0001398344-21-012223.txt : 20210528 0001398344-21-012223.hdr.sgml : 20210528 20210528125321 ACCESSION NUMBER: 0001398344-21-012223 CONFORMED SUBMISSION TYPE: NPORT-P PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210528 PERIOD START: 20211231 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: 21978683 BUSINESS ADDRESS: STREET 1: 225 SOUTH LAKE AVENUE STREET 2: SUITE 216 CITY: PASADENA STATE: CA ZIP: 91101 BUSINESS PHONE: 626-914-1041 MAIL ADDRESS: STREET 1: 225 SOUTH LAKE AVENUE STREET 2: SUITE 216 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 0000919160 S000009156 Guinness Atkinson Alternative Energy Fund C000024897 Guinness Atkinson Alternative Energy Fund GAAEX NPORT-P 1 primary_doc.xml NPORT-P false 0000919160 XXXXXXXX S000009156 C000024897 GUINNESS ATKINSON FUNDS 811-08360 0000919160 54930097560RK2KMX577 225 SOUTH LAKE AVENUE SUITE 216 Pasadena 91101 626-914-1041 Guinness Atkinson Alternative Energy Fund S000009156 549300CFIW30C5HQIM93 2021-12-31 2021-03-31 N 36519474.69 115099.7 36404374.99 0 0 0 0 0 0 0 0 0 0 0 0 0 0 N ALBIOMA SA /EUR/ N/A COMMON STOCK F0190K109 23220 NS 1138169.4 3.13 Long EC CORP FR N 1 N N N AMERESCO INC-CL A N/A COMMON STOCK 02361E108 25610 NS USD 1245414.3 3.42 Long EC CORP US N 1 N N N APTIV PLC N/A COMMON STOCK G6095L109 9560 NS USD 1318324 3.62 Long EC CORP JE N 1 N N N CANADIAN SOLAR INC N/A COMMON STOCK 136635109 25260 NS USD 1253653.8 3.44 Long EC CORP CA N 1 N N N CHINA LONGYUAN POWER GRO /HKD/ N/A COMMON STOCK Y1501T101 995000 NS 1351573.5 3.71 Long EC CORP CN N 1 N N N CHINA SUNTIEN GREEN ENER /HKD/ N/A COMMON STOCK Y15207106 3323000 NS 1269519.75 3.49 Long EC CORP CN N 1 N N N ENPHASE ENERGY INC N/A COMMON STOCK 29355A107 3570 NS USD 578911.2 1.59 Long EC CORP US N 1 N N N FIRST SOLAR INC N/A COMMON STOCK 336433107 14590 NS USD 1273707 3.5 Long EC CORP US N 1 N N N GENTHERM INC N/A COMMON STOCK 37253A103 19060 NS USD 1412536.6 3.88 Long EC CORP US N 1 N N N HELLA GMBH & CO KGAA /EUR/ N/A COMMON STOCK D3R112160 20120 NS 1128251.59 3.1 Long EC CORP DE N 1 N N N HUBBELL INC N/A COMMON STOCK 443510607 7400 NS USD 1382986 3.8 Long EC CORP US N 1 N N N IBERDROLA SA /EUR/ N/A COMMON STOCK E6165F166 110960 NS 1429337.92 3.93 Long EC CORP ES N 1 N N N INFINEON TECHNOLOGIES AG /EUR/ N/A COMMON STOCK D35415104 31800 NS 1348229.71 3.7 Long EC CORP DE N 1 N N N ITRON INC N/A COMMON STOCK 465741106 13460 NS USD 1193229 3.28 Long EC CORP US N 1 N N N JOHNSON MATTHEY PLC /GBP/ N/A COMMON STOCK G51604166 33970 NS 1410916.94 3.88 Long EC CORP GB N 1 N N N LG CHEM LTD /KRW/ N/A COMMON STOCK Y52758102 1850 NS 1320567.33 3.63 Long EC CORP KR N 1 N N N NEXTERA ENERGY INC N/A COMMON STOCK 65339F101 19460 NS USD 1471370.6 4.04 Long EC CORP US N 1 N N N NIBE INDUSTRIER AB-B SHS /SEK/ N/A COMMON STOCK W57113149 44535 NS 1381025.11 3.79 Long EC CORP SE N 1 N N N ON SEMICONDUCTOR CORP N/A COMMON STOCK 682189105 38470 NS USD 1600736.7 4.4 Long EC CORP US N 1 N N N ORMAT TECHNOLOGIES INC N/A COMMON STOCK 686688102 13009 NS USD 1021596.77 2.81 Long EC CORP US N 1 N N N SAMSUNG SDI CO LTD /KRW/ N/A COMMON STOCK Y74866107 2300 NS 1346060.91 3.7 Long EC CORP KR N 1 N N N SCHNEIDER ELEC SA /EUR/ N/A COMMON STOCK F86921107 9810 NS 1498356.47 4.12 Long EC CORP FR N 1 N N N SENSATA TECHNOLOGIES HOLDING N/A COMMON STOCK G8060N102 23800 NS USD 1379210 3.79 Long EC CORP GB N 1 N N N SIEMENS GAMESA RENEWABLE /EUR/ N/A COMMON STOCK E8T87A100 37850 NS 1464698.48 4.02 Long EC CORP ES N 1 N N N SOLAREDGE TECHNOLOGIES INC N/A COMMON STOCK 83417M104 2130 NS USD 612247.2 1.68 Long EC CORP US N 1 N N N TIANNENG POWER INTL LTD /HKD/ N/A COMMON STOCK G8655K109 80000 NS 151066.69 0.41 Long EC CORP KY N 1 N N N TPI COMPOSITES INC N/A COMMON STOCK 87266J104 14960 NS USD 844192.8 2.32 Long EC CORP US N 1 N N N TRANSALTA RENEWABLES INC /CAD/ N/A COMMON STOCK 893463109 94700 NS 1550074.8 4.26 Long EC CORP CA N 1 N N N VESTAS WIND SYSTEMS A/S /DKK/ N/A COMMON STOCK K9773J128 5985 NS 1228485.85 3.37 Long EC CORP DK N 1 N N N XINYI SOLAR HOLDINGS LTD /HKD/ N/A COMMON STOCK G9829N102 514200 NS 845309.2 2.32 Long EC CORP KY N 1 N N N 2021-05-28 GUINNESS ATKINSON FUNDS /s/ Lyna Phan Lyna Phan Assistant Treasurer XXXX NPORT-EX 2 fp0064223_nportex.htm

