0001398344-21-023047.txt : 20211129 0001398344-21-023047.hdr.sgml : 20211129 20211129171030 ACCESSION NUMBER: 0001398344-21-023047 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: 211457213 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 S000065017 SmartETFs Smart Transportation & Technology ETF C000210495 SmartETFs Smart Transportation & Technology ETF MOTO NPORT-P 1 primary_doc.xml NPORT-P false 0000919160 XXXXXXXX S000065017 C000210495 GUINNESS ATKINSON FUNDS 811-08360 0000919160 54930097560RK2KMX577 225 SOUTH LAKE AVENUE SUITE 216 Pasadena 91101 626-914-1041 SmartETFs Smart Transportation & Technology ETF S000065017 549300V00BLH54GDJS35 2021-12-31 2021-09-30 N 14496154.68 13637.43 14482517.25 0 0 0 0 0 0 0 0 0 0 0 0 0 89399.8 N ALPHABET INC-CL C N/A COMMON STOCK 02079K107 182 NS USD 485086.42 3.35 Long EC CORP US N 1 N N N AMPHENOL CORP-CL A N/A COMMON STOCK 032095101 5434 NS USD 397931.82 2.75 Long EC CORP US N 1 N N N ANALOG DEVICES INC N/A COMMON STOCK 032654105 2535 NS USD 424561.8 2.93 Long EC CORP US N 1 N N N APTIV PLC N/A COMMON STOCK G6095L109 2743 NS USD 408624.71 2.82 Long EC CORP JE N 1 N N N AUTOHOME INC-ADR N/A COMMON STOCK 05278C107 3315 NS USD 155572.95 1.07 Long EC CORP KY N 1 N N N CONTINENTAL AG /EUR/ N/A COMMON STOCK D16212140 2327 NS 255559.73 1.76 Long EC CORP DE N 1 N N N DAIMLER AG-REGISTERED SH /EUR/ N/A COMMON STOCK D1668R123 4407 NS 391728.49 2.7 Long EC CORP DE N 1 N N N DANA INC N/A COMMON STOCK 235825205 15860 NS USD 352726.4 2.44 Long EC CORP US N 1 N N N DENSO CORP /JPY/ N/A COMMON STOCK J12075107 6500 NS 429011.1 2.96 Long EC CORP JP N 1 N N N EATON CORP PLC N/A COMMON STOCK G29183103 2990 NS USD 446436.9 3.08 Long EC CORP IE N 1 N N N GEELY AUTOMOBILE HOLDING /HKD/ N/A COMMON STOCK G3777B103 143000 NS 410555.32 2.83 Long EC CORP KY N 1 N N N GENTHERM INC N/A COMMON STOCK 37253A103 6292 NS USD 509211.56 3.52 Long EC CORP US N 1 N N N HANON SYSTEMS /KRW/ N/A COMMON STOCK Y29874107 28262 NS 373409.91 2.58 Long EC CORP KR N 1 N N N HELLA GMBH & CO KGAA /EUR/ N/A COMMON STOCK D3R112160 5772 NS 404188.81 2.79 Long EC CORP DE N 1 N N N HEXAGON AB-B SHS /SEK/ N/A COMMON STOCK W4R431112 29575 NS 459458.49 3.17 Long EC CORP SE N 1 N N N INFINEON TECHNOLOGIES AG /EUR/ N/A COMMON STOCK D35415104 11375 NS 468186.63 3.23 Long EC CORP DE N 1 N N N INTEL CORP N/A COMMON STOCK 458140100 5863 NS USD 312380.64 2.16 Long EC CORP US N 1 N N N JOHNSON MATTHEY PLC /GBP/ N/A COMMON STOCK G51604166 9672 NS 349962.55 2.42 Long EC CORP GB N 1 N N N KIA CORP /KRW/ N/A COMMON STOCK Y47601102 5434 NS 372515.43 2.57 Long EC CORP KR N 1 N N N LEAR CORP N/A COMMON STOCK 521865204 2275 NS USD 355992 2.46 Long EC CORP US N 1 N N N LG CHEM LTD /KRW/ N/A COMMON STOCK Y52758102 637 NS 417320.53 2.88 Long EC CORP KR N 1 N N N NVIDIA CORP N/A COMMON STOCK 67066G104 2912 NS USD 603249.92 4.17 Long EC CORP US N 1 N N N NXP SEMICONDUCTORS NV N/A COMMON STOCK N6596X109 2145 NS USD 420141.15 2.9 Long EC CORP NL N 1 N N N ON SEMICONDUCTOR CORP N/A COMMON STOCK 682189105 11687 NS USD 534913.99 3.69 Long EC CORP US N 1 N N N POWER INTEGRATIONS INC N/A COMMON STOCK 739276103 4940 NS USD 489010.6 3.38 Long EC CORP US N 1 N N N QUANTA SERVICES INC N/A COMMON STOCK 74762E102 4329 NS USD 492726.78 3.4 Long EC CORP US N 1 N N N SAMSUNG SDI CO LTD /KRW/ N/A COMMON STOCK Y74866107 832 NS 504331.82 3.48 Long EC CORP KR N 1 N N N SENSATA TECHNOLOGIES HOLDING N/A COMMON STOCK G8060N102 7020 NS USD 384134.4 2.65 Long EC CORP GB N 1 N N N SKYWORKS SOLUTIONS INC N/A COMMON STOCK 83088M102 2431 NS USD 400580.18 2.77 Long EC CORP US N 1 N N N TAIWAN SEMICONDUCTOR-SP ADR N/A COMMON STOCK 874039100 3913 NS USD 436886.45 3.02 Long EC CORP TW N 1 N N N TESLA INC N/A COMMON STOCK 88160R101 975 NS USD 756093 5.22 Long EC CORP US N 1 N N N TIANNENG POWER INTL LTD /HKD/ N/A COMMON STOCK G8655K109 104000 NS 116495.18 0.8 Long EC CORP KY N 1 N N N TOYOTA MOTOR CORP /JPY/ N/A COMMON STOCK J92676113 19500 NS 350451.54 2.42 Long EC CORP JP N 1 N N N VITESCO TECHNOLOGIES GRO /EUR/ N/A COMMON STOCK D8T4KW107 465 NS 27476.2 0.19 Long EC CORP DE N 1 N N N VOLKSWAGENWERK AG PRF /EUR/ N/A COMMON STOCK D94523103 1508 NS 338321.76 2.34 Long EC CORP DE N 1 N N N VOLVO AB-B SHS /SEK/ N/A COMMON STOCK 928856301 15834 NS 356559.03 2.46 Long EC CORP SE N 1 N N N 2021-11-29 GUINNESS ATKINSON FUNDS /s/ Lyna Phan Lyna Phan Assistant Treasurer XXXX NPORT-EX 2 fp0069311_nportex.htm

