COMMON STOCK

0001398344-21-012225.txt : 20210528 0001398344-21-012225.hdr.sgml : 20210528 20210528125321 ACCESSION NUMBER: 0001398344-21-012225 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: 21978675 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 S000005894 Guinness Atkinson China & Hong Kong Fund

C000016118 Guinness Atkinson China & Hong Kong Fund ICHKX

NPORT-P 1 primary_doc.xml NPORT-P false 0000919160 XXXXXXXX S000005894 C000016118 GUINNESS ATKINSON FUNDS 811-08360 0000919160 54930097560RK2KMX577 225 SOUTH LAKE AVENUE SUITE 216 Pasadena 91101 626-914-1041 Guinness Atkinson China & Hong Kong Fund S000005894 549300DM0YHA9DTLSY91 2021-12-31 2021-03-31 N 70052663.3 699868.9 69352794.4 0 0 0 0 0 0 0 0 0 0 0 0 0 368302.36 N ALIBABA GROUP HOLDING LT /HKD/ N/A COMMON STOCK G01719114 24500 NS 693332.3 1 Long EC CORP KY N 1 N N N ALIBABA GROUP HOLDING-SP ADR N/A COMMON STOCK 01609W102 6800 NS USD 1541764 2.22 Long EC CORP KY N 1 N N N AUTOHOME INC-ADR N/A COMMON STOCK 05278C107 21300 NS USD 1986651 2.86 Long EC CORP KY N 1 N N N BAIDU INC N/A COMMON STOCK 056752108 10500 NS USD 2284275 3.29 Long EC CORP KY N 1 N N N BEIJING ORIENTAL YUHONG- /CNH/ N/A COMMON STOCK Y07729109 334230 NS 2604363.17 3.76 Long EC CORP CN N 1 N N N CHINA LESSO GROUP HOLDIN /HKD/ N/A COMMON STOCK G2157Q102 1252000 NS 2692732.87 3.88 Long EC CORP KY N 1 N N N CHINA LILANG LTD /HKD/ N/A COMMON STOCK G21141109 2914000 NS 1892925.82 2.73 Long EC CORP KY Y 1 N N N CHINA MEDICAL SYSTEM HOL /HKD/ N/A COMMON STOCK G21108124 1096000 NS 2168300.95 3.13 Long EC CORP KY N 1 N N N CHINA MERCHANTS BANK-H /HKD/ N/A COMMON STOCK Y14896115 334500 NS 2553697.88 3.68 Long EC CORP CN N 1 N N N CHINA OVERSEAS LAND & IN /HKD/ N/A COMMON STOCK Y15004107 974500 NS 2532129.33 3.65 Long EC CORP HK N 1 N N N CHINA RESOURCES GAS GROU /HKD/ N/A COMMON STOCK G2113B108 456000 NS 2528103.11 3.65 Long EC CORP BM N 1 N N N CHONGQING FULING ZHACAI- /CNH/ N/A COMMON STOCK Y1588V102 355800 NS 2276586.76 3.28 Long EC CORP CN N 1 N N N CSPC PHARMACEUTICAL GROU /HKD/ N/A COMMON STOCK Y15018131 2138400 NS 2585648.41 3.73 Long EC CORP HK N 1 N N N GALAXY ENTERTAINMENT GRO /HKD/ N/A COMMON STOCK Y2679D118 257000 NS 2314109.12 3.34 Long EC CORP HK N 1 N N N GEELY AUTOMOBILE HOLDING /HKD/ N/A COMMON STOCK G3777B103 774000 NS 1969336.45 2.84 Long EC CORP KY N 1 N N N HAIER SMART HOME CO LTD- /HKD/ N/A COMMON STOCK Y298BN100 560200 NS 2241073.83 3.23 Long EC CORP CN N 1 N N N INNER MONGOLIA YILI INDU /CNY/ N/A COMMON STOCK Y40847108 374800 NS 2285129.16 3.29 Long EC CORP CN N 1 N N N JD.COM INC-ADR N/A COMMON STOCK 47215P106 29700 NS USD 2504601 3.61 Long EC CORP KY N 1 N N N NARI TECHNOLOGY DEVELOPM /CNY/ N/A COMMON STOCK Y2959R100 543000 NS 2575396 3.71 Long EC CORP CN N 1 N N N NETEASE INC-ADR N/A COMMON STOCK 64110W102 23875 NS USD 2465332.5 3.55 Long EC CORP KY N 1 N N N NEW ORIENTAL EDUCATIO-SP ADR N/A COMMON STOCK 647581107 173800 NS USD 2433200 3.51 Long EC CORP KY N 1 N N N PING AN INSURANCE GROUP /HKD/ N/A COMMON STOCK Y69790106 175500 NS 2089326.03 3.01 Long EC CORP CN N 1 N N N SANY HEAVY INDUSTRY CO L /CNY/ N/A COMMON STOCK Y75268105 376700 NS 1959349.49 2.83 Long EC CORP CN N 1 N N N SINO BIOPHARMACEUTICAL /HKD/ N/A COMMON STOCK G8167W138 2183500 NS 2185171.18 3.15 Long EC CORP KY N 1 N N N SUOFEIYA HOME COLLECTION /CNH/ N/A COMMON STOCK Y29336107 485700 NS 2436045.6 3.51 Long EC CORP CN N 1 N N N TENCENT HOLDINGS LTD /HKD/ N/A COMMON STOCK G87572163 28400 NS 2228439.49 3.21 Long EC CORP KY N 1 N N N VENUSTECH GROUP INC-A /CNH/ N/A COMMON STOCK Y07764106 511650 NS 2600487.46 3.75 Long EC CORP CN N 1 N N N WEICHAI POWER CO LTD-H /HKD/ N/A COMMON STOCK Y9531A109 797480 NS 1969580.33 2.84 Long EC CORP CN N 1 N N N WUXI LEAD INTELLIGENT EQ /CNH/ N/A COMMON STOCK Y9717H100 211400 NS 2543329.78 3.67 Long EC CORP CN N 1 N N N XINYI SOLAR HOLDINGS LTD /HKD/ N/A COMMON STOCK G9829N102 1348000 NS 2216018.68 3.2 Long EC CORP KY N 1 N N N ZHEJIANG SUPOR COOKWARE /CNH/ N/A COMMON STOCK Y98925103 181009 NS 1972583.46 2.84 Long EC CORP CN N 1 N N N 2021-05-28 GUINNESS ATKINSON FUNDS /s/ Lyna Phan Lyna Phan Assistant Treasurer XXXX NPORT-EX 2 fp0064226_nportex.htm

