0001398344-22-023419.txt : 20221129 0001398344-22-023419.hdr.sgml : 20221129 20221129151836 ACCESSION NUMBER: 0001398344-22-023419 CONFORMED SUBMISSION TYPE: NPORT-P PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220930 FILED AS OF DATE: 20221129 DATE AS OF CHANGE: 20221129 PERIOD START: 20221231 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: 221432199 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 2022-12-31 2022-09-30 N 35712930.09 319490.98 35393439.11 0 0 0 0 0 0 0 0 0 0 0 0 0 0 N AIA GROUP LTD /HKD/ N/A COMMON STOCK Y002A1105 170200 NS 1417977.92 4.01 Long EC CORP HK N 2 N N N ALIBABA GROUP HOLDING LT /HKD/ N/A COMMON STOCK G01719114 24500 NS 245690.43 0.69 Long EC CORP KY N 2 N N N ALIBABA GROUP HOLDING-SP ADR N/A COMMON STOCK 01609W102 10300 NS USD 823897 2.33 Long EC CORP KY N 1 N N N BAIDU INC N/A COMMON STOCK 056752108 11700 NS USD 1374633 3.88 Long EC CORP KY N 1 N N N CHINA MEDICAL SYSTEM HOL /HKD/ N/A COMMON STOCK G21108124 1096000 NS 1306405.97 3.69 Long EC CORP KY N 2 N N N CHINA MERCHANTS BANK-H /HKD/ N/A COMMON STOCK Y14896115 213000 NS 983661.74 2.78 Long EC CORP CN N 2 N N N CHINA OVERSEAS LAND & IN /HKD/ N/A COMMON STOCK Y15004107 590000 NS 1538547.31 4.35 Long EC CORP HK N 2 N N N CHONGQING FULING ZHACAI- /CNH/ N/A COMMON STOCK Y1588V102 317800 NS 1205508.37 3.41 Long EC CORP CN N 2 N N N CSPC PHARMACEUTICAL GROU /HKD/ N/A COMMON STOCK Y1837N109 1366400 NS 1364440.49 3.86 Long EC CORP HK N 2 N N N GEELY AUTOMOBILE HOLDING /HKD/ N/A COMMON STOCK G3777B103 579000 NS 790156.46 2.23 Long EC CORP KY N 2 N N N HAIER SMART HOME CO LTD- /HKD/ N/A COMMON STOCK Y298BN100 453200 NS 1379612 3.9 Long EC CORP CN N 2 N N N HANGZHOU FIRST PV MATERI /CNH/ N/A COMMON STOCK Y29846105 160440 NS 1190330.35 3.36 Long EC CORP CN N 2 N N N HONG KONG EXCHANGES & CL /HKD/ N/A COMMON STOCK Y3506N139 32400 NS 1103983.34 3.12 Long EC CORP HK N 2 N N N INNER MONGOLIA YILI INDU /CNY/ N/A COMMON STOCK Y40847108 275600 NS 1271900.01 3.59 Long EC CORP CN N 2 N N N JD.COM INC - CL A /HKD/ N/A COMMON STOCK G8208B101 1352 NS 34034.82 0.1 Long EC CORP KY N 2 N N N JD.COM INC-ADR N/A COMMON STOCK 47215P106 30400 NS USD 1529120 4.32 Long EC CORP KY N 1 N N N NARI TECHNOLOGY DEVELOPM /CNY/ N/A COMMON STOCK Y2959R100 441840 NS 1531794.58 4.33 Long EC CORP CN N 2 N N N NETEASE INC-ADR N/A COMMON STOCK 64110W102 20875 NS USD 1578150 4.46 Long EC CORP KY N 1 N N N PING AN INSURANCE GROUP /HKD/ N/A COMMON STOCK Y69790106 175500 NS 863592.42 2.44 Long EC CORP CN N 2 N N N SANY HEAVY INDUSTRY CO L /CNY/ N/A COMMON STOCK Y75268105 501697 NS 971857.72 2.75 Long EC CORP CN N 2 N N N SHENGYI TECHNOLOGY CO LT /CNH/ N/A COMMON STOCK Y20965102 479200 NS 876537.47 2.48 Long EC CORP CN N 2 N N N SHENZHEN H&T INTELLIGENT /CNH/ N/A COMMON STOCK Y7744P103 539989 NS 1103970.07 3.12 Long EC CORP CN N 2 N N N SHENZHEN INOVANCE TECHNO /CNH/ N/A COMMON STOCK Y7744Z101 171454 NS 1375511.42 3.89 Long EC CORP CN N 2 N N N SHENZHOU INTERNATIONAL G /HKD/ N/A COMMON STOCK G8087W101 117600 NS 907369.09 2.56 Long EC CORP KY N 2 N N N SINO BIOPHARMACEUTICAL /HKD/ N/A COMMON STOCK G8167W138 2183500 NS 1020751.55 2.88 Long EC CORP KY N 2 N N N SUOFEIYA HOME COLLECTION /CNH/ N/A COMMON STOCK Y29336107 485700 NS 1137294.44 3.21 Long EC CORP CN N 2 N N N TENCENT HOLDINGS LTD /HKD/ N/A COMMON STOCK G87572163 28400 NS 960873.06 2.71 Long EC CORP KY N 2 N N N VENUSTECH GROUP INC-A /CNH/ N/A COMMON STOCK Y07764106 461650 NS 1303264.13 3.68 Long EC CORP CN N 2 N N N WEICHAI POWER CO LTD-H /HKD/ N/A COMMON STOCK Y9531A109 797480 NS 747745.72 2.11 Long EC CORP CN N 2 N N N WUXI LEAD INTELLIGENT EQ /CNH/ N/A COMMON STOCK Y9717H100 173440 NS 1144179.92 3.23 Long EC CORP CN N 2 N N N XINYI SOLAR HOLDINGS LTD /HKD/ N/A COMMON STOCK G9829N102 973987 NS 1030382.51 2.91 Long EC CORP KY N 2 N N N ZHEJIANG SUPOR COOKWARE /CNH/ N/A COMMON STOCK Y98925103 181009 NS 1165913.01 3.29 Long EC CORP CN N 2 N N N 2022-11-29 GUINNESS ATKINSON FUNDS /s/ Lyna Phan Lyna Phan Assistant Treasurer XXXX NPORT-EX 2 fp0080336-3_nportex.htm

