0001398344-21-023041.txt : 20211129 0001398344-21-023041.hdr.sgml : 20211129 20211129171035 ACCESSION NUMBER: 0001398344-21-023041 CONFORMED SUBMISSION TYPE: NPORT-P PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211129 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: 211457217 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 S000005896 Guinness Atkinson Global Energy Fund C000016120 Guinness Atkinson Global Energy Fund GAGEX NPORT-P 1 primary_doc.xml NPORT-P false 0000919160 XXXXXXXX S000005896 C000016120 GUINNESS ATKINSON FUNDS 811-08360 0000919160 54930097560RK2KMX577 225 SOUTH LAKE AVENUE SUITE 216 Pasadena 91101 626-914-1041 Guinness Atkinson Global Energy Fund S000005896 5493008FBP33QJVDNN54 2021-12-31 2021-09-30 N 11052512.03 77999.53 10974512.5 0 0 0 0 0 0 0 0 0 0 0 0 0 103094.84 N BP PLC /GBP/ N/A COMMON STOCK G12793108 101830 NS 464980.77 4.24 Long EC CORP GB N 2 N N N CANADIAN NATURAL RESOURC /CAD/ N/A COMMON STOCK 136385101 12200 NS 446097.12 4.06 Long EC CORP CA N 1 N N N CHEVRON CORP N/A COMMON STOCK 166764100 4120 NS USD 417974 3.81 Long EC CORP US N 1 N N N CHINA PETROLEUM & CHEMIC /HKD/ N/A COMMON STOCK Y15010104 666000 NS 327437.21 2.98 Long EC CORP CN N 2 N N N CNOOC LTD /HKD/ N/A COMMON STOCK Y1662W117 262000 NS 290570.95 2.65 Long EC CORP HK N 2 N N N CONOCOPHILLIPS N/A COMMON STOCK 20825C104 7400 NS USD 501498 4.57 Long EC CORP US N 1 N N N DELTIC ENERGY PLC /GBP/ N/A COMMON STOCK G2339Z103 2311662 NS 66665.19 0.61 Long EC CORP GB N 2 N N N DEVON ENERGY CORP N/A COMMON STOCK 25179M103 13300 NS USD 472283 4.3 Long EC CORP US N 1 N N N DIVERSIFIED ENERGY CO PL /GBP/ N/A COMMON STOCK G2891G105 50490 NS 80589.27 0.73 Long EC CORP GB Y 2 N N N ENBRIDGE INC N/A COMMON STOCK 29250N105 11300 NS USD 449740 4.1 Long EC CORP CA N 1 N N N ENI SPA /EUR/ N/A COMMON STOCK T3643A145 31240 NS 415559.87 3.79 Long EC CORP IT N 2 N N N ENQUEST PLC /GBP/ N/A COMMON STOCK G3159S104 248537 NS 79293.98 0.72 Long EC CORP GB N 2 N N N EOG RESOURCES INC N/A COMMON STOCK 26875P101 5650 NS USD 453525.5 4.13 Long EC CORP US N 1 N N N EQUINOR ASA /NOK/ N/A COMMON STOCK R2R90P103 19340 NS 491329.64 4.48 Long EC CORP NO N 2 N N N EXXON MOBIL CORP N/A COMMON STOCK 30231G102 7950 NS USD 467619 4.26 Long EC CORP US N 1 N N N GALP ENERGIA SGPS SA B /EUR/ N/A COMMON STOCK X3078L108 29790 NS 336834.31 3.07 Long EC CORP PT N 2 N N N GAZPROM PJSC N/A COMMON STOCK 368287207 51120 NS USD 509900.53 4.65 Long EC CORP RU N 2 N N N HELIX ENERGY SOLUTIONS GROUP N/A COMMON STOCK 42330P107 23780 NS USD 92266.4 0.84 Long EC CORP US N 1 N N N IMPERIAL OIL LTD /CAD/ N/A COMMON STOCK 453038408 14251 NS 450428.37 4.1 Long EC CORP CA N 1 N N N JKX OIL & GAS PLC /GBP/ N/A COMMON STOCK G5140Z105 93214 NS 61898.39 0.56 Long EC CORP GB N 2 N N N MAXEON SOLAR TECHNOLOGIE N/A COMMON STOCK Y58473102 662 NS USD 11671.06 0.11 Long EC CORP SG N 1 N N N OMV AG /EUR/ N/A COMMON STOCK A51460110 7098 NS 428994.95 3.91 Long EC CORP AT N 2 N N N PETROCHINA CO LTD H /HKD/ N/A COMMON STOCK Y6883Q104 906000 NS 425033.02 3.87 Long EC CORP CN N 2 N N N PHAROS ENERGY PLC /GBP/ N/A COMMON STOCK G8248C127 137690 NS 36112.88 0.33 Long EC CORP GB N 2 N N N PIONEER NATURAL RESOURCES CO N/A COMMON STOCK 723787107 2450 NS USD 407949.5 3.72 Long EC CORP US N 1 N N N REABOLD RESOURCES PLC /GBP/ N/A COMMON STOCK G7398R108 5221570 NS 11279.65 0.1 Long EC CORP GB N 2 N N N REPSOL SA /EUR/ N/A COMMON STOCK E8471S130 33531 NS 437512.64 3.99 Long EC CORP ES N 2 N N N ROYAL DUTCH SHELL PLC-A /EUR/ N/A COMMON STOCK G7690A100 20540 NS 462435.8 4.21 Long EC CORP GB N 1 N N N SCHLUMBERGER LTD N/A COMMON STOCK 806857108 12500 NS USD 370500 3.38 Long EC CORP CW N 1 N N N SUNCOR ENERGY INC /CAD/ N/A COMMON STOCK 867224107 18176 NS 376866.77 3.43 Long EC CORP CA N 1 N N N SUNPOWER CORP N/A COMMON STOCK 867652406 3400 NS USD 77112 0.7 Long EC CORP US N 1 N N N TOTALENERGIES SE /EUR/ N/A COMMON STOCK F92124100 9290 NS 443351.8 4.04 Long EC CORP FR N 2 N N N VALERO ENERGY CORP N/A COMMON STOCK 91913Y100 5269 NS USD 371833.33 3.39 Long EC CORP US N 1 N N N 2021-11-29 GUINNESS ATKINSON FUNDS /s/ Lyna Phan Lyna Phan Assistant Treasurer XXXX NPORT-EX 2 fp0069305_nportex.htm

