# EDGAR Filing Document

**Accession Number:** 0000919160
**File Stem:** 0001398344-23-004960
**Filing Date:** 2023-2
**Character Count:** 13646
**Document Hash:** d936910e4c16e2a47538d076edf8e4d3
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001398344-23-004960.hdr.sgml**: 20230227

**ACCESSION NUMBER**: 0001398344-23-004960

**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:** 23673116

**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 Global Energy Fund (Series ID: S000005896)

| Class ID   | Class Name                           | Ticker Symbol   |
|:---|:---|:---|
| C000016120 | Guinness Atkinson Global Energy Fund | GAGEX           |

## 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 Global Energy Fund

- **b. EDGAR series identifier (if any):** S000005896

- **c. LEI of Series:** 5493008FBP33QJVDNN54

**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:** $16270045.68

**Total Liabilities:** $54489.41

**Net Assets:** $16215556.27

**Cash Not Reported:** $154715.10

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000016120 | -3.34%               | 4.05%                | 20.14%               |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $0.00                    | $-602767.16                                |
| Month 2  | $0.00                    | $588660.03                                 |
| Month 3  | $248102.64               | $2631037.24                                |

### 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   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| BAKER HUGHES CO                | COMMON STOCK | CUSIP: 05722G100<br>LEI: N/A | Long             | EC               | CORP              | US        |      8121 | NS      | $239813.13    | 1.48%             |  |  |  | No            |                  1 | On Loan: No      |
| BP PLC /GBP/                   | COMMON STOCK | CUSIP: G12793108<br>LEI: N/A | Long             | EC               | CORP              | GB        |    131403 | NS      | $754424.50    | 4.65%             |  |  |  | No            |                  1 | On Loan: No      |
| CANADIAN NATURAL RESOURC /CAD/ | COMMON STOCK | CUSIP: 136385101<br>LEI: N/A | Long             | EC               | CORP              | CA        |      9231 | NS      | $512632.59    | 3.16%             |  |  |  | No            |                  1 | On Loan: No      |
| CENOVUS ENERGY INC /CAD/       | COMMON STOCK | CUSIP: 15135U109<br>LEI: N/A | Long             | EC               | CORP              | CA        |     27320 | NS      | $530076.00    | 3.27%             |  |  |  | No            |                  1 | On Loan: No      |
| CHEVRON CORP                   | COMMON STOCK | CUSIP: 166764100<br>LEI: N/A | Long             | EC               | CORP              | US        |      5452 | NS      | $978579.48    | 6.03%             |  |  |  | No            |                  1 | On Loan: No      |
| CHINA PETROLEUM & CHEMIC /HKD/ | COMMON STOCK | CUSIP: Y15010104<br>LEI: N/A | Long             | EC               | CORP              | CN        |    372000 | NS      | $179672.16    | 1.11%             |  |  |  | No            |                  1 | On Loan: No      |
| CONOCOPHILLIPS                 | COMMON STOCK | CUSIP: 20825C104<br>LEI: N/A | Long             | EC               | CORP              | US        |      6718 | NS      | $792724.00    | 4.89%             |  |  |  | No            |                  1 | On Loan: No      |
| DELTIC ENERGY PLC /GBP/        | COMMON STOCK | CUSIP: G2339Z103<br>LEI: N/A | Long             | EC               | CORP              | GB        |   2074051 | NS      | $62685.60     | 0.39%             |  |  |  | No            |                  1 | On Loan: No      |
| DEVON ENERGY CORP              | COMMON STOCK | CUSIP: 25179M103<br>LEI: N/A | Long             | EC               | CORP              | US        |      9565 | NS      | $588343.15    | 3.63%             |  |  |  | No            |                  1 | On Loan: No      |
| DIAMONDBACK ENERGY INC         | COMMON STOCK | CUSIP: 25278X109<br>LEI: N/A | Long             | EC               | CORP              | US        |      4160 | NS      | $569004.80    | 3.51%             |  |  |  | No            |                  1 | On Loan: No      |
| DIVERSIFIED ENERGY CO PL /GBP/ | COMMON STOCK | CUSIP: G2891G105<br>LEI: N/A | Long             | EC               | CORP              | GB        |     47993 | NS      | $67536.60     | 0.42%             |  |  |  | Yes           |                  1 | On Loan: No      |
| ENBRIDGE INC                   | COMMON STOCK | CUSIP: 29250N105<br>LEI: N/A | Long             | EC               | CORP              | CA        |     10529 | NS      | $411683.90    | 2.54%             |  |  |  | No            |                  1 | On Loan: No      |
| ENI SPA /EUR/                  | COMMON STOCK | CUSIP: T3643A145<br>LEI: N/A | Long             | EC               | CORP              | IT        |     30548 | NS      | $434473.90    | 2.68%             |  |  |  | No            |                  1 | On Loan: No      |
| ENQUEST PLC /GBP/              | COMMON STOCK | CUSIP: G3159S104<br>LEI: N/A | Long             | EC               | CORP              | GB        |    256010 | NS      | $66233.70     | 0.41%             |  |  |  | No            |                  1 | On Loan: No      |
| EOG RESOURCES INC              | COMMON STOCK | CUSIP: 26875P101<br>LEI: N/A | Long             | EC               | CORP              | US        |      4488 | NS      | $581285.76    | 3.58%             |  |  |  | No            |                  1 | On Loan: No      |
