0001398344-22-023425.txt : 20221129 0001398344-22-023425.hdr.sgml : 20221129 20221129151835 ACCESSION NUMBER: 0001398344-22-023425 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: 221432204 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 S000069135 SmartETFs Dividend Builder ETF C000220962 SmartETFs Dividend Builder ETF DIVS NPORT-P 1 primary_doc.xml NPORT-P false 0000919160 XXXXXXXX S000069135 C000220962 GUINNESS ATKINSON FUNDS 811-08360 0000919160 54930097560RK2KMX577 225 SOUTH LAKE AVENUE SUITE 216 Pasadena 91101 626-914-1041 SmartETFs Dividend Builder ETF S000069135 549300LDFVCSRZU8VI59 2022-12-31 2022-09-30 N 19438115.69 155317.61 19282798.08 0 0 0 0 0 0 0 0 0 0 0 0 0 648903.29 N ABB LTD-REG /CHF/ N/A COMMON STOCK H0010V101 20822 NS 544448.77 2.82 Long EC CORP CH N 1 N N N ABBVIE INC N/A COMMON STOCK 00287Y109 3961 NS USD 531605.81 2.76 Long EC CORP US N 1 N N N AFLAC INC N/A COMMON STOCK 001055102 10613 NS USD 596450.6 3.09 Long EC CORP US N 1 N N N ARTHUR J GALLAGHER & CO N/A COMMON STOCK 363576109 3506 NS USD 600297.32 3.11 Long EC CORP US N 1 N N N ATLAS COPCO AB-A SHS /SEK/ N/A COMMON STOCK W1R924252 52780 NS 498373.16 2.58 Long EC CORP SE N 1 N N N BLACKROCK INC N/A COMMON STOCK 09247X101 935 NS USD 514511.8 2.67 Long EC CORP US N 1 N N N BROADCOM INC N/A COMMON STOCK 11135F101 1160 NS USD 515051.6 2.67 Long EC CORP US N 1 N N N CISCO SYSTEMS INC N/A COMMON STOCK 17275R102 13418 NS USD 536720 2.78 Long EC CORP US N 1 N N N CME GROUP INC N/A COMMON STOCK 12572Q105 2910 NS USD 515448.3 2.67 Long EC CORP US N 1 N N N COCA-COLA CO/THE N/A COMMON STOCK 191216100 9567 NS USD 535943.34 2.78 Long EC CORP US N 1 N N N DANONE /EUR/ N/A COMMON STOCK F12033134 10718 NS 510161.77 2.65 Long EC CORP FR N 1 N N N DEUTSCHE BOERSE AG /EUR/ N/A COMMON STOCK D1882G119 3603 NS 594080.63 3.08 Long EC CORP DE N 1 N N N DIAGEO PLC /GBP/ N/A COMMON STOCK G42089113 13253 NS 561864.77 2.91 Long EC CORP GB N 1 N N N EATON CORP PLC N/A COMMON STOCK G29183103 4340 NS USD 578782.4 3 Long EC CORP IE N 1 N N N EMERSON ELECTRIC CO N/A COMMON STOCK 291011104 6370 NS USD 466411.4 2.42 Long EC CORP US N 1 N N N HENKEL AG & CO KGAA /EUR/ N/A COMMON STOCK D3207M110 9556 NS 571444.95 2.96 Long EC CORP DE N 1 N N N ILLINOIS TOOL WORKS N/A COMMON STOCK 452308109 3107 NS USD 561279.55 2.91 Long EC CORP US N 1 N N N JOHNSON & JOHNSON N/A COMMON STOCK 478160104 3450 NS USD 563592 2.92 Long EC CORP US N 1 N N N MEDTRONIC PLC N/A COMMON STOCK G5960L103 6556 NS USD 529397 2.75 Long EC CORP IE N 1 N N N MICROSOFT CORP N/A COMMON STOCK 594918104 2299 NS USD 535437.1 2.78 Long EC CORP US N 1 N N N MONDELEZ INTERNATIONAL INC-A N/A COMMON STOCK 609207105 9640 NS USD 528561.2 2.74 Long EC CORP US N 1 N N N NESTLE SA-REG /CHF/ N/A COMMON STOCK H57312649 4904 NS 532198.56 2.76 Long EC CORP CH N 1 N N N NOVO NORDISK A/S-B /DKK/ N/A COMMON STOCK K72807132 5174 NS 519189.96 2.69 Long EC CORP DK N 1 N N N OTIS WORLDWIDE CORP N/A COMMON STOCK 68902V107 8219 NS USD 524372.2 2.72 Long EC CORP US N 1 N N N PAYCHEX INC N/A COMMON STOCK 704326107 4896 NS USD 549380.16 2.85 Long EC CORP US N 1 N N N PEPSICO INC N/A COMMON STOCK 713448108 3503 NS USD 571899.78 2.97 Long EC CORP US N 1 N N N PROCTER & GAMBLE CO/THE N/A COMMON STOCK 742718109 4132 NS USD 521665 2.71 Long EC CORP US N 1 N N N RECKITT BENCKISER GROUP /GBP/ N/A COMMON STOCK G74079107 7768 NS 518250.37 2.69 Long EC CORP GB N 1 N N N ROCHE HOLDING AG-GENUSSC /CHF/ N/A COMMON STOCK H69293217 1748 NS 573011.66 2.97 Long EC CORP CH N 1 N N N SCHNEIDER ELEC SA /EUR/ N/A COMMON STOCK F86921107 4677 NS 535989.79 2.78 Long EC CORP FR N 1 N N N SONIC HEALTHCARE LTD /AUD/ N/A COMMON STOCK Q8563C107 24821 NS 485511.09 2.52 Long EC CORP AU N 1 N N N TAIWAN SEMICONDUCTOR-SP ADR N/A COMMON STOCK 874039100 6894 NS USD 472652.64 2.45 Long EC CORP TW N 1 N N N TEXAS INSTRUMENTS INC N/A COMMON STOCK 882508104 3646 NS USD 564327.88 2.93 Long EC CORP US N 1 N N N UNILEVER PLC /GBP/ N/A COMMON STOCK G92087165 12595 NS 558083.37 2.89 Long EC CORP GB N 1 N N N VF CORP N/A COMMON STOCK 918204108 12531 NS USD 374802.21 1.94 Long EC CORP US N 1 N N N 2022-11-29 GUINNESS ATKINSON FUNDS /s/ Lyna Phan Lyna Phan Assistant Treasurer XXXX NPORT-EX 2 fp0080336-9_nportex.htm

