Chief Compliance Officer

0001104659-20-119777.txt : 20201030 0001104659-20-119777.hdr.sgml : 20201030 20201030092111 ACCESSION NUMBER: 0001104659-20-119777 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201030 DATE AS OF CHANGE: 20201030 EFFECTIVENESS DATE: 20201030 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: 201275410 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 09-30-2020 09-30-2020 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 10-30-2020 0 223 16861030 INFORMATION TABLE 2 infotable.xml Adobe Inc Common Stock 00724F101 24820 50608 SH SOLE 50608 0 0 Aerojet Rocketdyne Holdings In Common Stock 007800105 424 10640 SH SOLE 10640 0 0 AeroVironment Inc Common Stock 008073108 12094 201537 SH SOLE 201537 0 0 Alibaba Group Holding Ltd ADR 01609W102 75662 257372 SH SOLE 241645 14932 795 Align Technology Inc Common Stock 016255101 613 1872 SH SOLE 1872 0 0 Allegheny Technologies Inc Common Stock 01741R102 53 6111 SH SOLE 6111 0 0 Alphabet Inc Common Stock 02079K107 21822 14849 SH SOLE 14849 0 0 Altair Engineering Inc Common Stock 021369103 2249 53575 SH SOLE 53575 0 0 Amazon.com Inc Common Stock 023135106 76407 24266 SH SOLE 24266 0 0 AMETEK Inc Common Stock 031100100 626 6300 SH SOLE 6300 0 0 ANSYS Inc Common Stock 03662Q105 9159 27988 SH SOLE 27988 0 0 Apple Inc Common Stock 037833100 26627 229924 SH SOLE 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114015 SH SOLE 114015 0 0 Bitcoin Fund/The Closed-End Fund 09175G104 4655 313436 SH SOLE 0 0 313436 Schrodinger Inc/United States Common Stock 80810D103 24564 517035 SH SOLE 517035 0 0 Slack Technologies Inc Common Stock 83088V102 377234 14044461 SH SOLE 11950750 1476112 617599 TCS Group Holding PLC GDR 87238U203 6419 242678 SH SOLE 242678 0 0 Phreesia Inc Common Stock 71944F106 16470 512590 SH SOLE 512590 0 0 Virgin Galactic Holdings Inc Common Stock 92766K106 9719 505397 SH SOLE 505397 0 0 Workhorse Group Inc Common Stock 98138J206 18451 729863 SH SOLE 729863 0 0 Adyen NV ADR 00783V104 26257 708698 SH SOLE 708698 0 0 Cie Generale des Etablissement Common Stock F61824144 407 3786 SH SOLE 3786 0 0 voestalpine AG Common Stock A9101Y103 72 2715 SH SOLE 2715 0 0 Yeahka Ltd Common Stock G9835C108 6779 1106000 SH SOLE 1106000 0 0 Accolade Inc Common Stock 00437E102 23073 593584 SH SOLE 593584 0 0 Berkeley Lights Inc Common Stock 084310101 6592 86332 SH SOLE 86332 0 0 Vertex Pharmaceuticals Inc Common Stock 92532F100 26491 97352 SH SOLE 97352 0 0 BYD Co Ltd ADR 05606L100 21463 665516 SH SOLE 665516 0 0 Ayala Pharmaceuticals Inc Common Stock 05465V108 139 12063 SH SOLE 12063 0 0 Biondvax Pharmaceuticals Ltd ADR 09073Q105 776 19856 SH SOLE 19856 0 0 Kamada Ltd Common Stock M6240T109 793 92818 SH SOLE 92818 0 0 BATM Advanced Communications Common Stock M19199112 699 494663 SH SOLE 494663 0 0 Gamida Cell Ltd Common Stock M47364100 774 186415 SH SOLE 186415 0 0 Gilat Satellite Networks Ltd Common Stock M51474118 862 158212 SH SOLE 158212 0 0 PolyPid Ltd Common Stock M8001Q118 445 40433 SH SOLE 40433 0 0 Silicom Ltd Common Stock M84116108 705 21763 SH SOLE 21763 0 0 Nintendo Co Ltd ADR 654445303 110412 1557294 SH SOLE 1348136 142660 66498 Organovo Holdings Inc Common Stock 68620A203 11251 1422394 SH SOLE 1418866 3528 0 Surface Oncology Inc Common Stock 86877M209 3133 454069 SH SOLE 454069 0 0 Takeda Pharmaceutical Co Ltd ADR 874060205 20628 1156297 SH SOLE 1156297 0 0 Niu Technologies ADR 65481N100 7054 367407 SH SOLE 367407 0 0 Thermo Fisher Scientific Inc Common Stock 883556102 34 77 SH SOLE 77 0 0 Exact Sciences Corp Common Stock 30063P105 53952 529196 SH SOLE 529196 0 0 ARK Innovation ETF ETP 00214Q104 102 1110 SH SOLE 1110 0 0 Siemens Energy AG Common Stock D6T47E106 43 1587 SH SOLE 1587 0 0 Social Capital Hedosophia Hold Common Stock G8250T109 3793 199715 SH SOLE 199715 0 0 Snowflake Inc Common Stock 833445109 25 100 SH SOLE 100 0 0 Unity Software Inc Common Stock 91332U101 77714 890404 SH SOLE 819404 36600 34400