GUINNESS ATKINSON ALTERNATIVE ENERGY FUND

Schedule of Investments

at March 31, 2021 (Unaudited)

 

Shares   Common Stocks: 99.9%  Value 
         
     Electrification: 41.4%     
 9,560   APTIV PLC  $1,318,324 
 19,060   Gentherm Inc.*   1,412,537 
 20,120   Hella GmbH & Co. KGaA   1,128,252 
 31,800   Infineon Technologies AG   1,348,230 
 13,460   Itron Inc.*   1,193,229 
 33,970   Johnson Matthey PLC   1,410,917 
 1,850   LG Chem Ltd.   1,320,567 
 38,470   ON Semiconductor Corp.*   1,600,737 
 2,300   Samsung SDI Co., Ltd.   1,346,061 
 9,810   Schneider Electric SE   1,498,356 
 23,800   Sensata Technologies Holding*   1,379,210 
 80,000   Tianneng Power International   151,067 
         15,107,487 
           
     Energy Efficiency: 11.0%     
 25,610   Ameresco PLC*   1,245,414 
 7,400   Hubbell Inc.   1,382,986 
 44,535   Nibe Industrier AB - B Shares   1,381,025 
         4,009,425 
           
     Renewable Energy Generation: 29.3%     
 23,220   Albioma SA   1,138,169 
 995,000   China Longyuan Power Group Corp. - H Shares   1,351,573 
 3,323,000   China Suntien Green Energy Corp. Ltd. - H Shares   1,269,520 
 110,960   Iberdrola SA   1,429,338 
 19,460   Nextera Energy Inc.   1,471,371 
 13,009   Ormat Technologies Inc.   1,021,597 
 37,850   Siemens Gamesa Renewable Energy SA   1,464,698 
 94,700   TransAlta Renewables Inc.   1,550,075 
         10,696,341 
     Renewal Equipment Manufacturing: 18.2%     
 25,260   Canadian Solar Inc.*   1,253,654 
 3,570   Enphase Energy Inc.*   578,911 
 14,590   First Solar Inc.*   1,273,707 
 2,130   Solaredge Technologies Inc.*   612,247 
 14,960   TPI Composites Inc.*   844,193 
 5,985   Vestas Wind Systems A/S   1,228,486 
 514,200   Xinyi Solar Holdings Ltd.   845,309 
         6,636,507 

 

 

 

     Total Common Stocks  $36,449,760 
      (cost $29,327,588)     
           
   Total Investments in Securities   36,449,760 
      (cost $29,327,588): 99.9%     
           
     Other Assets less Liabilities:  0.1%   39,675 
           
     Net Assets: 100.0%  $36,489,435 

 

*Non-income producing security.

PLC - Public Limited Company