0001398344-23-021977.txt : 20231129 0001398344-23-021977.hdr.sgml : 20231129 20231129153904 ACCESSION NUMBER: 0001398344-23-021977 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: 231451964 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 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 251 South Lake Ave SUITE 800 Pasadena 91101 626-914-1041 SmartETFs Dividend Builder ETF S000069135 549300LDFVCSRZU8VI59 2023-12-31 2023-09-30 N 28440285.02 182149.86 28258135.16 0 0 0 0 0 0 0 0 0 0 0 0 0 535420.99 N ABB LTD-REG /CHF/ N/A COMMON STOCK H0010V101 21165 NS 758411.54 2.68 Long EC CORP CH N 1 N N N ABBVIE INC N/A COMMON STOCK 00287Y109 5984 NS USD 891975.04 3.16 Long EC CORP US N 1 N N N AFLAC INC N/A COMMON STOCK 001055102 12117 NS USD 929979.75 3.29 Long EC CORP US N 1 N N N ARTHUR J GALLAGHER & CO N/A COMMON STOCK 363576109 3913 NS USD 891890.09 3.16 Long EC CORP US N 1 N N N ATLAS COPCO AB-A SHS /SEK/ N/A COMMON STOCK W1R924252 59730 NS 805034.42 2.85 Long EC CORP SE N 1 N N N BLACKROCK INC N/A COMMON STOCK 09247X101 1095 NS USD 707906.55 2.51 Long EC CORP US N 1 N N N BROADCOM INC N/A COMMON STOCK 11135F101 936 NS USD 777422.88 2.75 Long EC CORP US N 1 N N N CISCO SYSTEMS INC N/A COMMON STOCK 17275R102 15683 NS USD 843118.08 2.98 Long EC CORP US N 1 N N N CME GROUP INC N/A COMMON STOCK 12572Q105 4259 NS USD 852736.98 3.02 Long EC CORP US N 1 N N N COCA-COLA CO/THE N/A COMMON STOCK 191216100 13643 NS USD 763735.14 2.7 Long EC CORP US N 1 N N N DANONE /EUR/ N/A COMMON STOCK F12033134 14486 NS 800416.63 2.83 Long EC CORP FR N 1 N N N DEUTSCHE BOERSE AG /EUR/ N/A COMMON STOCK D1882G119 4449 NS 770032.94 2.72 Long EC CORP DE N 1 N N N DIAGEO PLC /GBP/ N/A COMMON STOCK G42089113 19531 NS 723054.55 2.56 Long EC CORP GB N 1 N N N EATON CORP PLC N/A COMMON STOCK G29183103 4256 NS USD 907719.68 3.21 Long EC CORP IE N 1 N N N EMERSON ELECTRIC CO N/A COMMON STOCK 291011104 9627 NS USD 929679.39 3.29 Long EC CORP US N 1 N N N HENKEL AG & CO KGAA /EUR/ N/A COMMON STOCK D3207M110 10835 NS 772811.31 2.73 Long EC CORP DE N 1 N N N ILLINOIS TOOL WORKS N/A COMMON STOCK 452308109 3440 NS USD 792266.4 2.8 Long EC CORP US N 1 N N N JOHNSON & JOHNSON N/A COMMON STOCK 478160104 5011 NS USD 780463.25 2.76 Long EC CORP US N 1 N N N MEDTRONIC PLC N/A COMMON STOCK G5960L103 9864 NS USD 772943.04 2.74 Long EC CORP IE N 1 N N N MICROSOFT CORP N/A COMMON STOCK 594918104 2381 NS USD 751800.75 2.66 Long EC CORP US N 1 N N N MONDELEZ INTERNATIONAL INC-A N/A COMMON STOCK 609207105 11404 NS USD 791437.6 2.8 Long EC CORP US N 1 N N N NESTLE SA-REG /CHF/ N/A COMMON STOCK H57312649 6490 NS 735535.7 2.6 Long EC CORP CH N 1 N N N NOVO NORDISK A/S-B /DKK/ N/A COMMON STOCK K72807140 10376 NS 947070.15 3.35 Long EC CORP DK N 1 N N N OTIS WORLDWIDE CORP N/A COMMON STOCK 68902V107 9832 NS USD 789607.92 2.79 Long EC CORP US N 1 N N N PAYCHEX INC N/A COMMON STOCK 704326107 7429 NS USD 856786.57 3.03 Long EC CORP US N 1 N N N PEPSICO INC N/A COMMON STOCK 713448108 4212 NS USD 713681.28 2.53 Long EC CORP US N 1 N N N PROCTER & GAMBLE CO/THE N/A COMMON STOCK 742718109 5626 NS USD 820608.36 2.9 Long EC CORP US N 1 N N N RECKITT BENCKISER GROUP /GBP/ N/A COMMON STOCK G74079107 10636 NS 751948.03 2.66 Long EC CORP GB N 1 N N N ROCHE HOLDING AG-GENUSSC /CHF/ N/A COMMON STOCK H69293217 2730 NS 746958.54 2.64 Long EC CORP CH N 1 N N N SCHNEIDER ELEC SA /EUR/ N/A COMMON STOCK F86921107 4604 NS 764148.66 2.7 Long EC CORP FR N 1 N N N SONIC HEALTHCARE LTD /AUD/ N/A COMMON STOCK Q8563C107 36342 NS 696255.28 2.46 Long EC CORP AU N 1 N N N TAIWAN SEMICONDUCTOR-SP ADR N/A COMMON STOCK 874039100 7911 NS USD 687465.9 2.43 Long EC CORP TW N 1 N N N TEXAS INSTRUMENTS INC N/A COMMON STOCK 882508104 4699 NS USD 747187.99 2.64 Long EC CORP US N 1 N N N UNILEVER PLC /GBP/ N/A COMMON STOCK G92087165 15080 NS 747433 2.65 Long EC CORP GB N 1 N N N VF CORP N/A COMMON STOCK 918204108 42707 NS USD 754632.69 2.67 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 fp0085428-11_nportex.htm

