# EDGAR Filing Document

**Accession Number:** 0000919160
**File Stem:** 0001398344-23-004959
**Filing Date:** 2023-2
**Character Count:** 12806
**Document Hash:** f49caae69cfdd766260a6d07fc2d320a
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001398344-23-004959.hdr.sgml**: 20230227

**ACCESSION NUMBER**: 0001398344-23-004959

**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:** 23673111

**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           |

## 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:** 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:** $38464618.89

**Total Liabilities:** $306072.15

**Net Assets:** $38158546.74

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000016118 | 1.83%                | 25.88%               | -10.96%              |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $-553598.62              | $1262182.18                                |
| Month 2  | $0.00                    | $8167418.51                                |
| Month 3  | $-858997.73              | $-2967426.66                               |

### 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        |    114000 | NS      | $1267713.36   | 3.32%             |  |  |  | No            |                  1 | On Loan: No      |
| ALIBABA GROUP HOLDING LT /HKD/ | COMMON STOCK | CUSIP: G01719114<br>LEI: N/A | Long             | EC               | CORP              | KY        |     24500 | NS      | $270720.83    | 0.71%             |  |  |  | No            |                  1 | On Loan: No      |
| ALIBABA GROUP HOLDING-SP ADR   | COMMON STOCK | CUSIP: 01609W102<br>LEI: N/A | Long             | EC               | CORP              | KY        |     10300 | NS      | $907327.00    | 2.38%             |  |  |  | No            |                  1 | On Loan: No      |
| BAIDU INC                      | COMMON STOCK | CUSIP: 056752108<br>LEI: N/A | Long             | EC               | CORP              | KY        |     11400 | NS      | $1303932.00   | 3.42%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA MEDICAL SYSTEM HOL /HKD/ | COMMON STOCK | CUSIP: G21108124<br>LEI: N/A | Long             | EC               | CORP              | KY        |   1096000 | NS      | $1724270.55   | 4.52%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA MERCHANTS BANK-H /HKD/   | COMMON STOCK | CUSIP: Y14896115<br>LEI: N/A | Long             | EC               | CORP              | CN        |    213000 | NS      | $1191133.23   | 3.12%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA OVERSEAS LAND & IN /HKD/ | COMMON STOCK | CUSIP: Y15004107<br>LEI: N/A | Long             | EC               | CORP              | HK        |    476000 | NS      | $1256234.35   | 3.29%             |  |  |  | No            |                  1 | On Loan: No      |
| CHONGQING FULING ZHACAI- /CNH/ | COMMON STOCK | CUSIP: Y1588V102<br>LEI: N/A | Long             | EC               | CORP              | CN        |    320100 | NS      | $1191953.96   | 3.12%             |  |  |  | No            |                  1 | On Loan: No      |
| CSPC PHARMACEUTICAL GROU /HKD/ | COMMON STOCK | CUSIP: Y1837N109<br>LEI: N/A | Long             | EC               | CORP              | HK        |   1164400 | NS      | $1223242.44   | 3.21%             |  |  |  | No            |                  1 | On Loan: No      |
| GEELY AUTOMOBILE HOLDING /HKD/ | COMMON STOCK | CUSIP: G3777B103<br>LEI: N/A | Long             | EC               | CORP              | KY        |    861000 | NS      | $1257489.86   | 3.30%             |  |  |  | No            |                  1 | On Loan: No      |
| HAIER SMART HOME CO LTD- /HKD/ | COMMON STOCK | CUSIP: Y298BN100<br>LEI: N/A | Long             | EC               | CORP              | CN        |    365400 | NS      | $1245221.67   | 3.26%             |  |  |  | No            |                  1 | On Loan: No      |
| HANGZHOU FIRST PV MATERI /CNH/ | COMMON STOCK | CUSIP: Y29846105<br>LEI: N/A | Long             | EC               | CORP              | CN        |    160440 | NS      | $1540287.06   | 4.04%             |  |  |  | No            |                  1 | On Loan: No      |
| HONG KONG EXCHANGES & CL /HKD/ | COMMON STOCK | CUSIP: Y3506N139<br>LEI: N/A | Long             | EC               | CORP              | HK        |     28700 | NS      | $1239840.88   | 3.25%             |  |  |  | No            |                  1 | On Loan: No      |
| INNER MONGOLIA YILI INDU /CNY/ | COMMON STOCK | CUSIP: Y40847108<br>LEI: N/A | Long             | EC               | CORP              | CN        |    275600 | NS      | $1234526.16   | 3.24%             |  |  |  | No            |                  1 | On Loan: No      |
