0001144204-16-120024.txt : 20160817 0001144204-16-120024.hdr.sgml : 20160817 20160817170114 ACCESSION NUMBER: 0001144204-16-120024 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160817 DATE AS OF CHANGE: 20160817 EFFECTIVENESS DATE: 20160817 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Ark ETF Trust CENTRAL INDEX KEY: 0001579982 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-22883 FILM NUMBER: 161839255 BUSINESS ADDRESS: STREET 1: 155 WEST 19TH STREET, FIFTH FLOOR CITY: NEW YORK STATE: NY ZIP: 10011 BUSINESS PHONE: 212.426.7040 MAIL ADDRESS: STREET 1: 155 WEST 19TH STREET, FIFTH FLOOR CITY: NEW YORK STATE: NY ZIP: 10011 0001579982 S000042975 ARK Genomic Revolution Multi-Sector ETF C000133119 ARK Genomic Revolution Multi-Sector ETF ARKG 0001579982 S000042976 ARK Industrial Innovation ETF C000133120 ARK Industrial Innovation ETF ARKQ 0001579982 S000042977 ARK Innovation ETF C000133121 ARK Innovation ETF ARKK 0001579982 S000042978 ARK Web x.0 ETF C000133122 ARK Web x.0 ETF ARKW 0001579982 S000052298 The 3D Printing ETF C000164426 The 3D Printing ETF N-PX 1 v447279_npx.txt N-PX UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-PX ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY INVESTMENT COMPANY ACT FILE NUMBER: 811-22883 NAME OF REGISTRANT: ARK ETF Trust ADDRESS OF PRINCIPAL EXECUTIVE OFFICES: 155 West 19th Street 5th Floor New York, NY 10011 NAME AND ADDRESS OF AGENT FOR SERVICE: Corporation Service Company 2711 Centerville Road Suite 400 Wilmington, DE 19808 REGISTRANT'S TELEPHONE NUMBER: 212-426-7040 DATE OF FISCAL YEAR END: 08/31 DATE OF REPORTING PERIOD: 07/01/2015 - 06/30/2016 ARK Genomic Revolution ETF -------------------------------------------------------------------------------------------------------------------------- FLUIDIGM CORPORATION Agenda Number: 934255820 -------------------------------------------------------------------------------------------------------------------------- Security: 34385P108 Meeting Type: Annual Meeting Date: 29-Jul-2015 Ticker: FLDM ISIN: US34385P1084 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR JOHN A. YOUNG Mgmt For For GERHARD F. BURBACH Mgmt For For 2. TO APPROVE OUR EXECUTIVE COMPENSATION Mgmt For For PROGRAM FOR THE YEAR ENDED DECEMBER 31, 2014, ON AN ADVISORY (NON-BINDING) BASIS. 3. TO RATIFY THE APPOINTMENT OF ERNST & YOUNG Mgmt For For LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2015. -------------------------------------------------------------------------------------------------------------------------- NANOSTRING TECHNOLOGIES, INC. Agenda Number: 934237531 -------------------------------------------------------------------------------------------------------------------------- Security: 63009R109 Meeting Type: Annual Meeting Date: 15-Jul-2015 Ticker: NSTG ISIN: US63009R1095 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR GREGORY NORDEN Mgmt For For CHARLES P. WAITE Mgmt For For 2. TO RATIFY THE APPOINTMENT OF Mgmt For For PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2015. ARK Industrial Innovation ETF -------------------------------------------------------------------------------------------------------------------------- NXP SEMICONDUCTORS NV. Agenda Number: 934248700 -------------------------------------------------------------------------------------------------------------------------- Security: N6596X109 Meeting Type: Special Meeting Date: 02-Jul-2015 Ticker: NXPI ISIN: NL0009538784 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1 