Chief Compliance Officer

0001104659-20-009071.txt : 20200131 0001104659-20-009071.hdr.sgml : 20200131 20200131101234 ACCESSION NUMBER: 0001104659-20-009071 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200131 DATE AS OF CHANGE: 20200131 EFFECTIVENESS DATE: 20200131 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ARK Investment Management LLC CENTRAL INDEX KEY: 0001697748 IRS NUMBER: 464309299 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17768 FILM NUMBER: 20563654 BUSINESS ADDRESS: STREET 1: 3 EAST 28TH STREET, 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 212-426-7040 MAIL ADDRESS: STREET 1: 3 EAST 28TH STREET, 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10016 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001697748 XXXXXXXX 12-31-2019 12-31-2019 false ARK Investment Management LLC

3 East 28th Street, 7th Floor New York NY 10016

13F HOLDINGS REPORT 028-17768 N Kellen Carter Chief Compliance Officer 212-426-7040 /s/ Kellen Carter New York NY 01-31-2020 0 218 3964830 INFORMATION TABLE 2 infotable.xml Adobe Inc Common Stock 00724F101 7911 23986 SH SOLE 23986 0 0 Aerojet Rocketdyne Holdings In Common Stock 007800105 288 6308 SH SOLE 6308 0 0 Advanced Micro Devices Inc Common Stock 007903107 8715 190039 SH SOLE 190039 0 0 AeroVironment Inc Common Stock 008073108 11288 182832 SH SOLE 101984 0 80848 Alibaba Group Holding Ltd ADR 01609W102 32259 152094 SH SOLE 112503 10741 28850 Align Technology Inc Common Stock 016255101 533 1911 SH SOLE 1911 0 0 Allegheny Technologies Inc Common Stock 01741R102 41 1995 SH SOLE 1995 0 0 Alphabet Inc Common Stock 02079K305 2760 2061 SH SOLE 2061 0 0 Altair Engineering Inc Common Stock 021369103 997 27758 SH SOLE 27758 0 0 Amazon.com Inc Common Stock 023135106 20796 11254 SH SOLE 9508 0 1746 AMETEK Inc Common Stock 031100100 461 4621 SH SOLE 4621 0 0 ANSYS Inc Common Stock 03662Q105 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Inc Common Stock 15117P102 6689 411880 SH SOLE 411880 0 0 Cerus Corp Common Stock 157085101 39737 9416460 SH SOLE 7558293 165930 1692237 Cloudera Inc Common Stock 18914U100 16144 1388111 SH SOLE 909618 0 478493 Codexis Inc Common Stock 192005106 10935 683855 SH SOLE 675727 8128 0 Cognex Corp Common Stock 192422103 2614 46649 SH SOLE 46649 0 0 Conformis Inc Common Stock 20717E101 638 425240 SH SOLE 425240 0 0 Deere & Co Common Stock 244199105 1885 10880 SH SOLE 10880 0 0 DuPont de Nemours Inc Common Stock 26614N102 40 617 SH SOLE 617 0 0 Eastman Chemical Co Common Stock 277432100 45 563 SH SOLE 563 0 0 Eastman Kodak Co Common Stock 277461406 79 17072 SH SOLE 17072 0 0 Editas Medicine Inc Common Stock 28106W103 131684 4447277 SH SOLE 3397873 322639 726765 Eventbrite Inc Common Stock 29975E109 37638 1866050 SH SOLE 1498299 126554 241197 ExOne Co/The Common Stock 302104104 17686 2370763 SH SOLE 1989944 0 380819 FLIR Systems Inc Common Stock 302445101 2408 46253 SH SOLE 46253 0 0 Facebook Inc Common Stock 30303M102 1028 5010 SH SOLE 5010 0 0 FARO Technologies Inc Common Stock 311642102 435 8640 SH SOLE 8640 0 0 Fate Therapeutics Inc Common Stock 31189P102 8437 431128 SH SOLE 431128 0 0 General Electric Co Common Stock 369604103 372 33337 SH SOLE 33337 0 0 General Motors Co Common Stock 37045V100 1517 41437 SH SOLE 41437 0 0 Grayscale Bitcoin Trust BTC Open-End Fund 389637109 19241 2349322 SH SOLE 1064987 472999 811336 Guardant Health Inc Common Stock 40131M109 11862 151807 SH SOLE 151807 0 0 Guidewire Software Inc Common Stock 40171V100 1825 16630 SH SOLE 16630 0 0 HDFC Bank Ltd ADR 40415F101 2059 32498 SH SOLE 32498 0 0 HP Inc Common Stock 40434L105 2443 118859 SH SOLE 118859 0 0 Hexcel Corp Common Stock 428291108 39 534 SH SOLE 534 0 0 HubSpot Inc Common Stock 443573100 9443 59580 SH SOLE 59580 0 0 Illumina Inc Common Stock 452327109 241420 727740 SH SOLE 559556 51573 116611 Incyte Corp Common Stock 45337C102 11778 134882 SH SOLE 134882 0 0 Inovio Pharmaceuticals Inc 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M19199112 347 696776 SH SOLE 696776 0 0 Enlivex Therapeutics Ltd Common Stock M4130Y106 323 38536 SH SOLE 38536 0 0 Inmode Ltd Common Stock M5425M103 540 13786 SH SOLE 13786 0 0 Perion Network Ltd Common Stock M78673114 426 68451 SH SOLE 68451 0 0 Silvergate Capital Corp Common Stock 82837P408 246 15471 SH SOLE 15471 0 0 Zip Co Ltd Common Stock Q9899L134 390 156718 SH SOLE 156718 0 0 Cornerstone OnDemand Inc Common Stock 21925Y103 834 14243 SH SOLE 14243 0 0 Alteryx Inc Common Stock 02156B103 5744 57396 SH SOLE 57396 0 0 Meituan Dianping ADR 58533E103 372 14389 SH SOLE 14389 0 0 Z Holdings Corp Common Stock J9894K105 1292 305100 SH SOLE 305100 0 0 Sea Ltd ADR 81141R100 2702 67191 SH SOLE 67191 0 0 Z Holdings Corp ADR 98877X101 210 24935 SH SOLE 24935 0 0