64%             |  |  |  | No            |                  1 | On Loan: No      |
| BROADCOM INC                   | COMMON STOCK | CUSIP: 11135F101<br>LEI: N/A | Long             | EC               | CORP              | US        |      3753 | NS      | $1161591.03   | 3.06%             |  |  |  | No            |                  1 | On Loan: No      |
| CISCO SYSTEMS INC              | COMMON STOCK | CUSIP: 17275R102<br>LEI: N/A | Long             | EC               | CORP              | US        |     14970 | NS      | $1161522.30   | 3.06%             |  |  |  | No            |                  1 | On Loan: No      |
| CME GROUP INC                  | COMMON STOCK | CUSIP: 12572Q105<br>LEI: N/A | Long             | EC               | CORP              | US        |      3695 | NS      | $1091318.25   | 2.88%             |  |  |  | No            |                  1 | On Loan: No      |
| COCA-COLA CO/THE               | COMMON STOCK | CUSIP: 191216100<br>LEI: N/A | Long             | EC               | CORP              | US        |     15224 | NS      | $1157785.20   | 3.05%             |  |  |  | No            |                  1 | On Loan: No      |
| DANONE /EUR/                   | COMMON STOCK | CUSIP: F12033134<br>LEI: N/A | Long             | EC               | CORP              | FR        |     13626 | NS      | $1087494.32   | 2.87%             |  |  |  | No            |                  1 | On Loan: No      |
| DEUTSCHE BOERSE AG /EUR/       | COMMON STOCK | CUSIP: D1882G119<br>LEI: N/A | Long             | EC               | CORP              | DE        |      4069 | NS      | $1181115.13   | 3.12%             |  |  |  | No            |                  1 | On Loan: No      |
| EATON CORP PLC                 | COMMON STOCK | CUSIP: G29183103<br>LEI: N/A | Long             | EC               | CORP              | IE        |      3231 | NS      | $1155631.77   | 3.05%             |  |  |  | No            |                  1 | On Loan: No      |
| EMERSON ELECTRIC CO            | COMMON STOCK | CUSIP: 291011104<br>LEI: N/A | Long             | EC               | CORP              | US        |      7656 | NS      | $1003089.12   | 2.65%             |  |  |  | No            |                  1 | On Loan: No      |
| HALEON PLC /GBP/               | COMMON STOCK | CUSIP: G4232K100<br>LEI: N/A | Long             | EC               | CORP              | GB        |    217647 | NS      | $1076793.27   | 2.84%             |  |  |  | No            |                  1 | On Loan: No      |
| ILLINOIS TOOL WORKS            | COMMON STOCK | CUSIP: 452308109<br>LEI: N/A | Long             | EC               | CORP              | US        |      3970 | NS      | $1033351.30   | 2.73%             |  |  |  | No            |                  1 | On Loan: No      |
| JOHNSON & JOHNSON              | COMMON STOCK | CUSIP: 478160104<br>LEI: N/A | Long             | EC               | CORP              | US        |      4801 | NS      | $1173556.44   | 3.10%             |  |  |  | No            |                  1 | On Loan: No      |
| MEDTRONIC PLC                  | COMMON STOCK | CUSIP: G5960L103<br>LEI: N/A | Long             | EC               | CORP              | IE        |     11207 | NS      | $971086.55    | 2.56%             |  |  |  | No            |                  1 | On Loan: No      |
| MICROSOFT CORP                 | COMMON STOCK | CUSIP: 594918104<br>LEI: N/A | Long             | EC               | CORP              | US        |      2909 | NS      | $1076824.53   | 2.84%             |  |  |  | No            |                  1 | On Loan: No      |
| MONDELEZ INTERNATIONAL INC-A   | COMMON STOCK | CUSIP: 609207105<br>LEI: N/A | Long             | EC               | CORP              | US        |     19504 | NS      | $1124210.56   | 2.97%             |  |  |  | No            |                  1 | On Loan: No      |
| NESTLE SA-REG /CHF/            | COMMON STOCK | CUSIP: H57312649<br>LEI: N/A | Long             | EC               | CORP              | CH        |     10860 | NS      | $1065283.88   | 2.81%             |  |  |  | No            |                  1 | On Loan: No      |
| OTIS WORLDWIDE CORP            | COMMON STOCK | CUSIP: 68902V107<br>LEI: N/A | Long             | EC               | CORP              | US        |     12781 | NS      | $985159.48    | 2.60%             |  |  |  | No            |                  1 | On Loan: No      |
| PAYCHEX INC                    | COMMON STOCK | CUSIP: 704326107<br>LEI: N/A | Long             | EC               | CORP              | US        |     12373 | NS      | $1139800.76   | 3.01%             |  |  |  | No            |                  1 | On Loan: No      |
| PEPSICO INC                    | COMMON STOCK | CUSIP: 713448108<br>LEI: N/A | Long             | EC               | CORP              | US        |      7071 | NS      | $1098055.59   | 2.90%             |  |  |  | No            |                  1 | On Loan: No      |
| PROCTER & GAMBLE CO/THE        | COMMON STOCK | CUSIP: 742718109<br>LEI: N/A | Long             | EC               | CORP              | US        |      7140 | NS      | $1031301.60   | 2.72%             |  |  |  | No            |                  1 | On Loan: No      |
| PUBLICIS GROUPE /EUR/          | COMMON STOCK | CUSIP: F7607Z165<br>LEI: N/A | Long             | EC               | CORP              | FR        |     13251 | NS      | $1085138.16   | 2.86%             |  |  |  | No            |                  1 | On Loan: No      |
| RECKITT BENCKISER GROUP  /GBP/ | COMMON STOCK | CUSIP: G7S0C8107<br>LEI: N/A | Long             | EC               | CORP              | GB        |     13563 | NS      | $913362.57    | 2.41%             |  |  |  | No            |                  1 | On Loan: No      |
| RELX PLC /GBP/                 | COMMON STOCK | CUSIP: G7493L105<br>LEI: N/A | Long             | EC               | CORP              | GB        |     35539 | NS      | $1164652.04   | 3.07%             |  |  |  | No            |                  1 | On Loan: No      |
| ROCHE HOLDING AG /CHF/         | COMMON STOCK | CUSIP: H69293266<br>LEI: N/A | Long             | EC               | CORP              | CH        |      2458 | NS      | $967580.96    | 2.55%             |  |  |  | No            |                  1 | On Loan: No      |
| SCHNEIDER ELEC SA /EUR/        | COMMON STOCK | CUSIP: F86921107<br>LEI: N/A | Long             | EC               | CORP              | FR        |      3578 | NS      | $947596.08    | 2.50%             |  |  |  | No            |                  1 | On Loan: No      |
| TAIWAN SEMICONDUCTOR-SP ADR    | COMMON STOCK | CUSIP: 874039100<br>LEI: N/A | Long             | EC               | CORP              | TW        |      3101 | NS      | $1047982.95   | 2.76%             |  |  |  | No            |                  1 | On Loan: No      |
| TEXAS INSTRUMENTS INC          | COMMON STOCK | CUSIP: 882508104<br>LEI: N/A | Long             | EC               | CORP              | US        |      5635 | NS      | $1093978.90   | 2.89%             |  |  |  | No            |                  1 | On Loan: No      |
| UNILEVER PLC /GBP/             | COMMON STOCK | CUSIP: G92087348<br>LEI: N/A | Long             | EC               | CORP              | GB        |     16282 | NS      | $904886.21    | 2.39%             |  |  |  | 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