A) THE PROPOSAL TO APPROVE (WITHIN THE Mgmt For For MEANING OF ARTICLE 2:107A OF THE DUTCH CIVIL CODE) THE COMPLETION BY NXP OF THE MERGER (THE "MERGER") OF NIMBLE ACQUISITION LIMITED, A WHOLLY-OWNED, INDIRECT SUBSIDIARY OF NXP ("MERGER SUB"), WITH AND INTO FREESCALE SEMICONDUCTOR, LTD. ("FREESCALE"), WITH FREESCALE SURVIVING THE MERGER AS A WHOLLY-OWNED, INDIRECT SUBSIDIARY OF NXP AND THE OTHER TRANSACTIONS CONTEMPLATED BY THE AGREEMENT AND PLAN OF MERGER (THE "MERGER AGREEMENT"), DATED AS OF ... (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL) 2A THE PROPOSAL TO APPOINT GREGORY L. SUMME AS Mgmt For For NON-EXECUTIVE DIRECTOR OF NXP, EFFECTIVE AS OF THE EFFECTIVE TIME OF THE MERGER AND FOR A TERM ENDING AT THE CLOSE OF THE FIRST NXP ANNUAL GENERAL MEETING HELD AFTER SUCH EFFECTIVE TIME. 2B THE PROPOSAL TO APPOINT PETER SMITHAM AS Mgmt For For NON-EXECUTIVE DIRECTOR OF NXP, EFFECTIVE AS OF THE EFFECTIVE TIME OF THE MERGER AND FOR A TERM ENDING AT THE CLOSE OF THE FIRST NXP ANNUAL GENERAL MEETING HELD AFTER SUCH EFFECTIVE TIME. -------------------------------------------------------------------------------------------------------------------------- ORBITAL ATK, INC. Agenda Number: 934252711 -------------------------------------------------------------------------------------------------------------------------- Security: 68557N103 Meeting Type: Annual Meeting Date: 05-Aug-2015 Ticker: OA ISIN: US68557N1037 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. ELECTION OF DIRECTOR: KEVIN P. CHILTON Mgmt For For 1B. ELECTION OF DIRECTOR: ROXANNE J. DECYK Mgmt For For 1C. ELECTION OF DIRECTOR: MARK W. DEYOUNG Mgmt For For 1D. ELECTION OF DIRECTOR: MARTIN C. FAGA Mgmt For For 1E. ELECTION OF DIRECTOR: LENNARD A. FISK Mgmt For For 1F. ELECTION OF DIRECTOR: RONALD R. FOGLEMAN Mgmt For For 1G. ELECTION OF DIRECTOR: ROBERT M. HANISEE Mgmt For For 1H. ELECTION OF DIRECTOR: RONALD T. KADISH Mgmt For For 1I. ELECTION OF DIRECTOR: TIG H. KREKEL Mgmt For For 1J. ELECTION OF DIRECTOR: DOUGLAS L. MAINE Mgmt For For 1K. ELECTION OF DIRECTOR: ROMAN MARTINEZ IV Mgmt For For 1L. ELECTION OF DIRECTOR: JANICE I. OBUCHOWSKI Mgmt For For 1M. ELECTION OF DIRECTOR: JAMES G. ROCHE Mgmt For For 1N. ELECTION OF DIRECTOR: HARRISON H. SCHMITT Mgmt For For 1O. ELECTION OF DIRECTOR: DAVID W. THOMPSON Mgmt For For 1P. ELECTION OF DIRECTOR: SCOTT L. WEBSTER Mgmt For For 2. ADVISORY VOTE TO APPROVE THE COMPENSATION Mgmt For For OF ORBITAL ATK'S NAMED EXECUTIVE OFFICERS 3. APPROVAL OF ORBITAL ATK, INC. 2015 STOCK Mgmt For For INCENTIVE PLAN 4. RATIFICATION OF APPOINTMENT OF INDEPENDENT Mgmt For For REGISTERED PUBLIC ACCOUNTING FIRM ARK Innovation ETF -------------------------------------------------------------------------------------------------------------------------- FLUIDIGM CORPORATION Agenda Number: 934255820 -------------------------------------------------------------------------------------------------------------------------- Security: 34385P108 Meeting Type: Annual Meeting Date: 29-Jul-2015 Ticker: FLDM ISIN: US34385P1084 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR JOHN A. YOUNG Mgmt For For GERHARD F. BURBACH Mgmt For For 2. TO APPROVE OUR EXECUTIVE COMPENSATION Mgmt For For PROGRAM FOR THE YEAR ENDED DECEMBER 31, 2014, ON AN ADVISORY (NON-BINDING) BASIS. 