# EDGAR Filing Document

**Accession Number:** 0000919160
**File Stem:** 0001398344-23-004965
**Filing Date:** 2023-2
**Character Count:** 13622
**Document Hash:** 0b8055dcfdf8ed478f5916777473bd5a
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001398344-23-004965.hdr.sgml**: 20230227

**ACCESSION NUMBER**: 0001398344-23-004965

**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:** 23673108

**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 Dividend Builder ETF (Series ID: S000069135)

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

## 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 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:** 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:** $20989995.71

**Total Liabilities:** $46691.03

**Net Assets:** $20943304.68

**Cash Not Reported:** $588159.74

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000220962 | -2.50%               | 8.94%                | 6.61%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $-1290.58                | $-590051.45                                |
| Month 2  | $0.00                    | $1816594.43                                |
| Month 3  | $-2372.04                | $1262519.24                                |

### 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   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| ABB LTD-REG /CHF/              | COMMON STOCK | CUSIP: H0010V101<br>LEI: N/A | Long             | EC               | CORP              | CH        |     19189 | NS      | $582226.79    | 2.78%             |  |  |  | No            |                  1 | On Loan: No      |
| ABBVIE INC                     | COMMON STOCK | CUSIP: 00287Y109<br>LEI: N/A | Long             | EC               | CORP              | US        |      3657 | NS      | $591007.77    | 2.82%             |  |  |  | No            |                  1 | On Loan: No      |
| AFLAC INC                      | COMMON STOCK | CUSIP: 001055102<br>LEI: N/A | Long             | EC               | CORP              | US        |      8429 | NS      | $606382.26    | 2.90%             |  |  |  | No            |                  1 | On Loan: No      |
| ARTHUR J GALLAGHER & CO        | COMMON STOCK | CUSIP: 363576109<br>LEI: N/A | Long             | EC               | CORP              | US        |      3042 | NS      | $573538.68    | 2.74%             |  |  |  | No            |                  1 | On Loan: No      |
| ATLAS COPCO AB-A SHS /SEK/     | COMMON STOCK | CUSIP: W1R924252<br>LEI: N/A | Long             | EC               | CORP              | SE        |     46457 | NS      | $548071.94    | 2.62%             |  |  |  | No            |                  1 | On Loan: No      |
| BLACKROCK INC                  | COMMON STOCK | CUSIP: 09247X101<br>LEI: N/A | Long             | EC               | CORP              | US        |       848 | NS      | $600918.24    | 2.87%             |  |  |  | No            |                  1 | On Loan: No      |
| BROADCOM INC                   | COMMON STOCK | CUSIP: 11135F101<br>LEI: N/A | Long             | EC               | CORP              | US        |      1127 | NS      | $630139.51    | 3.01%             |  |  |  | No            |                  1 | On Loan: No      |
| CISCO SYSTEMS INC              | COMMON STOCK | CUSIP: 17275R102<br>LEI: N/A | Long             | EC               | CORP              | US        |     12199 | NS      | $581160.36    | 2.77%             |  |  |  | No            |                  1 | On Loan: No      |
| CME GROUP INC                  | COMMON STOCK | CUSIP: 12572Q105<br>LEI: N/A | Long             | EC               | CORP              | US        |      3310 | NS      | $556609.60    | 2.66%             |  |  |  | No            |                  1 | On Loan: No      |
| COCA-COLA CO/THE               | COMMON STOCK | CUSIP: 191216100<br>LEI: N/A | Long             | EC               | CORP              | US        |      9435 | NS      | $600160.35    | 2.87%             |  |  |  | No            |                  1 | On Loan: No      |
| DANONE /EUR/                   | COMMON STOCK | CUSIP: F12033134<br>LEI: N/A | Long             | EC               | CORP              | FR        |     11262 | NS      | $593515.43    | 2.83%             |  |  |  | No            |                  1 | On Loan: No      |
| DEUTSCHE BOERSE AG /EUR/       | COMMON STOCK | CUSIP: D1882G119<br>LEI: N/A | Long             | EC               | CORP              | DE        |      3279 | NS      | $566541.34    | 2.71%             |  |  |  | No            |                  1 | On Loan: No      |
| DIAGEO PLC /GBP/               | COMMON STOCK | CUSIP: G42089113<br>LEI: N/A | Long             | EC               | CORP              | GB        |     12823 | NS      | $565836.34    | 2.70%             |  |  |  | No            |                  1 | On Loan: No      |
| EATON CORP PLC                 | COMMON STOCK | CUSIP: G29183103<br>LEI: N/A | Long             | EC               | CORP              | IE        |      3758 | NS      | $589818.10    | 2.82%             |  |  |  | No            |                  1 | On Loan: No      |
| EMERSON ELECTRIC CO            | COMMON STOCK | CUSIP: 291011104<br>LEI: N/A | Long             | EC               | CORP              | US        |      6303 | NS      | $605466.18    | 2.89%             |  |  |  | No            |                  1 | On Loan: No      |
