COMMON STOCK

0001398344-23-021974.txt : 20231129 0001398344-23-021974.hdr.sgml : 20231129 20231129153904 ACCESSION NUMBER: 0001398344-23-021974 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: 231451965 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 S000069134 SmartETFs Asia Pacific Dividend Builder ETF

C000220961 SmartETFs Asia Pacific Dividend Builder ETF ADIV

NPORT-P 1 primary_doc.xml NPORT-P false 0000919160 XXXXXXXX S000069134 C000220961 GUINNESS ATKINSON FUNDS 811-08360 0000919160 54930097560RK2KMX577 251 South Lake Ave SUITE 800 Pasadena 91101 626-914-1041 SmartETFs Asia Pacific Dividend Builder ETF S000069134 5493006E0KSEBGDM0P72 2023-12-31 2023-09-30 N 3184578.8 87321.56 3097257.24 0 0 0 0 0 0 0 0 0 0 0 0 0 87652.5 N AFLAC INC N/A COMMON STOCK 001055102 1254 NS USD 96244.5 3.11 Long EC CORP US N 1 N N N BOC HONG KONG HOLDINGS L /HKD/ N/A COMMON STOCK Y0920U103 28500 NS 78067.23 2.52 Long EC CORP HK N 1 N N N BROADCOM INC N/A COMMON STOCK 11135F101 102 NS USD 84719.16 2.74 Long EC CORP US N 1 N N N CAPITALAND ASCENDAS REIT /SGD/ N/A REIT - Real Estate Invesment Trust Y0205X103 44054 NS 88620.39 2.86 Long EC CORP SG N 1 N N N CAPITALAND INTEGRATED CO /SGD/ N/A REIT - Real Estate Invesment Trust Y1100L160 58400 NS 79031.49 2.55 Long EC CORP SG N 1 N N N CATCHER TECHNOLOGY CO LT /TWD/ N/A COMMON STOCK Y1148A101 14000 NS 79202.7 2.56 Long EC CORP TW N 1 N N N CHINA CONSTRUCTION BANK- /HKD/ N/A COMMON STOCK Y1397N101 151000 NS 85230.66 2.75 Long EC CORP CN N 1 N N N CHINA MEDICAL SYSTEM HOL /HKD/ N/A COMMON STOCK G21108124 55000 NS 83299.81 2.69 Long EC CORP KY N 1 N N N CHINA MERCHANTS BANK-H /HKD/ N/A COMMON STOCK Y14896115 20000 NS 83516.9 2.7 Long EC CORP CN N 1 N N N CHINA OVERSEAS LAND & IN /HKD/ N/A COMMON STOCK Y15004107 37500 NS 77770.33 2.51 Long EC CORP HK N 1 N N N CHINA RESOURCES GAS GROU /HKD/ N/A COMMON STOCK G2113B108 24100 NS 70631.17 2.28 Long EC CORP BM N 1 N N N CORPORATE TRAVEL MANAGEM /AUD/ N/A COMMON STOCK Q2909K105 6545 NS 70901.1 2.29 Long EC CORP AU N 1 N N N DBS GROUP HOLDINGS LTD /SGD/ N/A COMMON STOCK Y20246107 3786 NS 93164.87 3.01 Long EC CORP SG N 1 N N N ELITE MATERIAL CO LTD /TWD/ N/A COMMON STOCK Y2290G102 11000 NS 145943.77 4.71 Long EC CORP TW N 1 N N N HANON SYSTEMS /KRW/ N/A COMMON STOCK Y29874107 11968 NS 83356.91 2.69 Long EC CORP KR N 1 N N N HON HAI PRECISION INDUST /TWD/ N/A COMMON STOCK Y36861105 26517 NS 85488.33 2.76 Long EC CORP TW N 1 N N N IND & COMM BK OF CHINA-H /HKD/ N/A COMMON STOCK Y3990B112 183000 NS 88102.67 2.84 Long EC CORP CN N 1 N N N INNER MONGOLIA YILI INDU /CNY/ N/A COMMON STOCK Y40847108 21100 NS 76710.98 2.48 Long EC CORP CN N 1 N N N JB HI-FI LTD /AUD/ N/A COMMON STOCK Q5029L101 2715 NS 79279.4 2.56 Long EC CORP AU N 1 N N N KOREAN REINSURANCE CO /KRW/ N/A COMMON STOCK Y49391108 12638 NS 76997.16 2.49 Long EC CORP KR N 1 N N N LARGAN PRECISION CO LTD /TWD/ N/A COMMON STOCK Y52144105 1260 NS 83390.68 2.69 Long EC CORP TW N 1 N N N LINK REIT /HKD/ N/A REIT - Real Estate Invesment Trust Y5281M111 14977 NS 73443.39 2.37 Long EC CORP HK N 1 N N N METCASH LTD /AUD/ N/A COMMON STOCK Q6014C106 35970 NS 87412.93 2.82 Long EC CORP AU N 1 N N N NETEASE INC-ADR N/A COMMON STOCK 64110W102 917 NS USD 91846.72 2.97 Long EC CORP KY N 1 N N N NIEN MADE ENTERPRISE CO /TWD/ N/A COMMON STOCK Y6349P112 8800 NS 84565.55 2.73 Long EC CORP TW N 1 N N N NOVATEK MICROELECTRONICS /TWD/ N/A COMMON STOCK Y64153102 7500 NS 98344.65 3.18 Long EC CORP TW N 1 N N N PING AN INSURANCE GROUP /HKD/ N/A COMMON STOCK Y69790106 13500 NS 77320.18 2.5 Long EC CORP CN N 1 N N N PUBLIC BANK BERHAD /MYR/ N/A COMMON STOCK Y71497104 103600 NS 89583.3 2.89 Long EC CORP MY N 1 N N N QUALCOMM INC N/A COMMON STOCK 747525103 764 NS USD 84849.84 2.74 Long EC CORP US N 1 N N N SHENZHOU INTERNATIONAL G /HKD/ N/A COMMON STOCK G8087W101 10000 NS 95776.27 3.09 Long EC CORP KY N 1 N N N SONIC HEALTHCARE LTD /AUD/ N/A COMMON STOCK Q8563C107 3479 NS 66652.14 2.15 Long EC CORP AU N 1 N N N SUOFEIYA HOME COLLECTION /CNH/ N/A COMMON STOCK Y29336107 36900 NS 95773.23 3.09 Long EC CORP CN N 1 N N N TAIWAN SEMICONDUCTOR-SP ADR N/A COMMON STOCK 874039100 895 NS USD 77775.5 2.51 Long EC CORP TW N 1 N N N TECH MAHINDRA LTD /INR/ N/A COMMON STOCK Y85491127 6880 NS 101499.37 3.28 Long EC CORP IN N 1 N N N TISCO FINANCIAL-FOREIGN /THB/ N/A COMMON STOCK Y8843E171 31300 NS 84450.14 2.73 Long EC CORP TH N 1 N N N ZHEJIANG SUPOR COOKWARE /CNH/ N/A COMMON STOCK Y98925103 12094 NS 80347.13 2.59 Long EC CORP CN N 1 N N N 2023-11-29 GUINNESS ATKINSON FUNDS /s/ Lyna Phan Lyna Phan Assistant Treasurer XXXX NPORT-EX 2 fp0085428-8_nportex.htm

