# EDGAR Filing Document

**Accession Number:** 0000919160
**File Stem:** 0001398344-23-004958
**Filing Date:** 2023-2
**Character Count:** 12538
**Document Hash:** e76b0b4e0d6607e6a0097f2395cdca54
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001398344-23-004958.hdr.sgml**: 20230227

**ACCESSION NUMBER**: 0001398344-23-004958

**CONFORMED SUBMISSION TYPE**: NPORT-P

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230227

**DATE AS OF CHANGE**: 20230227

**PERIOD START**: 20221231

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** GUINNESS ATKINSON FUNDS
- **CENTRAL INDEX KEY:** 0000919160
- **IRS NUMBER:** 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:** 23673115

**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 Focus Fund (Series ID: S000005893)

| Class ID   | Class Name                        | Ticker Symbol   |
|:---|:---|:---|
| C000016117 | Guinness Atkinson Asia Focus Fund | IASMX           |

## 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 Focus Fund

- **b. EDGAR series identifier (if any):** S000005893

- **c. LEI of Series:** 549300B83EIJXRDORS90

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

- **a. Date of fiscal year-end:** 2022-12-31

- **b. Date as of which information is reported:** 2022-12-31

**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:** $11072292.01

**Total Liabilities:** $55822.82

**Net Assets:** $11016469.19

**Cash Not Reported:** $206478.41

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000016117 | -0.93%               | 22.94%               | -7.82%               |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $0.00                    | $-98667.92                                 |
| Month 2  | $0.00                    | $2114907.44                                |
| Month 3  | $-422211.74              | $-343030.14                                |

