0001398344-23-021971.txt : 20231129 0001398344-23-021971.hdr.sgml : 20231129 20231129153903 ACCESSION NUMBER: 0001398344-23-021971 CONFORMED SUBMISSION TYPE: NPORT-P PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230930 FILED AS OF DATE: 20231129 DATE AS OF CHANGE: 20231129 PERIOD START: 20231231 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: 231451959 BUSINESS ADDRESS: STREET 1: 251 SOUTH LAKE AVE STREET 2: SUITE 800 CITY: PASADENA STATE: CA ZIP: 91101 BUSINESS PHONE: 626-914-1041 MAIL ADDRESS: STREET 1: 251 SOUTH LAKE AVE STREET 2: SUITE 800 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 S000005895 Guinness Atkinson Global Innovators Fund C000016119 Guinness Atkinson Global Innovators Fund - Investor Class IWIRX C000161072 Guinness Atkinson Global Innovators Fund - Institutional Class GINNX NPORT-P 1 primary_doc.xml NPORT-P false 0000919160 XXXXXXXX S000005895 C000016119 C000161072 GUINNESS ATKINSON FUNDS 811-08360 0000919160 54930097560RK2KMX577 251 South Lake Ave SUITE 800 Pasadena 91101 626-914-1041 Guinness Atkinson Global Innovators Fund S000005895 5493002JATDIWELU2P62 2023-12-31 2023-09-30 N 159735171.86 234699.97 159500471.89 0 0 0 0 0 0 0 0 0 0 0 0 0 1052984.65 N ABB LTD-REG /CHF/ N/A COMMON STOCK H0010V101 168440 NS 6035759 3.78 Long EC CORP CH N 1 N N N ADOBE INC N/A COMMON STOCK 00724F101 9795 NS USD 4994470.5 3.13 Long EC CORP US N 1 N N N ALPHABET INC-CL A N/A COMMON STOCK 02079K305 41730 NS USD 5460787.8 3.42 Long EC CORP US N 1 N N N AMAZON.COM INC N/A COMMON STOCK 023135106 34200 NS USD 4347504 2.73 Long EC CORP US N 1 N N N AMPHENOL CORP-CL A N/A COMMON STOCK 032095101 74928 NS USD 6293202.72 3.95 Long EC CORP US N 1 N N N ANTA SPORTS PRODUCTS LTD /HKD/ N/A COMMON STOCK G04011105 514000 NS 5786048.59 3.63 Long EC CORP KY N 1 N N N APPLE INC N/A COMMON STOCK 037833100 30481 NS USD 5218652.01 3.27 Long EC CORP US N 1 N N N APPLIED MATERIALS INC N/A COMMON STOCK 038222105 42584 NS USD 5895754.8 3.7 Long EC CORP US N 1 N N N COMCAST CORP-CLASS A N/A COMMON STOCK 20030N101 103234 NS USD 4577395.56 2.87 Long EC CORP US N 1 N N N DANAHER CORP N/A COMMON STOCK 235851102 18602 NS USD 4615156.2 2.89 Long EC CORP US N 1 N N N INFINEON TECHNOLOGIES AG /EUR/ N/A COMMON STOCK D35415104 135944 NS 4506766.59 2.83 Long EC CORP DE N 1 N N N INTERCONTINENTAL EXCHANGE IN N/A COMMON STOCK 45866F104 48523 NS USD 5338500.46 3.35 Long EC CORP US N 1 N N N INTUIT INC N/A COMMON STOCK 461202103 11844 NS USD 6051573.36 3.79 Long EC CORP US N 1 N N N KLA CORP N/A COMMON STOCK 482480100 12979 NS USD 5952948.14 3.73 Long EC CORP US N 1 N N N LAM RESEARCH CORP N/A COMMON STOCK 512807108 9657 NS USD 6052717.89 3.79 Long EC CORP US N 1 N N N MASTERCARD INC - A N/A COMMON STOCK 57636Q104 16115 NS USD 6380089.65 4 Long EC CORP US N 1 N N N MEDTRONIC PLC N/A COMMON STOCK G5960L103 43317 NS USD 3394320.12 2.13 Long EC CORP IE N 1 N N N META PLATFORMS INC-CLASS A N/A COMMON STOCK 30303M102 18631 NS USD 5593212.51 3.51 Long EC CORP US N 1 N N N MICROSOFT CORP N/A COMMON STOCK 594918104 19967 NS USD 6304580.25 3.95 Long EC CORP US N 1 N N N NIKE INC -CL B N/A COMMON STOCK 654106103 38964 NS USD 3725737.68 2.34 Long EC CORP US N 1 N N N NOVO NORDISK A/S-B /DKK/ N/A COMMON STOCK K72807140 41822 NS 3817306.09 2.39 Long EC CORP DK N 1 N N N NVIDIA CORP N/A COMMON STOCK 67066G104 16349 NS USD 7111651.51 4.46 Long EC CORP US N 1 N N N PAYPAL HOLDINGS INC N/A COMMON STOCK 70450Y103 73409 NS USD 4291490.14 2.69 Long EC CORP US N 1 N N N ROPER TECHNOLOGIES INC N/A COMMON STOCK 776696106 12505 NS USD 6055921.4 3.8 Long EC CORP US N 1 N N N SALESFORCE INC N/A COMMON STOCK 79466L302 27007 NS USD 5476479.46 3.43 Long EC CORP US N 1 N N N SCHNEIDER ELEC SA /EUR/ N/A COMMON STOCK F86921107 33674 NS 5589040.4 3.5 Long EC CORP FR N 1 N N N TAIWAN SEMICONDUCTOR-SP ADR N/A COMMON STOCK 874039100 50633 NS USD 4400007.7 2.76 Long EC CORP TW N 1 N N N THERMO FISHER SCIENTIFIC INC N/A COMMON STOCK 883556102 9821 NS USD 4971095.57 3.12 Long EC CORP US N 1 N N N VISA INC-CLASS A SHARES N/A COMMON STOCK 92826C839 25051 NS USD 5761980.51 3.61 Long EC CORP US N 1 N N N ZOOM VIDEO COMMUNICATIONS-A N/A COMMON STOCK 98980L101 59538 NS USD 4164087.72 2.61 Long EC CORP US N 1 N N N 2023-11-29 GUINNESS ATKINSON FUNDS /s/ Lyna Phan Lyna Phan Assistant Treasurer XXXX NPORT-EX 2 fp0085428-5_nportex.htm