GUINNESS ATKINSON CHINA & HONG KONG FUND

Schedule of Investments  

at September 30, 2022 (Unaudited)  

 

         
Shares   Common Stocks:  99.7%  Value 
     Appliances:  7.2%     
 453,200   Haier Smart Home Co., Ltd. - H Shares*  $1,379,612 
 181,009   Zhejiang Supor Cookware - A Shares   1,165,913 
         2,545,525 
     Auto/Cars - Light Trucks:  2.2%     
 579,000   Geely Automobile Holdings Ltd.   790,156 
           
     Auto/Truck Parts & Equipment:  2.1%     
 797,480   Weichai Power Co., Ltd. - H Shares   747,746 
           
     Batteries/Battery System:  3.2%     
 173,440   Wuxi Lead Intelligent Equipment Co., Ltd. - A Shares   1,144,180 
           
     Commercial Banks:  2.8%     
 213,000   China Merchants Bank Co., Ltd. - H Shares   983,662 
           
     Computer Data Security:  3.7%     
 461,650   Venustech Group Inc. - A Shares   1,303,264 
           
     E-Commerce/Services:  7.4%     
 24,500   Alibaba Group Holding Ltd.   245,690 
 10,300   Alibaba Group Holding Ltd. - ADR   823,897 
 1,352   JD.com Inc.   34,035 
 30,400   JD.com Inc. - ADR   1,529,120 
         2,632,742 
     Electronic Components:  5.6%     
 539,989   Shenzhen H&T Intelligent Control Co., Ltd. - A Shares   1,103,970 
 479,200   Shengyi Technology Co., Ltd. - A Shares   876,538 
         1,980,508 
     Energy-Alternate:  6.2%     
 160,440   Hangzhou First Applied Materials Co., Ltd.   1,190,330 
 973,987   Xinyi Solar Holdings Ltd.   1,030,383 
         2,220,713 
     Finance:  3.1%     
 32,400   Hong Kong Exchanges & Clearing Ltd.   1,103,983 
           
     Food-Dairy Products:  7.0%     
 317,800   Chongqing Fuling Zhacai Group Co., Ltd. - A Shares   1,205,508 
 275,600   Inner Mongolia Yili Industrial Group Co., Ltd. - A Shares   1,271,900 
         2,477,408 
     Home Furniture:  3.2%     
 485,700   Suofeiya Home Collection - A Shares   1,137,294 

 

 

 

    Insurance:  6.5%    
 170,200   AIA Group Ltd.  $1,417,978 
 175,500   Ping An Insurance Group Company of China Ltd. - H Shares   863,592 
         2,281,570 
     Internet Application Software:  2.7%     
 28,400   Tencent Holdings Ltd.   960,873 
           
     Internet Content - Entertainment:  4.5%     
 20,875   NetEase Inc. - ADR   1,578,150 
           
     Machinery-General Industry:  11.0%     
 441,840   NARI Technology Co., Ltd. - A Shares   1,531,795 
 171,454   Shenzhen Inovance Technology Co., Ltd. - A Shares   1,375,511 
 501,697   Sany Heavy Industry Co., Ltd. - A Shares   971,858 
         3,879,164 
     Pharmaceuticals: 10.4%     
 1,096,000   China Medical System Holdings   1,306,406 
 1,366,400   CSPC Pharmaceutical Group Ltd.   1,364,441 
 2,183,500   Sino Biopharmaceutical Ltd.   1,020,752 
         3,691,599 
     Real Estate Operations/Development:  4.4%     
 590,000   China Overseas Land & Investments Ltd.   1,538,547 
           
     Retail - Apparel/Shoe:  2.6%     
 117,600   Shenzhou International Group Holdings Ltd.   907,369 
          
     Web Portals:  3.9%     
 11,700   Baidu Inc.*   1,374,633 
           
     Total Common Stocks  $35,279,086 
     (cost $42,093,463)     
           
     Total Investments in Securities   35,279,086 
     (cost $42,093,463): 99.7%     
           
     Other Assets less Liabilities:  0.3%   114,054 
           
     Net Assets: 100.0%  $35,393,140 

 

*Non-income producing security.

ADR - American Depository Receipt