UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
20549
FORM 8-A
FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT TO SECTION 12(b) OR (g) OF THE
SECURITIES EXCHANGE ACT OF 1934
| GUINNESS ATKINSON FUNDS |
| (Exact name of registrant as specified in its charter) |
| | |
| Delaware | 85-3275384 |
| (State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) |
| | |
225 South Lake Avenue, Suite 216 Pasadena, California | 91101 |
| (Address of principal executive offices) | (Zip Code) |
Securities to be registered pursuant to Section 12(b) of the Act:
| Title of each class to be so registered | Name of each exchange on which each class is to be registered |
Shares of beneficial interest, no par value of
SmartETFs Sustainable Energy II ETF | Cboe BZX Exchange, Inc. |
If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c) or (e), check the following box. [X]
If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d) or (e), check the following box. [ ]
If this form relates to the registration of a class of securities concurrently with a Regulation A offering, check the following box. [ ]
Securities Act registration statement or Regulation A offering statement file number to which this form relates:
33-75340
Securities to be registered pursuant to Section 12(g) of the Act:
None
Item 1. Description of Registrant’s Securities to be Registered.
The securities to be registered hereunder are common shares of beneficial interest, no par value per share, of the SmartETFs Sustainable Energy II ETF (the “Fund”), a series of the Guinness Atkinson Funds (the “Registrant”). An application for listing of the shares of the Fund has been filed with and approved by Cboe BZX Exchange, Inc. A description of the Shares is contained in the Prospectus, which is part of the Registrant’s Registration Statement on Form N-1A under the Securities Act of 1933, as amended (File Nos. 33-75340; 811-08360) filed with the Securities and Exchange Commission on October 30, 2020. Such description is incorporated by reference herein. Any form of supplement to the Registration Statement that is subsequently filed is hereby also incorporated by reference herein.
Item 2. Exhibits.
Pursuant to the Instructions as to Exhibits of Form 8-A, no exhibits are filed herewith or incorporated by reference.
SIGNATURE
Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereto duly authorized.
| | Guinness Atkinson Funds, on behalf of SmartETFs Sustainable Energy II ETF | |
| | | | |
| | | | |
| November 5, 2020 | | /s/ James Atkinson | |
| | Name: | James Atkinson | |
| | Title: | President | |