GUINNESS ATKINSON GLOBAL INNOVATORS FUND

Schedule of Investments

at September 30, 2023 (Unaudited)

 

Shares   Common Stocks:  99.1%  Value 
    Application Software:  13.8%    
 11,844   Intuit Inc.  $6,051,573 
 19,967   Microsoft Corp.   6,304,580 
 27,007   Salesforce Inc.*   5,476,479 
 59,538   Zoom Video Communications*   4,164,088 
         21,996,720 
     Athletic Footwear:  2.3%     
 38,964   NIKE Inc.   3,725,738 
           
     Cable/Satellite TV:  2.9%     
 103,234   Comcast Corp. - Class A   4,577,395 
           
     Commercial Services:  2.7%     
 73,409   PayPal Holdings, Inc.*   4,291,490 
           
     Computers:  3.3%     
 30,481   Apple Inc.   5,218,652 
           
     Diversified Manufacturing Operations: 6.0%     
 18,602   Danaher Corp.   4,615,156 
 9,821   Thermo Fisher Scientific Inc.   4,971,096 
         9,586,252 
     E-Commerce:  2.7%     
 34,200   Amazon.com Inc.*   4,347,504 
           
     Electronic Components - Semiconductor:  11.2%     
 74,928   Amphenol Corporation   6,293,203 
 135,944   Infineon Technologies AG   4,506,766 
 16,349   NVIDIA Corp.   7,111,652 
         17,911,621 
     Enterprise Software/Services: 3.1%     
 9,795   Adobe Inc.*   4,994,471 
           
     Finance - Other Services:  11.0%     
 48,523   Intercontinental Exchange, Inc.   5,338,500 
 16,115   Mastercard Inc .   6,380,090 
 25,051   Visa Inc.   5,761,981 
         17,480,571 
     Internet Content:  3.5%     
 18,631   Meta Platforms Inc. - Class A*   5,593,213 
   

 

GUINNESS ATKINSON GLOBAL INNOVATORS FUND

Schedule of Investments

at September 30, 2023 (Unaudited)

 

Shares   Common Stocks:  99.1%  Value 
    Machinery - Electric Utility:  3.8%    
 168,440   ABB Ltd.   6,035,759 
           
     Machinery:  3.8%     
 12,505   Roper Industries, Inc.   6,055,921 
           
     Metal Instrument:  2.1%     
 43,317   Medtronic PLC   3,394,320 
           
     Pharmaceutical: 2.4%     
 41,822   Novo Nordisk A/S   3,817,306 
           
     Power Conversion/Supply Equipment: 3.5%     
 33,674   Schneider Electric SE   5,589,040 
           
     Retail - Apparel:  3.6%     
 514,000   ANTA Sports Products Ltd.   5,786,048 
           
     Semiconductor:  14.0%     
 42,584   Applied Materials Inc.   5,895,755 
 12,979   KLA-Tencor Corp.   5,952,948 
 9,657   Lam Research Corp.   6,052,718 
 50,633   Taiwan Semiconductor - ADR   4,400,008 
         22,301,429 
     Web Portals: 3.4%     
 41,730   Alphabet Inc. - A Shares*   5,460,788 
           
     Total Common Stocks  $158,164,238 
     (cost $91,985,798)     
           
     Total Investments in Securities   158,164,238 
     (cost $91,985,798): 99.1%     
           
     Other Assets less Liabilities:  0.9%   1,383,985 
           
     Net Assets: 100.0%  $159,548,223 

 

*Non-income producing security.

ADR - American Depository Receipt

PLC - Public Limited Company