Chief Compliance Officer

0001144204-18-057760.txt : 20181107 0001144204-18-057760.hdr.sgml : 20181107 20181107080021 ACCESSION NUMBER: 0001144204-18-057760 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181107 DATE AS OF CHANGE: 20181107 EFFECTIVENESS DATE: 20181107 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: 181164753 BUSINESS ADDRESS: STREET 1: 155 WEST 19TH STREET, 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10011 BUSINESS PHONE: 212-426-7040 MAIL ADDRESS: STREET 1: 155 WEST 19TH STREET, 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10011 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001697748 XXXXXXXX 09-30-2018 09-30-2018 false ARK Investment Management LLC

155 West 19th Street, 5th Floor New York NY 10011

13F HOLDINGS REPORT 028-17768 N Kellen Carter Chief Compliance Officer 212-426-7040 /s/ Kellen Carter New York NY 11-07-2018 0 202 3309428 INFORMATION TABLE 2 infotable.xml 2U Inc Common Stock 90214J101 14179 188571 SH OTR 142150 0 46421 3D Systems Corp Common Stock 88554D205 3447 182377 SH SOLE 182377 0 0 3M Co Common Stock 88579Y101 67 319 SH SOLE 319 0 0 Adobe Inc Common Stock 00724F101 11662 43201 SH SOLE 43201 0 0 Advanced Micro Devices Inc Common Stock 007903107 19775 640180 SH SOLE 640180 0 0 Aerovironment Inc Common Stock 008073108 11601 103426 SH OTR 41919 0 61507 Alibaba Group Holding Ltd ADR 01609W102 22340 135592 SH OTR 85434 5329 44829 Align Technology Inc Common Stock 016255101 4688 11982 SH SOLE 11982 0 0 Allegheny Technologies Inc Common Stock 01741R102 71 2412 SH SOLE 2412 0 0 Alphabet Inc Common Stock 02079K107 18492 15494 SH OTR 11242 0 4252 Amazon.com Inc Common Stock 023135106 76226 38056 SH OTR 29764 1144 7148 AMETEK Inc Common Stock 031100100 662 8369 SH SOLE 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Common Stock M47238106 487 35846 SH SOLE 35846 0 0 General Electric Co Common Stock 369604103 478 42376 SH SOLE 42376 0 0 General Motors Co Common Stock 37045V100 2723 80861 SH SOLE 80861 0 0 Gilat Satellite Networks Ltd Common Stock M51474118 539 61247 SH SOLE 61247 0 0 GMO internet Inc Common Stock J1822R104 14 800 SH SOLE 800 0 0 GrubHub Inc Common Stock 400110102 3583 25845 SH SOLE 25845 0 0 Guidewire Software Inc Common Stock 40171V100 344 3407 SH SOLE 3407 0 0 HDFC Bank Ltd ADR 40415F101 122 1297 SH SOLE 1297 0 0 Henkel AG & Co KGaA Common Stock D3207M102 53 499 SH SOLE 499 0 0 Hexagon AB Common Stock W40063104 635 10824 SH SOLE 10824 0 0 Hexcel Corp Common Stock 428291108 62 926 SH SOLE 926 0 0 Hilan Ltd Common Stock M5299H123 603 24021 SH SOLE 24021 0 0 Hortonworks Inc Common Stock 440894103 19463 853284 SH OTR 578853 0 274431 HP Inc Common Stock 40434L105 3094 120077 SH SOLE 120077 0 0 HubSpot Inc Common Stock 443573100 13718 90881 SH SOLE 90881 0 0 Illumina Inc Common Stock 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Common Stock M6158M104 624 18127 SH SOLE 18127 0 0 JD.com Inc ADR 47215P106 87754 3363496 SH OTR 2698552 119248 545696 K2M Group Holdings Inc Common Stock 48273J107 724 26470 SH SOLE 26470 0 0 Kamada Ltd Common Stock M6240T109 606 97391 SH SOLE 97391 0 0 Koninklijke DSM NV Common Stock N5017D122 64 606 SH SOLE 606 0 0 Kratos Defense & Security Solu Common Stock 50077B207 1095 74101 SH SOLE 74101 0 0 LendingClub Corp Common Stock 52603A109 69847 18001802 SH OTR 14610649 146305 3244848 LendingTree Inc Common Stock 52603B107 33862 147160 SH OTR 121027 5547 20586 magicJack VocalTec Ltd Common Stock M6787E101 537 64357 SH SOLE 64357 0 0 Materialise NV ADR 57667T100 34955 2533004 SH OTR 2312953 10716 209335 Matrix IT Ltd Common Stock M6859E153 592 49009 SH SOLE 49009 0 0 Mazor Robotics Ltd ADR 57886P103 6141 105304 SH SOLE 