# EDGAR Filing Document

**Accession Number:** 0000919160
**File Stem:** 0001398344-23-004964
**Filing Date:** 2023-2
**Character Count:** 14759
**Document Hash:** dafb7507f454d81588804cb66e9122e0
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001398344-23-004964.hdr.sgml**: 20230227

**ACCESSION NUMBER**: 0001398344-23-004964

**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:** 23673113

**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

### SmartETFs Asia Pacific Dividend Builder ETF (Series ID: S000069134)

| Class ID   | Class Name                                  | Ticker Symbol   |
|:---|:---|:---|
| C000220961 | SmartETFs Asia Pacific Dividend Builder ETF | ADIV            |

## 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:** SmartETFs 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:** 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:** $3443562.82

**Total Liabilities:** $42974.32

**Net Assets:** $3400588.50

**Cash Not Reported:** $27555.32

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000220961 | 0.61%                | 17.45%               | -5.13%               |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $0.00                    | $9636.51                                   |
| Month 2  | $0.00                    | $500980.36                                 |
| Month 3  | $0.00                    | $-154860.56                                |

### 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        |      1885 | NS      | $135606.90    | 3.99%             |  |  |  | No            |                  1 | On Loan: No      |
| BOC HONG KONG HOLDINGS L /HKD/ | COMMON STOCK                       | CUSIP: Y0920U103<br>LEI: N/A | Long             | EC               | CORP              | HK        |     34500 | NS      | $117570.19    | 3.46%             |  |  |  | No            |                  1 | On Loan: No      |
| BROADCOM INC                   | COMMON STOCK                       | CUSIP: 11135F101<br>LEI: N/A | Long             | EC               | CORP              | US        |        64 | NS      | $35784.32     | 1.05%             |  |  |  | No            |                  1 | On Loan: No      |
| CAPITALAND ASCENDAS REIT /SGD/ | REIT - Real Estate Invesment Trust | CUSIP: Y0205X103<br>LEI: N/A | Long             | EC               | CORP              | SG        |     52354 | NS      | $107100.16    | 3.15%             |  |  |  | No            |                  1 | On Loan: No      |
| CAPITALAND INTEGRATED CO /SGD/ | REIT - Real Estate Invesment Trust | CUSIP: Y1100L160<br>LEI: N/A | Long             | EC               | CORP              | SG        |     74200 | NS      | $113011.80    | 3.32%             |  |  |  | No            |                  1 | On Loan: No      |
| CATCHER TECHNOLOGY CO LT /TWD/ | COMMON STOCK                       | CUSIP: Y1148A101<br>LEI: N/A | Long             | EC               | CORP              | TW        |     18000 | NS      | $98987.99     | 2.91%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA CONSTRUCTION BANK- /HKD/ | COMMON STOCK                       | CUSIP: Y1397N101<br>LEI: N/A | Long             | EC               | CORP              | CN        |    156000 | NS      | $97730.46     | 2.87%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA MEDICAL SYSTEM HOL /HKD/ | COMMON STOCK                       | CUSIP: G21108124<br>LEI: N/A | Long             | EC               | CORP              | KY        |     67000 | NS      | $105407.05    | 3.10%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA MERCHANTS BANK-H /HKD/   | COMMON STOCK                       | CUSIP: Y14896115<br>LEI: N/A | Long             | EC               | CORP              | CN        |     14000 | NS      | $78290.45     | 2.30%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA OVERSEAS LAND & IN /HKD/ | COMMON STOCK                       | CUSIP: Y15004107<br>LEI: N/A | Long             | EC               | CORP              | HK        |     41500 | NS      | $109524.63    | 3.22%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA RESOURCES GAS GROU /HKD/ | COMMON STOCK                       | CUSIP: G2113B108<br>LEI: N/A | Long             | EC               | CORP              | BM        |     20000 | NS      | $75074.79     | 2.21%             |  |  |  | No            |                  1 | On Loan: No      |
| CORPORATE TRAVEL MANAGEM /AUD/ | COMMON STOCK                       | CUSIP: Q2909K105<br>LEI: N/A | Long             | EC               | CORP              | AU        |      6881 | NS      | $69009.00     | 2.03%             |  |  |  | No            |                  1 | On Loan: No      |
| DBS GROUP HOLDINGS LTD /SGD/   | COMMON STOCK                       | CUSIP: Y20246107<br>LEI: N/A | Long             | EC               | CORP              | SG        |      4986 | NS      | $126269.31    | 3.71%             |  |  |  | No            |                  1 | On Loan: No      |
| ELITE MATERIAL CO LTD /TWD/    | COMMON STOCK                       | CUSIP: Y2290G102<br>LEI: N/A | Long             | EC               | CORP              | TW        |     19000 | NS      | $105723.86    | 3.11%             |  |  |  | No            |                  1 | On Loan: No      |
| HANON SYSTEMS /KRW/            | COMMON STOCK                       | CUSIP: Y29874107<br>LEI: N/A | Long             | EC               | CORP              | KR        |     11328 | NS      | $72785.23     | 2.14%             |  |  |  | No            |                  1 | On Loan: No      |
| HON HAI PRECISION INDUST /TWD/ | COMMON STOCK                       | CUSIP: Y36861105<br>LEI: N/A | Long             | EC               | CORP              | TW        |     29517 | NS      | $95953.54     | 2.82%             |  |  |  | No            |                  1 | On Loan: No      |