SmartETFs Dividend Builder ETF

Schedule of Investments

at September 30, 2023 (Unaudited)

 

Shares   Common Stocks:  98.3%  Value 
    Australia:  2.5%    
 36,342   Sonic Healthcare Ltd.  $696,255 
           
     Denmark:  3.3%     
 10,376   Novo Nordisk A/S   947,070 
           
     France:  5.5%     
 14,486   Danone SA   800,417 
 4,604   Schneider Electric SE   764,149 
         1,564,566 
     Germany:  5.5%     
 4,449   Deutsche Boerse AG   770,033 
 10,835   Henkel AG & Company KGaA   772,811 
         1,542,844 
     Ireland:  2.7%     
 9,864   Medtronic PLC   772,943 
           
     Sweden:  2.9%     
 59,730   Atlas Copco   805,034 
           
     Switzerland:  7.9%     
 21,165   ABB Ltd.   758,411 
 6,490   Nestle SA   735,536 
 2,730   Roche Holding AG   746,958 
         2,240,905 
     Taiwan:  2.4%     
 7,911   Taiwan Semiconductor Manufacturing Co., Ltd.   687,466 
           
     United Kingdom:  7.9%     
 19,531   Diageo PLC   723,055 
 10,636   Reckitt Benckiser Group PLC   751,948 
 15,080   Unilever PLC   747,433 
         2,222,436 
     United States:  57.7%     
 5,984   AbbVie Inc.   891,975 
 12,117   Aflac Inc.   929,980 
 3,913   Arthur J Gallagher & Co.   891,890 
 1,095   BlackRock Inc.   707,907 
 936   Broadcom Inc.   777,423 
 15,683   Cisco Systems Inc.   843,118 
 4,259   CME Group Inc.   852,737 
 4,256   Eaton Corp. PLC   907,720 
 9,627   Emerson Electric Co.   929,679 
 3,440   Illinois Tool Works Inc.   792,266 
 5,011   Johnson & Johnson   780,463 
 2,381   Microsoft Corp.   751,801 
 11,404   Mondelez International Inc.   791,438 
 9,832   Otis Worldwide Corp.   789,608 

   

 

SmartETFs Dividend Builder ETF

Schedule of Investments

at September 30, 2023 (Unaudited)

 

Shares   Common Stocks:  98.3%  Value 
    Common Stocks (Continued)    
    United States (Continued)    
 7,429   Paychex Inc.  $856,787 
 4,212   PepsiCo Inc.   713,681 
 5,626   Procter & Gamble Co/The   820,608 
 4,699   Texas Instruments Inc.   747,188 
 13,643   The Coca-Cola Co. - ADR   763,735 
 42,707   VF Corp.   754,633 
         16,294,637 
           
     Total Common Stocks (Cost $23,269,799)   27,774,156 
           
     Total Investments in Securities (Cost $23,269,799): 98.3%   27,774,156 
     Other Assets less Liabilities: 1.7%   483,979 
     Total Net Assets - 100.0%  $28,258,135 

 

ADR - American Depository Receipt

PLC - Public Limited Company