3. TO RATIFY THE APPOINTMENT OF ERNST & YOUNG Mgmt For For LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2015. -------------------------------------------------------------------------------------------------------------------------- NXP SEMICONDUCTORS NV. Agenda Number: 934248700 -------------------------------------------------------------------------------------------------------------------------- Security: N6596X109 Meeting Type: Special Meeting Date: 02-Jul-2015 Ticker: NXPI ISIN: NL0009538784 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1 A) THE PROPOSAL TO APPROVE (WITHIN THE Mgmt For For MEANING OF ARTICLE 2:107A OF THE DUTCH CIVIL CODE) THE COMPLETION BY NXP OF THE MERGER (THE "MERGER") OF NIMBLE ACQUISITION LIMITED, A WHOLLY-OWNED, INDIRECT SUBSIDIARY OF NXP ("MERGER SUB"), WITH AND INTO FREESCALE SEMICONDUCTOR, LTD. ("FREESCALE"), WITH FREESCALE SURVIVING THE MERGER AS A WHOLLY-OWNED, INDIRECT SUBSIDIARY OF NXP AND THE OTHER TRANSACTIONS CONTEMPLATED BY THE AGREEMENT AND PLAN OF MERGER (THE "MERGER AGREEMENT"), DATED AS OF ... (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL) 2A THE PROPOSAL TO APPOINT GREGORY L. SUMME AS Mgmt For For NON-EXECUTIVE DIRECTOR OF NXP, EFFECTIVE AS OF THE EFFECTIVE TIME OF THE MERGER AND FOR A TERM ENDING AT THE CLOSE OF THE FIRST NXP ANNUAL GENERAL MEETING HELD AFTER SUCH EFFECTIVE TIME. 2B THE PROPOSAL TO APPOINT PETER SMITHAM AS Mgmt For For NON-EXECUTIVE DIRECTOR OF NXP, EFFECTIVE AS OF THE EFFECTIVE TIME OF THE MERGER AND FOR A TERM ENDING AT THE CLOSE OF THE FIRST NXP ANNUAL GENERAL MEETING HELD AFTER SUCH EFFECTIVE TIME. ARK Web x.0 ETF -------------------------------------------------------------------------------------------------------------------------- NXP SEMICONDUCTORS NV. Agenda Number: 934248700 -------------------------------------------------------------------------------------------------------------------------- Security: N6596X109 Meeting Type: Special Meeting Date: 02-Jul-2015 Ticker: NXPI ISIN: NL0009538784 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1 A) THE PROPOSAL TO APPROVE (WITHIN THE Mgmt For For MEANING OF ARTICLE 2:107A OF THE DUTCH CIVIL CODE) THE COMPLETION BY NXP OF THE MERGER (THE "MERGER") OF NIMBLE ACQUISITION LIMITED, A WHOLLY-OWNED, INDIRECT SUBSIDIARY OF NXP ("MERGER SUB"), WITH AND INTO FREESCALE SEMICONDUCTOR, LTD. ("FREESCALE"), WITH FREESCALE SURVIVING THE MERGER AS A WHOLLY-OWNED, INDIRECT SUBSIDIARY OF NXP AND THE OTHER TRANSACTIONS CONTEMPLATED BY THE AGREEMENT AND PLAN OF MERGER (THE "MERGER AGREEMENT"), DATED AS OF ... (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL) 2A THE PROPOSAL TO APPOINT GREGORY L. SUMME AS Mgmt For For NON-EXECUTIVE DIRECTOR OF NXP, EFFECTIVE AS OF THE EFFECTIVE TIME OF THE MERGER AND FOR A TERM ENDING AT THE CLOSE OF THE FIRST NXP ANNUAL GENERAL MEETING HELD AFTER SUCH EFFECTIVE TIME. 2B THE PROPOSAL TO APPOINT PETER SMITHAM AS Mgmt For For NON-EXECUTIVE DIRECTOR OF NXP, EFFECTIVE AS OF THE EFFECTIVE TIME OF THE MERGER AND FOR A TERM ENDING AT THE CLOSE OF THE FIRST NXP ANNUAL GENERAL MEETING HELD AFTER SUCH EFFECTIVE TIME. The 3D Printing ETF -------------------------------------------------------------------------------------------------------------------------- The fund held no voting securities during the reporting period and did not vote any securities or have any securities that were subject to a vote during the reporting period. * Management position unknown
SIGNATURES Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. (Registrant) ARK ETF Trust By (Signature) /s/ Catherine D. Wood Name Catherine D. Wood Title President Date 08/17/2016