| JD.COM INC - CL A /HKD/        | COMMON STOCK | CUSIP: G8208B101<br>LEI: N/A | Long             | EC               | CORP              | KY        |      1352 | NS      | $38140.86     | 0.10%             |  |  |  | No            |                  1 | On Loan: No      |
| JD.COM INC-ADR                 | COMMON STOCK | CUSIP: 47215P106<br>LEI: N/A | Long             | EC               | CORP              | KY        |     30400 | NS      | $1706352.00   | 4.47%             |  |  |  | No            |                  1 | On Loan: No      |
| NARI TECHNOLOGY DEVELOPM /CNY/ | COMMON STOCK | CUSIP: Y2959R100<br>LEI: N/A | Long             | EC               | CORP              | CN        |    441840 | NS      | $1557809.13   | 4.08%             |  |  |  | No            |                  1 | On Loan: No      |
| NETEASE INC-ADR                | COMMON STOCK | CUSIP: 64110W102<br>LEI: N/A | Long             | EC               | CORP              | KY        |     20875 | NS      | $1516151.25   | 3.97%             |  |  |  | No            |                  1 | On Loan: No      |
| PING AN INSURANCE GROUP  /HKD/ | COMMON STOCK | CUSIP: Y69790106<br>LEI: N/A | Long             | EC               | CORP              | CN        |    175500 | NS      | $1161298.69   | 3.04%             |  |  |  | No            |                  1 | On Loan: No      |
| SANY HEAVY INDUSTRY CO L /CNY/ | COMMON STOCK | CUSIP: Y75268105<br>LEI: N/A | Long             | EC               | CORP              | CN        |    501697 | NS      | $1145402.11   | 3.00%             |  |  |  | No            |                  1 | On Loan: No      |
| SHENGYI TECHNOLOGY CO LT /CNH/ | COMMON STOCK | CUSIP: Y20965102<br>LEI: N/A | Long             | EC               | CORP              | CN        |    532400 | NS      | $1108565.65   | 2.91%             |  |  |  | No            |                  1 | On Loan: No      |
| SHENZHEN H&T INTELLIGENT /CNH/ | COMMON STOCK | CUSIP: Y7744P103<br>LEI: N/A | Long             | EC               | CORP              | CN        |    376589 | NS      | $793386.02    | 2.08%             |  |  |  | No            |                  1 | On Loan: No      |
| SHENZHEN INOVANCE TECHNO /CNH/ | COMMON STOCK | CUSIP: Y7744Z101<br>LEI: N/A | Long             | EC               | CORP              | CN        |    153454 | NS      | $1541070.15   | 4.04%             |  |  |  | No            |                  1 | On Loan: No      |
| SHENZHOU INTERNATIONAL G /HKD/ | COMMON STOCK | CUSIP: G8087W101<br>LEI: N/A | Long             | EC               | CORP              | KY        |    111100 | NS      | $1249697.97   | 3.28%             |  |  |  | No            |                  1 | On Loan: No      |
| SINO BIOPHARMACEUTICAL /HKD/   | COMMON STOCK | CUSIP: G8167W138<br>LEI: N/A | Long             | EC               | CORP              | KY        |   2183500 | NS      | $1278397.42   | 3.35%             |  |  |  | No            |                  1 | On Loan: No      |
| SUOFEIYA HOME COLLECTION /CNH/ | COMMON STOCK | CUSIP: Y29336107<br>LEI: N/A | Long             | EC               | CORP              | CN        |    476500 | NS      | $1250368.83   | 3.28%             |  |  |  | No            |                  1 | On Loan: No      |
| TENCENT HOLDINGS LTD /HKD/     | COMMON STOCK | CUSIP: G87572163<br>LEI: N/A | Long             | EC               | CORP              | KY        |     28400 | NS      | $1215237.88   | 3.18%             |  |  |  | No            |                  1 | On Loan: No      |
| VENUSTECH GROUP INC-A /CNH/    | COMMON STOCK | CUSIP: Y07764106<br>LEI: N/A | Long             | EC               | CORP              | CN        |    350050 | NS      | $1319158.74   | 3.46%             |  |  |  | No            |                  1 | On Loan: No      |
| WEICHAI POWER CO LTD-H /HKD/   | COMMON STOCK | CUSIP: Y9531A109<br>LEI: N/A | Long             | EC               | CORP              | CN        |    797480 | NS      | $1070724.09   | 2.81%             |  |  |  | No            |                  1 | On Loan: No      |
| WUXI LEAD INTELLIGENT EQ /CNH/ | COMMON STOCK | CUSIP: Y9717H100<br>LEI: N/A | Long             | EC               | CORP              | CN        |    173440 | NS      | $1008729.08   | 2.64%             |  |  |  | No            |                  1 | On Loan: No      |
| XINYI SOLAR HOLDINGS LTD /HKD/ | COMMON STOCK | CUSIP: G9829N102<br>LEI: N/A | Long             | EC               | CORP              | KY        |    973987 | NS      | $1078110.79   | 2.83%             |  |  |  | No            |                  1 | On Loan: No      |
| ZHEJIANG SUPOR COOKWARE /CNH/  | COMMON STOCK | CUSIP: Y98925103<br>LEI: N/A | Long             | EC               | CORP              | CN        |    175709 | NS      | $1255762.50   | 3.29%             |  |  |  | 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