105304 0 0 Medidata Solutions Inc Common Stock 58471A105 58951 804133 SH OTR 636697 28723 138713 Medtronic PLC Common Stock G5960L103 648 6588 SH SOLE 6588 0 0 Mellanox 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Inc Common Stock 69370C100 2026 19077 SH SOLE 19077 0 0 RADCOM Ltd Common Stock M81865111 287 25497 SH SOLE 25497 0 0 Radware Ltd Common Stock M81873107 522 19730 SH SOLE 19730 0 0 Rakuten Inc ADR 75102W108 2087 269520 SH SOLE 269520 0 0 Rakuten Inc Common Stock J64264104 78 10000 SH SOLE 10000 0 0 Red Hat Inc Common Stock 756577102 59141 433968 SH OTR 341890 15782 76296 Redfin Corp Common Stock 75737F108 181 9693 SH SOLE 9693 0 0 Redhill Biopharma Ltd ADR 757468103 434 49121 SH SOLE 49121 0 0 Regeneron Pharmaceuticals Inc Common Stock 75886F107 9390 23240 SH SOLE 23240 0 0 Renishaw PLC Common Stock G75006117 2318 37465 SH SOLE 37465 0 0 Rockwell Automation Inc Common Stock 773903109 1981 10562 SH SOLE 10562 0 0 Rubius Therapeutics Inc Common Stock 78116T103 4518 188268 SH OTR 147490 40778 0 salesforce.com Inc Common Stock 79466L302 39997 251509 SH OTR 185702 11089 54718 Sandvik AB Common Stock W74857165 65 3672 SH SOLE 3672 0 0 Sapiens International Corp NV Common Stock G7T16G103 703 53187 SH SOLE 53187 0 0 SBI Holdings Inc/Japan Common Stock J6991H100 196 6300 SH SOLE 6300 0 0 Seres Therapeutics Inc Common Stock 81750R102 30669 4040735 SH OTR 3247770 182117 610848 ServiceNow Inc Common Stock 81762P102 6486 33152 SH SOLE 33152 0 0 Shopify Inc Common Stock 82509L107 17037 103595 SH SOLE 103595 0 0 Siemens AG Common Stock D69671218 543 4239 SH SOLE 4239 0 0 Silicom Ltd Common Stock M84116108 580 14299 SH SOLE 14299 0 0 SLM Solutions Group AG Common Stock D6T690109 1896 78120 SH SOLE 78120 0 0 SoftBank Group Corp ADR 83404D109 7749 155768 SH SOLE 155768 0 0 SoftBank Group Corp Common Stock J75963108 56 555 SH OTR 0 555 0 SolarEdge Technologies Inc Common Stock 83417M104 376 9985 SH SOLE 9985 0 0 Spark Therapeutics Inc Common Stock 84652J103 7 129 SH SOLE 129 0 0 Splunk Inc Common Stock 848637104 43468 359506 SH OTR 284727 17042 57737 Spotify Technology SA Common Stock L8681T102 50186 277532 SH OTR 210201 11221 56110 Square Inc Common Stock 852234103 102154 1031750 SH 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285181 SH SOLE 285181 0 0 Toray Industries Inc Common Stock J89494116 62 8236 SH SOLE 8236 0 0 Tower Semiconductor Ltd Common Stock M87915274 524 24089 SH SOLE 24089 0 0 Toyota Motor Corp ADR 892331307 2091 16816 SH SOLE 16816 0 0 Trade Me Group Ltd Common Stock Q9162N106 15 4434 SH SOLE 4434 0 0 TransUnion Common Stock 89400J107 181 2456 SH SOLE 2456 0 0 Trimble Inc Common Stock 896239100 7971 183417 SH SOLE 183417 0 0 Twitter Inc Common Stock 90184L102 117342 4123045 SH OTR 3157494 165784 799767 Ultra Clean Holdings Inc Common Stock 90385V107 456 36310 SH SOLE 36310 0 0 United Parcel Service Inc Common Stock 911312106 603 5164 SH SOLE 5164 0 0 UroGen Pharma Ltd Common Stock M96088105 532 11258 SH SOLE 11258 0 0 Veracyte Inc Common Stock 92337F107 37635 3940804 SH OTR 3913590 27214 0 Verisk Analytics Inc Common Stock 92345Y106 186 1546 SH SOLE 1546 0 0 Visa Inc Common Stock 92826C839 180 1198 SH SOLE 1198 0 0 Wirecard AG ADR 97654L108 72 663 SH SOLE 663 0 0 Wix.com Ltd Common Stock M98068105 598 4992 SH SOLE 4992 0 0 Workday Inc Common Stock 98138H101 195 1334 SH SOLE 1334 0 0 Xero Ltd Common Stock Q98665104 51 1434 SH SOLE 1434 0 0 Xilinx Inc Common Stock 983919101 50939 635388 SH OTR 510340 20172 104876 YY Inc ADR 98426T106 3511 46859 SH SOLE 46859 0 0 Zillow Group Inc Common Stock 98954M200 43708 987749 SH OTR 779271 36089 172389 Zuora Inc Common Stock 98983V106 6916 299269 SH SOLE 299269 0 0