SmartETFs Dividend Builder ETF

Schedule of Investments

at September 30, 2022 (Unaudited)

 

Shares   Common Stocks:  96.9%  Value ($) 
     Australia:  2.5%     
 24,821   Sonic Healthcare Ltd.  $485,511 
           
     Denmark:  2.7%     
 5,174   Novo Nordisk A/S   519,190 
           
     France:  5.4%     
 10,718   Danone SA   510,162 
 4,677   Schneider Electric SE   535,990 
         1,046,152 
     Germany:  6.0%     
 3,603   Deutsche Boerse AG   594,081 
 9,556   Henkel AG & Company KGaA   571,445 
         1,165,526 
     Ireland:  2.7%     
 6,556   Medtronic PLC   529,397 
           
     Sweden:  2.6%     
 52,780   Atlas Copco   498,373 
           
     Switzerland:  8.6%     
 20,822   ABB Ltd.   544,449 
 4,904   Nestle SA   532,199 
 1,748   Roche Holding AG   573,012 
         1,649,660 
     Taiwan:  2.5%     
 6,894   Taiwan Semiconductor Manufacturing Co., Ltd.   472,653 
           
     United Kingdom:  8.5%     
 13,253   Diageo PLC   561,865 
 7,768   Reckitt Benckiser Group PLC   518,250 
 12,595   Unilever PLC   558,083 
         1,638,198 
     United States:  55.4%     
 3,961   AbbVie Inc.   531,606 
 10,613   Aflac Inc.   596,451 
 3,506   Arthur J Gallagher & Co.   600,297 
 935   BlackRock Inc.   514,512 
 1,160   Broadcom Inc.   515,052 
 13,418   Cisco Systems Inc.   536,720 
 2,910   CME Group Inc.   515,448 
 4,340   Eaton Corp. PLC   578,782 
 6,370   Emerson Electric Co.   466,411 
 3,107   Illinois Tool Works Inc.   561,279 
 3,450   Johnson & Johnson   563,592 
 2,299   Microsoft Corp.   535,437 
 9,640   Mondelez International Inc.   528,561 
 8,219   Otis Worldwide Corp.   524,372 

 

 

Shares   Common Stocks:  96.9%  Value ($) 
     Common Stocks (Continued)     
     United States (Continued)     
 4,896   Paychex Inc.  $549,380 
 3,503   PepsiCo Inc.   571,900 
 4,132   Procter & Gamble Co/The   521,665 
 3,646   Texas Instruments Inc.   564,328 
 9,567   The Coca-Cola Co. - ADR   535,943 
 12,531   VF Corp.   374,802 
         10,686,538 
           
     Total Common Stocks (Cost $17,334,275)   18,691,198 
           
     Total Investments in Securities (Cost $17,334,275): 96.9%   18,691,198 
     Other Assets less Liabilities: 3.1%   591,600 
     Net Assets: 100.0%  $19,282,798 

 

ADR - American Depository Receipt

PLC - Public Limited Company