| EQUINOR ASA /NOK/              | COMMON STOCK | CUSIP: R2R90P103<br>LEI: N/A | Long             | EC               | CORP              | NO        |     20525 | NS      | $736918.41    | 4.54%             |  |  |  | No            |                  1 | On Loan: No      |
| EXXON MOBIL CORP               | COMMON STOCK | CUSIP: 30231G102<br>LEI: N/A | Long             | EC               | CORP              | US        |      9608 | NS      | $1059762.40   | 6.54%             |  |  |  | No            |                  1 | On Loan: No      |
| GALP ENERGIA SGPS SA  B /EUR/  | COMMON STOCK | CUSIP: X3078L108<br>LEI: N/A | Long             | EC               | CORP              | PT        |     42921 | NS      | $579390.77    | 3.57%             |  |  |  | No            |                  1 | On Loan: No      |
| HALLIBURTON CO                 | COMMON STOCK | CUSIP: 406216101<br>LEI: N/A | Long             | EC               | CORP              | US        |      7487 | NS      | $294613.45    | 1.82%             |  |  |  | No            |                  1 | On Loan: No      |
| HELIX ENERGY SOLUTIONS GROUP   | COMMON STOCK | CUSIP: 42330P107<br>LEI: N/A | Long             | EC               | CORP              | US        |     21418 | NS      | $158064.84    | 0.97%             |  |  |  | No            |                  1 | On Loan: No      |
| IMPERIAL OIL LTD /CAD/         | COMMON STOCK | CUSIP: 453038408<br>LEI: N/A | Long             | EC               | CORP              | CA        |     11163 | NS      | $543742.27    | 3.35%             |  |  |  | No            |                  1 | On Loan: No      |
| KINDER MORGAN INC              | COMMON STOCK | CUSIP: 49456B101<br>LEI: N/A | Long             | EC               | CORP              | US        |     20914 | NS      | $378125.12    | 2.33%             |  |  |  | No            |                  1 | On Loan: No      |
| MAXEON SOLAR TECHNOLOGIE       | COMMON STOCK | CUSIP: Y58473102<br>LEI: N/A | Long             | EC               | CORP              | SG        |       662 | NS      | $10631.72     | 0.07%             |  |  |  | No            |                  1 | On Loan: No      |
| OMV AG /EUR/                   | COMMON STOCK | CUSIP: A51460110<br>LEI: N/A | Long             | EC               | CORP              | AT        |      8167 | NS      | $420527.39    | 2.59%             |  |  |  | No            |                  1 | On Loan: No      |
| PETROCHINA CO LTD H /HKD/      | COMMON STOCK | CUSIP: Y6883Q104<br>LEI: N/A | Long             | EC               | CORP              | CN        |    496000 | NS      | $226853.97    | 1.40%             |  |  |  | No            |                  1 | On Loan: No      |
| PHAROS ENERGY PLC /GBP/        | COMMON STOCK | CUSIP: M7S90R102<br>LEI: N/A | Long             | EC               | CORP              | GB        |    137690 | NS      | $37620.03     | 0.23%             |  |  |  | No            |                  1 | On Loan: No      |
| PIONEER NATURAL RESOURCES CO   | COMMON STOCK | CUSIP: 723787107<br>LEI: N/A | Long             | EC               | CORP              | US        |      2290 | NS      | $523013.10    | 3.23%             |  |  |  | No            |                  1 | On Loan: No      |
| REABOLD RESOURCES PLC /GBP/    | COMMON STOCK | CUSIP: G7398R108<br>LEI: N/A | Long             | EC               | CORP              | GB        |   5221570 | NS      | $12940.87     | 0.08%             |  |  |  | No            |                  1 | On Loan: No      |
| REPSOL SA /EUR/                | COMMON STOCK | CUSIP: E8471S130<br>LEI: N/A | Long             | EC               | CORP              | ES        |     39561 | NS      | $628898.23    | 3.88%             |  |  |  | No            |                  1 | On Loan: No      |
| SCHLUMBERGER LTD               | COMMON STOCK | CUSIP: 806857108<br>LEI: N/A | Long             | EC               | CORP              | CW        |     13515 | NS      | $722511.90    | 4.46%             |  |  |  | No            |                  1 | On Loan: No      |
| SHELL PLC /EUR/                | COMMON STOCK | CUSIP: G80827101<br>LEI: N/A | Long             | EC               | CORP              | GB        |     24418 | NS      | $692173.11    | 4.27%             |  |  |  | No            |                  1 | On Loan: No      |
| SUNCOR ENERGY INC /CAD/        | COMMON STOCK | CUSIP: 867224107<br>LEI: N/A | Long             | EC               | CORP              | CA        |     14718 | NS      | $466884.38    | 2.88%             |  |  |  | No            |                  1 | On Loan: No      |
| SUNPOWER CORP                  | COMMON STOCK | CUSIP: 867652406<br>LEI: N/A | Long             | EC               | CORP              | US        |      4717 | NS      | $85047.51     | 0.52%             |  |  |  | No            |                  1 | On Loan: No      |
| TOTALENERGIES SE /EUR/         | COMMON STOCK | CUSIP: F92124100<br>LEI: N/A | Long             | EC               | CORP              | FR        |     13709 | NS      | $860717.14    | 5.31%             |  |  |  | No            |                  1 | On Loan: No      |
| VALERO ENERGY CORP             | COMMON STOCK | CUSIP: 91913Y100<br>LEI: N/A | Long             | EC               | CORP              | US        |      6113 | NS      | $775495.18    | 4.78%             |  |  |  | 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