SmartETFs Asia Pacific Dividend Builder ETF

Schedule of Investments

at September 30, 2023 (Unaudited)

Shares		Common Stocks: 99.4%	Value
		Australia: 9.8%
	6,545	Corporate Travel Management Ltd.	$	70,901
	2,715	JB Hi-Fi Ltd.		79,279
	35,970	Metcash Ltd.		87,413
	3,479	Sonic Healthcare Ltd.		66,652
				304,245
		China: 32.5%
	151,000	China Construction Bank Corp. - H Shares		85,231
	55,000	China Medical System Holdings		83,300
	20,000	China Merchants Bank Co., Ltd. - H Shares		83,517
	37,500	China Overseas Land & Investment Ltd.		77,770
	24,100	China Resources Gas Group Ltd.		70,631
	183,000	Industrial and Commercial Bank of China Ltd. - H Shares		88,103
	21,100	Inner Mongolia Yili Industrial Group Co., Ltd. - A Shares		76,711
	917	NetEase Inc. - ADR		91,847
	13,500	Ping An Insurance Group Company of China Ltd. - H Shares		77,320
	10,000	Shenzhou International		95,776
	36,900	Suofeiya Home Collection - A Shares		95,773
	12,094	Zhejiang Supor Cookware - A Shares		80,347
				1,006,326
		Hong Kong: 4.9%
	28,500	BOC Hong Kong Holdings Ltd.		78,067
	14,977	Link REIT/The		73,443
				151,510
		India: 3.3%
	6,880	Tech Mahindra LTD		101,499

		Malaysia: 2.9%
	103,600	Public Bank Bhd		89,583

		Singapore: 8.4%
	44,054	Capland Ascendas - REIT		88,620
	58,400	CapitaLand Integrated Commercial Trust - REIT		79,032
	3,786	DBS Group Holdings Ltd.		93,165
				260,817
		South Korea: 5.2%
	11,968	Hanon Systems		83,357
	12,638	Korean Reinsurance Co		76,997
				160,354

SmartETFs Asia Pacific Dividend Builder ETF

Schedule of Investments

at September 30, 2023 (Unaudited)

Shares		Common Stocks: 99.4%	Value
		Taiwan: 21.1%
	14,000	Catcher Technology Co., Ltd.	$	79,203
	11,000	Elite Material Co., Ltd.		145,944
	26,517	Hon Hai Precision Industry Co., Ltd.		85,488
	1,260	Largan Precision Co., Ltd.		83,391
	8,800	Nien Made Enterprise Co., Ltd.		84,566
	7,500	Novatek Microelectronics Corp.		98,345
	895	Taiwan Semiconductor Manufacturing Co., Ltd.		77,776
				654,713

		Thailand: 2.7%
	31,300	Tisco Financial Group PCL/Foreign		84,450

		United States: 8.6%
	1,254	Aflac Inc.		96,245
	102	BROADCOM INC.		84,719
	764	QUALCOMM Inc.		84,850
				265,814

		Total Common Stocks (Cost $2,810,973)		3,079,311

		Total Investments (Cost $2,810,973): 99.4%		3,079,311
		Other Assets in Excess of Liabilities - 0.6%		18,045
		Total Net Assets - 100.0%	$	3,097,356

ADR - American Depository Receipt

PCL - Public Company Limited

REIT - Real Estate Investment Trust