GUINNESS ATKINSON CHINA & HONG KONG FUND

Schedule of Investments

at March 31, 2021 (Unaudited)

Shares		Common Stocks: 99.6%	Value

		Appliances: 6.1%
	560,200	Haier Electronics Group Co., Ltd.*	$	2,241,074
	181,009	Zhejiang Supor Cookware - A Shares		1,972,584
				4,213,658
		Auto/Cars - Light Trucks: 2.8%
	774,000	Geely Automobile Holdings Ltd.		1,969,336

		Auto/Truck Parts & Equipment: 2.8%
	797,480	Weichai Power Co., Ltd. - H Shares		1,969,580

		Batteries/Battery System: 3.6%
	211,400	Wuxi Lead Intelligent Equipment Co., Ltd. - A Shares		2,543,330

		Building Products: 7.4%
	334,230	Beijing Oriental Yuhong Waterproof Technology Co., Ltd. - A Shares		2,604,363
	1,252,000	China Lesso Group Holdings Ltd.		2,499,166
				5,103,529
		Casino Hotels: 3.3%
	257,000	Galaxy Entertainment Group Ltd.		2,314,109

		Commercial Banks: 3.5%
	334,500	China Merchants Bank Co., Ltd. - H Shares		2,439,182

		Computer Data Security: 3.8%
	511,650	Venustech Group Inc. - A Shares		2,600,487

		E-Commerce/Services: 9.7%
	31,300	Alibaba Group Holding Ltd. - ADR		2,235,096
	21,300	Autohome Inc. - ADR		1,986,651
	29,700	JD.com Inc. - ADR		2,504,601
				6,726,348
		Energy-Alternate: 3.2%
	1,348,000	Xinyi Solar Holdings Ltd		2,216,019

		Food-Dairy Products: 6.6%
	355,800	Chongqing Fuling Zhacai Group Co., Ltd.		2,276,587
	374,800	Inner Mongolia Yili Industrial Group Co., Ltd. - A Shares		2,285,129
				4,561,716
		Gas-Distribution: 3.7%
	456,000	China Resources Gas Group Ltd.		2,528,103

		Home Furniture: 3.5%
	485,700	Suofeiya Home Collection - A Shares		2,436,046

	Insurance: 3.0%
175,500	Ping An Insurance Group Company of China Ltd. - H Shares	$	2,089,326

	Internet Application Software: 3.2%
28,400	Tencent Holdings Ltd.		2,228,440

	Internet Content - Entertainment: 3.6%
23,875	NetEase Inc. - ADR		2,465,333

	Machinery-General Industry: 6.6%
543,000	NARI Technology Co., Ltd. - A Shares		2,575,396
376,700	Sany Heavy Industry Co., Ltd. - A Shares		1,959,349
			4,534,745
	Pharmaceuticals: 10.0%
1,096,000	China Medical System Holdings		2,168,301
2,138,400	CSPC Pharmaceutical Group Ltd.		2,585,648
2,183,500	Sino Biopharmaceutical Ltd.		2,185,171
			6,939,120

	Real Estate Operations/Development: 3.7%
974,500	China Overseas Land & Investments Ltd.		2,532,129

	Retail - Apparel/Shoe: 2.7%
2,914,000	China Lilang Ltd.		1,892,926

	Schools: 3.5%
173,800	New Oriental Education & Technology Group Inc. - ADR*		2,433,200

	Web Portals: 3.3%
10,500	Baidu Inc.*	$	2,284,275

	Total Common Stocks		69,020,937
	(cost $45,967,536)

	Total Investments in Securities		69,020,937
	(cost $45,967,536): 99.6%

	Other Assets less Liabilities: 0.4%		295,203

	Net Assets: 100.0%	$	69,316,140

Non-income producing security.

ADR - American Depository Receipt