### 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   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| ALIBABA GROUP HOLDING LT /HKD/ | COMMON STOCK | CUSIP: G01719114<br>LEI: N/A | Long             | EC               | CORP              | KY        |      8900 | NS      | $98343.49     | 0.89%             |  |  |  | No            |                  1 | On Loan: No      |
| ALIBABA GROUP HOLDING-SP ADR   | COMMON STOCK | CUSIP: 01609W102<br>LEI: N/A | Long             | EC               | CORP              | KY        |      1700 | NS      | $149753.00    | 1.36%             |  |  |  | No            |                  1 | On Loan: No      |
| APPLIED MATERIALS INC          | COMMON STOCK | CUSIP: 038222105<br>LEI: N/A | Long             | EC               | CORP              | US        |      3508 | NS      | $341609.04    | 3.10%             |  |  |  | No            |                  1 | On Loan: No      |
| AUTOHOME INC-ADR               | COMMON STOCK | CUSIP: 05278C107<br>LEI: N/A | Long             | EC               | CORP              | KY        |     16900 | NS      | $517140.00    | 4.69%             |  |  |  | No            |                  1 | On Loan: No      |
| BAIDU INC                      | COMMON STOCK | CUSIP: 056752108<br>LEI: N/A | Long             | EC               | CORP              | KY        |      3400 | NS      | $388892.00    | 3.53%             |  |  |  | No            |                  1 | On Loan: No      |
| BROADCOM INC                   | COMMON STOCK | CUSIP: 11135F101<br>LEI: N/A | Long             | EC               | CORP              | US        |      1120 | NS      | $626225.60    | 5.68%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA MEDICAL SYSTEM HOL /HKD/ | COMMON STOCK | CUSIP: G21108124<br>LEI: N/A | Long             | EC               | CORP              | KY        |    293000 | NS      | $460959.19    | 4.18%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA MERCHANTS BANK-H /HKD/   | COMMON STOCK | CUSIP: Y14896115<br>LEI: N/A | Long             | EC               | CORP              | CN        |     66500 | NS      | $371879.62    | 3.38%             |  |  |  | No            |                  1 | On Loan: No      |
| CORPORATE TRAVEL MANAGEM /AUD/ | COMMON STOCK | CUSIP: Q2909K105<br>LEI: N/A | Long             | EC               | CORP              | AU        |     28819 | NS      | $289023.46    | 2.62%             |  |  |  | No            |                  1 | On Loan: No      |
| DBS GROUP HOLDINGS LTD /SGD/   | COMMON STOCK | CUSIP: Y20246107<br>LEI: N/A | Long             | EC               | CORP              | SG        |     23862 | NS      | $604299.72    | 5.49%             |  |  |  | No            |                  1 | On Loan: No      |
| ELITE MATERIAL CO LTD /TWD/    | COMMON STOCK | CUSIP: Y2290G102<br>LEI: N/A | Long             | EC               | CORP              | TW        |     63000 | NS      | $350558.07    | 3.18%             |  |  |  | No            |                  1 | On Loan: No      |
| GEELY AUTOMOBILE HOLDING /HKD/ | COMMON STOCK | CUSIP: G3777B103<br>LEI: N/A | Long             | EC               | CORP              | KY        |    205000 | NS      | $299402.35    | 2.72%             |  |  |  | No            |                  1 | On Loan: No      |
| HANON SYSTEMS /KRW/            | COMMON STOCK | CUSIP: Y29874107<br>LEI: N/A | Long             | EC               | CORP              | KR        |     38530 | NS      | $247564.88    | 2.25%             |  |  |  | No            |                  1 | On Loan: No      |
| INNER MONGOLIA YILI INDU /CNY/ | COMMON STOCK | CUSIP: Y40847108<br>LEI: N/A | Long             | EC               | CORP              | CN        |    100700 | NS      | $451076.87    | 4.09%             |  |  |  | No            |                  1 | On Loan: No      |
| JD.COM INC - CL A /HKD/        | COMMON STOCK | CUSIP: G8208B101<br>LEI: N/A | Long             | EC               | CORP              | KY        |       380 | NS      | $10720.06     | 0.10%             |  |  |  | No            |                  1 | On Loan: No      |
| JD.COM INC-ADR                 | COMMON STOCK | CUSIP: 47215P106<br>LEI: N/A | Long             | EC               | CORP              | KY        |      9000 | NS      | $505170.00    | 4.59%             |  |  |  | No            |                  1 | On Loan: No      |
| LARGAN PRECISION CO LTD /TWD/  | COMMON STOCK | CUSIP: Y52144105<br>LEI: N/A | Long             | EC               | CORP              | TW        |      4800 | NS      | $318635.91    | 2.89%             |  |  |  | No            |                  1 | On Loan: No      |
| LG H&H /KRW/                   | COMMON STOCK | CUSIP: Y5275R100<br>LEI: N/A | Long             | EC               | CORP              | KR        |       330 | NS      | $189231.15    | 1.72%             |  |  |  | No            |                  1 | On Loan: No      |
| NARI TECHNOLOGY DEVELOPM /CNY/ | COMMON STOCK | CUSIP: Y2959R100<br>LEI: N/A | Long             | EC               | CORP              | CN        |    124008 | NS      | $437218.89    | 3.97%             |  |  |  | No            |                  1 | On Loan: No      |
| NETEASE INC-ADR                | COMMON STOCK | CUSIP: 64110W102<br>LEI: N/A | Long             | EC               | CORP              | KY        |      5200 | NS      | $377676.00    | 3.43%             |  |  |  | No            |                  1 | On Loan: No      |
| PING AN INSURANCE GROUP  /HKD/ | COMMON STOCK | CUSIP: Y69790106<br>LEI: N/A | Long             | EC               | CORP              | CN        |     49000 | NS      | $324237.24    | 2.94%             |  |  |  | No            |                  1 | On Loan: No      |
| SAMSUNG ELECTRONICS CO L /KRW/ | COMMON STOCK | CUSIP: Y74718100<br>LEI: N/A | Long             | EC               | CORP              | KR        |     10050 | NS      | $441400.37    | 4.01%             |  |  |  | No            |                  1 | On Loan: No      |
| SANY HEAVY INDUSTRY CO L /CNY/ | COMMON STOCK | CUSIP: Y75268105<br>LEI: N/A | Long             | EC               | CORP              | CN        |    114600 | NS      | $261638.16    | 2.37%             |  |  |  | No            |                  1 | On Loan: No      |
| SHENZHOU INTERNATIONAL G /HKD/ | COMMON STOCK | CUSIP: G8087W101<br>LEI: N/A | Long             | EC               | CORP              | KY        |     44300 | NS      | $498304.41    | 4.52%             |  |  |  | No            |                  1 | On Loan: No      |
| SHIN ZU SHING CO LTD /TWD/     | COMMON STOCK | CUSIP: Y7755T127<br>LEI: N/A | Long             | EC               | CORP              | TW        |         2 | NS      | $5.31         | 0.00%             |  |  |  | No            |                  1 | On Loan: No      |
| SINO BIOPHARMACEUTICAL /HKD/   | COMMON STOCK | CUSIP: G8167W138<br>LEI: N/A | Long             | EC               | CORP              | KY        |    659000 | NS      | $385831.88    | 3.50%             |  |  |  | No            |                  1 | On Loan: No      |
| SONIC HEALTHCARE LTD /AUD/     | COMMON STOCK | CUSIP: Q8563C107<br>LEI: N/A | Long             | EC               | CORP              | AU        |     19149 | NS      | $390736.77    | 3.55%             |  |  |  | No            |                  1 | On Loan: No      |
| TAIWAN SEMICONDUCTOR MAN /TWD/ | COMMON STOCK | CUSIP: Y84629107<br>LEI: N/A | Long             | EC               | CORP              | TW        |     28000 | NS      | $408642.74    | 3.71%             |  |  |  | No            |                  1 | On Loan: No      |
| TENCENT HOLDINGS LTD /HKD/     | COMMON STOCK | CUSIP: G87572163<br>LEI: N/A | Long             | EC               | CORP              | KY        |      8000 | NS      | $342320.53    | 3.11%             |  |  |  | No            |                  1 | On Loan: No      |
| VENUSTECH GROUP INC-A /CNH/    | COMMON STOCK | CUSIP: Y07764106<br>LEI: N/A | Long             | EC               | CORP              | CN        |    108400 | NS      | $408503.95    | 3.71%             |  |  |  | No            |                  1 | On Loan: No      |
| WUXI LEAD INTELLIGENT EQ /CNH/ | COMMON STOCK | CUSIP: Y9717H100<br>LEI: N/A | Long             | EC               | CORP              | CN        |     60160 | NS      | $349891.27    | 3.18%             |  |  |  | No            |                  1 | On Loan: No      |

### Signature

**Date Signed:** 2023-02-27

**Name of Applicant:** GUINNESS ATKINSON FUNDS

**Signature:** /s/ Lyna Phan

**Name of Signer:** Lyna Phan

**Title:** Assistant Treasurer