| HENKEL AG & CO KGAA /EUR/      | COMMON STOCK | CUSIP: D3207M110<br>LEI: N/A | Long             | EC               | CORP              | DE        |      8430 | NS      | $586760.94    | 2.80%             |  |  |  | No            |                  1 | On Loan: No      |
| ILLINOIS TOOL WORKS            | COMMON STOCK | CUSIP: 452308109<br>LEI: N/A | Long             | EC               | CORP              | US        |      2673 | NS      | $588861.90    | 2.81%             |  |  |  | No            |                  1 | On Loan: No      |
| JOHNSON & JOHNSON              | COMMON STOCK | CUSIP: 478160104<br>LEI: N/A | Long             | EC               | CORP              | US        |      3347 | NS      | $591247.55    | 2.82%             |  |  |  | No            |                  1 | On Loan: No      |
| MEDTRONIC PLC                  | COMMON STOCK | CUSIP: G5960L103<br>LEI: N/A | Long             | EC               | CORP              | IE        |      7667 | NS      | $595879.24    | 2.85%             |  |  |  | No            |                  1 | On Loan: No      |
| MICROSOFT CORP                 | COMMON STOCK | CUSIP: 594918104<br>LEI: N/A | Long             | EC               | CORP              | US        |      2390 | NS      | $573169.80    | 2.74%             |  |  |  | No            |                  1 | On Loan: No      |
| MONDELEZ INTERNATIONAL INC-A   | COMMON STOCK | CUSIP: 609207105<br>LEI: N/A | Long             | EC               | CORP              | US        |      8869 | NS      | $591118.85    | 2.82%             |  |  |  | No            |                  1 | On Loan: No      |
| NESTLE SA-REG /CHF/            | COMMON STOCK | CUSIP: H57312649<br>LEI: N/A | Long             | EC               | CORP              | CH        |      5047 | NS      | $584705.43    | 2.79%             |  |  |  | No            |                  1 | On Loan: No      |
| NOVO NORDISK A/S-B /DKK/       | COMMON STOCK | CUSIP: K72807132<br>LEI: N/A | Long             | EC               | CORP              | DK        |      4755 | NS      | $642058.82    | 3.07%             |  |  |  | No            |                  1 | On Loan: No      |
| OTIS WORLDWIDE CORP            | COMMON STOCK | CUSIP: 68902V107<br>LEI: N/A | Long             | EC               | CORP              | US        |      7648 | NS      | $598914.88    | 2.86%             |  |  |  | No            |                  1 | On Loan: No      |
| PAYCHEX INC                    | COMMON STOCK | CUSIP: 704326107<br>LEI: N/A | Long             | EC               | CORP              | US        |      4872 | NS      | $563008.32    | 2.69%             |  |  |  | No            |                  1 | On Loan: No      |
| PEPSICO INC                    | COMMON STOCK | CUSIP: 713448108<br>LEI: N/A | Long             | EC               | CORP              | US        |      3276 | NS      | $591842.16    | 2.83%             |  |  |  | No            |                  1 | On Loan: No      |
| PROCTER & GAMBLE CO/THE        | COMMON STOCK | CUSIP: 742718109<br>LEI: N/A | Long             | EC               | CORP              | US        |      4014 | NS      | $608361.84    | 2.90%             |  |  |  | No            |                  1 | On Loan: No      |
| RECKITT BENCKISER GROUP  /GBP/ | COMMON STOCK | CUSIP: G74079107<br>LEI: N/A | Long             | EC               | CORP              | GB        |      8270 | NS      | $575285.86    | 2.75%             |  |  |  | No            |                  1 | On Loan: No      |
| ROCHE HOLDING AG-GENUSSC /CHF/ | COMMON STOCK | CUSIP: H69293217<br>LEI: N/A | Long             | EC               | CORP              | CH        |      1850 | NS      | $581125.65    | 2.77%             |  |  |  | No            |                  1 | On Loan: No      |
| SCHNEIDER ELEC SA /EUR/        | COMMON STOCK | CUSIP: F86921107<br>LEI: N/A | Long             | EC               | CORP              | FR        |      4119 | NS      | $576395.38    | 2.75%             |  |  |  | No            |                  1 | On Loan: No      |
| SONIC HEALTHCARE LTD /AUD/     | COMMON STOCK | CUSIP: Q8563C107<br>LEI: N/A | Long             | EC               | CORP              | AU        |     28269 | NS      | $576831.05    | 2.75%             |  |  |  | No            |                  1 | On Loan: No      |
| TAIWAN SEMICONDUCTOR-SP ADR    | COMMON STOCK | CUSIP: 874039100<br>LEI: N/A | Long             | EC               | CORP              | TW        |      7426 | NS      | $553162.74    | 2.64%             |  |  |  | No            |                  1 | On Loan: No      |
| TEXAS INSTRUMENTS INC          | COMMON STOCK | CUSIP: 882508104<br>LEI: N/A | Long             | EC               | CORP              | US        |      3386 | NS      | $559434.92    | 2.67%             |  |  |  | No            |                  1 | On Loan: No      |
| UNILEVER PLC /GBP/             | COMMON STOCK | CUSIP: G92087165<br>LEI: N/A | Long             | EC               | CORP              | GB        |     11726 | NS      | $592846.49    | 2.83%             |  |  |  | No            |                  1 | On Loan: No      |
| VF CORP                        | COMMON STOCK | CUSIP: 918204108<br>LEI: N/A | Long             | EC               | CORP              | US        |     13470 | NS      | $371906.70    | 1.78%             |  |  |  | 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