SmartETFs Smart Transportation & Technology ETF

Schedule of Investments

at September 30, 2021 (Unaudited)

 

Shares   Common Stocks: 97.1%  Value ($) 
         
    Auto/Trucks Parts & Equipment: 6.3%    
 6,292   Gentherm Inc. *  $509,212 
 5,772   Hella GmbH & Co KGaA   404,189 
         913,401 
     Commerical Services: 3.4%     
 4,329   Quanta Services Inc.   492,727 
           
     Rubber-Tires: 1.8%     
 2,327   Continental AG   255,560 
           
     Smart Transportation: 30.1%     
 2,743   Aptiv PLC   408,625 
 4,407   Daimler AG   391,728 
 6,500   Denso Corp.   429,011 
 143,000   Geely Automobile Holdings Ltd.   410,555 
 9,672   Johnson Matthey PLC   349,963 
 5,434   KiaCorp   372,515 
 7,020   Sensata Technologies Holding *   384,134 
 975   Tesla Inc. *   756,093 
 104,000   Tianneng Power International   116,495 
 19,500   Toyota Motor Corp.   350,452 
 465   Vitesco Technologies Group AG   27,476 
 15,834   Volvo AB Class B   356,559 
         4,353,606 
           
     Technology: 3.0%     
 3,913   Taiwan Semiconductor Manufacturing Co Ltd. - ADR   436,886 
           
     Technology & Transportation: 52.5%     
 182   Alphabet Inc. Class C *   485,086 
 5,434   Amphenol Corp. Class A   397,932 
 2,535   Analog Devices Inc.   424,562 
 3,315   Autohome Inc. - ADR *   155,573 
 15,860   Dana Inc.   352,726 
 2,990   Eaton Corp. PLC   446,437 
 28,262   Hanon Systems   373,410 
 29,575   Hexagon AB Class B   459,458 
 11,375   Infineon Technologies AG - ADR   468,187 
 5,863   Intel Corp.   312,381 
 2,275   Lear Corp.   355,992 
 637   LG Chem Ltd.   417,321 
 2,912   NVIDIA Corp.   603,250 
 2,145   NXP Semiconductors NV   420,141 
 11,687   ON Semiconductor Corp. *   534,914 
 4,940   Power Integrations Inc.   489,011 
 832   Samsung SDI Co., Ltd.   504,332 
 2,431   Skyworks Solutions Inc.   400,580 
         7,601,293 
           
     Total Common Stocks (Cost $11,863,457)   14,053,473 

 

 

Shares      Value ($) 
         
    Preferred Stocks    
    Smart Transportation: 2.3%    
 1,508   Volkswagen AG  $338,322 
     Total Preferred Stocks (Cost $281,526)   338,322 
           
     Total Investments (Cost $12,144,983): 99.4%   14,391,795 
     Other Assets in Excess of Liabilities - 0.6%   90,722 
     Total Net Assets - 100.0%  $14,482,517 

 

*Non-income producing security.

ADR - American Depository Receipt

PLC - Public Limited Company