| IND & COMM BK OF CHINA-H /HKD/ | COMMON STOCK                       | CUSIP: Y3990B112<br>LEI: N/A | Long             | EC               | CORP              | CN        |    178000 | NS      | $91673.23     | 2.70%             |  |  |  | No            |                  1 | On Loan: No      |
| INNER MONGOLIA YILI INDU /CNY/ | COMMON STOCK                       | CUSIP: Y40847108<br>LEI: N/A | Long             | EC               | CORP              | CN        |     17700 | NS      | $79285.61     | 2.33%             |  |  |  | No            |                  1 | On Loan: No      |
| JB HI-FI LTD /AUD/             | COMMON STOCK                       | CUSIP: Q5029L101<br>LEI: N/A | Long             | EC               | CORP              | AU        |      3007 | NS      | $85884.90     | 2.53%             |  |  |  | No            |                  1 | On Loan: No      |
| KOREAN REINSURANCE CO /KRW/    | COMMON STOCK                       | CUSIP: Y49391108<br>LEI: N/A | Long             | EC               | CORP              | KR        |     15998 | NS      | $86527.53     | 2.54%             |  |  |  | No            |                  1 | On Loan: No      |
| LARGAN PRECISION CO LTD /TWD/  | COMMON STOCK                       | CUSIP: Y52144105<br>LEI: N/A | Long             | EC               | CORP              | TW        |      1400 | NS      | $92935.47     | 2.73%             |  |  |  | No            |                  1 | On Loan: No      |
| LINK REIT /HKD/                | REIT - Real Estate Invesment Trust | CUSIP: Y5281M111<br>LEI: N/A | Long             | EC               | CORP              | HK        |     12224 | NS      | $89735.53     | 2.64%             |  |  |  | No            |                  1 | On Loan: No      |
| METCASH LTD /AUD/              | COMMON STOCK                       | CUSIP: Q6014C106<br>LEI: N/A | Long             | EC               | CORP              | AU        |     36910 | NS      | $100018.09    | 2.94%             |  |  |  | No            |                  1 | On Loan: No      |
| NETEASE INC-ADR                | COMMON STOCK                       | CUSIP: 64110W102<br>LEI: N/A | Long             | EC               | CORP              | KY        |      1016 | NS      | $73792.08     | 2.17%             |  |  |  | No            |                  1 | On Loan: No      |
| NIEN MADE ENTERPRISE CO  /TWD/ | COMMON STOCK                       | CUSIP: Y6349P112<br>LEI: N/A | Long             | EC               | CORP              | TW        |      8000 | NS      | $76665.26     | 2.25%             |  |  |  | No            |                  1 | On Loan: No      |
| NOVATEK MICROELECTRONICS /TWD/ | COMMON STOCK                       | CUSIP: Y64153102<br>LEI: N/A | Long             | EC               | CORP              | TW        |     10500 | NS      | $107798.31    | 3.17%             |  |  |  | No            |                  1 | On Loan: No      |
| PING AN INSURANCE GROUP  /HKD/ | COMMON STOCK                       | CUSIP: Y69790106<br>LEI: N/A | Long             | EC               | CORP              | CN        |     15500 | NS      | $102564.84    | 3.02%             |  |  |  | No            |                  1 | On Loan: No      |
| PUBLIC BANK BERHAD /MYR/       | COMMON STOCK                       | CUSIP: Y71497104<br>LEI: N/A | Long             | EC               | CORP              | MY        |    114700 | NS      | $112486.72    | 3.31%             |  |  |  | No            |                  1 | On Loan: No      |
| QUALCOMM INC                   | COMMON STOCK                       | CUSIP: 747525103<br>LEI: N/A | Long             | EC               | CORP              | US        |       846 | NS      | $93009.24     | 2.74%             |  |  |  | No            |                  1 | On Loan: No      |
| SHENZHOU INTERNATIONAL G /HKD/ | COMMON STOCK                       | CUSIP: G8087W101<br>LEI: N/A | Long             | EC               | CORP              | KY        |      8400 | NS      | $94486.62     | 2.78%             |  |  |  | No            |                  1 | On Loan: No      |
| SONIC HEALTHCARE LTD /AUD/     | COMMON STOCK                       | CUSIP: Q8563C107<br>LEI: N/A | Long             | EC               | CORP              | AU        |      3853 | NS      | $78620.75     | 2.31%             |  |  |  | No            |                  1 | On Loan: No      |
| SUOFEIYA HOME COLLECTION /CNH/ | COMMON STOCK                       | CUSIP: Y29336107<br>LEI: N/A | Long             | EC               | CORP              | CN        |     40900 | NS      | $107324.42    | 3.16%             |  |  |  | No            |                  1 | On Loan: No      |
| TAIWAN SEMICONDUCTOR-SP ADR    | COMMON STOCK                       | CUSIP: 874039100<br>LEI: N/A | Long             | EC               | CORP              | TW        |       991 | NS      | $73819.59     | 2.17%             |  |  |  | No            |                  1 | On Loan: No      |
| TECH MAHINDRA LTD /INR/        | COMMON STOCK                       | CUSIP: Y85491127<br>LEI: N/A | Long             | EC               | CORP              | IN        |      7630 | NS      | $93686.95     | 2.76%             |  |  |  | No            |                  1 | On Loan: No      |
| TISCO FINANCIAL-FOREIGN /THB/  | COMMON STOCK                       | CUSIP: Y8843E171<br>LEI: N/A | Long             | EC               | CORP              | TH        |     41300 | NS      | $118366.30    | 3.48%             |  |  |  | No            |                  1 | On Loan: No      |
| ZHEJIANG SUPOR COOKWARE /CNH/  | COMMON STOCK                       | CUSIP: Y98925103<br>LEI: N/A | Long             | EC               | CORP              | CN        |     11994 | NS      | $85719.09     | 2.52%             |  |  |  | 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