GUINNESS ATKINSON GLOBAL ENERGY FUND

Schedule of Investments

at September 30, 2021 (Unaudited)

 

Shares   Common Stocks: 98.0%  Value 
         
    Energy - Alternate Sources: 0.8%    
 662   Maxeon Solar Technologies Ltd  $11,671 
 3,400   SunPower Corp.*   77,112 
         88,783 
           
     Oil & Gas - Exploration & Production: 26.5%     
 12,200   Canadian Natural Resources Ltd.   446,097 
 262,000   CNOOC Ltd.   290,571 
 7,400   ConocoPhillips   501,498 
 2,311,662   Deltic Energy PLC   66,665 
 13,300   Devon Energy Corp.   472,283 
 50,490   Diversified Gas & Oil PLC   80,589 
 248,537   EnQuest PLC*   79,294 
 5,650   EOG Resources Inc.   453,525 
 93,214   JKX Oil & Gas PLC*   61,898 
 137,690   Pharos Energy PLC   36,113 
 2,450   Pioneer Natural Resources Company   407,950 
 5,221,570   Reabold Resources PLC*   11,280 
         2,907,763 
     Oil & Gas - Field Services: 4.2%     
 23,780   Helix Energy Solutions Group, Inc.*   92,266 
 12,500   Schlumberger Ltd.   370,500 
         462,766 
     Oil & Gas - Integrated: 58.9%     
 101,830   BP PLC   464,981 
 4,120   Chevron Corp   417,974 
 666,000   China Petroleum & Chemical   327,437 
 31,240   Eni SpA   415,560 
 19,340   Equinor ASA   491,330 
 7,950   Exxon Mobil Corp   467,619 
 29,790   Galp Energia Sgps Sa   336,834 
 51,120   Gazprom OAO - ADR   509,901 
 14,251   Imperial Oil Ltd.   450,428 
 7,098   OMV AG   428,995 
 906,000   PetroChina Co., Ltd. - H Shares   425,033 
 33,531   Repsol SA   437,513 
 20,540   Royal Dutch Shell PLC - Class A   462,436 
 18,176   Suncor Energy, Inc.   376,867 
 9,290   TOTAL SA   443,352 
         6,456,260 

 

 

    Oil & Gas - Pipelines and Transportation: 4.1%    
 11,300   Enbridge Inc.  $449,740 
           
     Oil Refining & Marketing: 3.4%     
 5,269   Valero Energy, Corp.   371,833 
           
     Total Common Stocks  $10,737,145 
     (cost $13,342,406)     
           
     Total Investments in Securities   10,737,145 
     (cost $13,342,406): 98.0%     
           
     Other Assets less Liabilities: 2.0%   224,927 
           
     Net Assets: 100.0%  $10,962,072 

 

*Non-income producing security.

ADR - American Depository Receipt

PLC - Public Limited Company