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