PRNT / ARK ETF Trust - The 3D Printing ETF - تصريحات هيئة الأوراق المالية والبورصات، التقرير السنوي، بيان الوكيل

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 333-191019 ARK ETF Trust, Exchange: NYSE Arca, Inc. (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) c/o ARK In

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 ARK ETF Trust (Exact name of registrant as spec

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 ARK ETF Trust (Exact name of registrant as specified in its charter) State of Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identification No.) c/o ARK Investment Man

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 ARK ETF Trust (Exact name of registrant as spec

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 ARK ETF Trust (Exact name of registrant as specified in its charter) State of Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identification No.) c/o ARK Investment Man

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 ARK ETF Trust (Exact name of registrant as spec

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 ARK ETF Trust (Exact name of registrant as specified in its charter) State of Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identification No.) c/o ARK Investment Man

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1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.

NOTICE OF EXEMPT SOLICITATION

NOTICE OF EXEMPT SOLICITATION Name of the registrant: Tesla, Inc. Name of person relying on exemption: Catherine D. Wood on behalf of ARK ETF Trust Address of person relying on exemption: 200 Central Ave., Suite 220 St. Petersburg, Florida 33701 Written materials required to be submitted pursuant to Rule 14a-6(g)(1): Attachment 1: Text of social media posts from Catherine D. Wood on June 6, 2024 *

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1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.

As filed with the Securities and Exchange Commission on March 7, 2023

As filed with the Securities and Exchange Commission on March 7, 2023 No. 333-191019 No. 811-22883 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ☒ Pre-Effective Amendment No. ☐ Post-Effective Amendment No. 32 ☒ and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 ☒ Amendment No. 37 ☒ (Chec

Consent of Trust’s former Independent Registered Public Accounting Firm12

Exhibit (j)(2) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the reference to our firm under the heading “Financial Highlights” in the Post-Effective Amendment to the Registration Statement on Form N-1A of ARK ETF Trust and to the refence to financial highlights that were included in the July 31, 2021 Annual Report of ARK ETF Trust.

Schedule of Investments

Schedule of Investments The ARK Israel Innovative Technology ETF October 31, 2022 (Unaudited) Investments Shares Value COMMON STOCKS–97.

Schedule of Investments

Schedule of Investments ARK Innovation ETF October 31, 2022 (Unaudited) Investments Shares Value COMMON STOCKS–99.

Schedule of Investments

Schedule of Investments ARK Fintech Innovation ETF October 31, 2022 (Unaudited) Investments Shares Value COMMON STOCKS–99.

Schedule of Investments

NPORT-EX 2 538548ARK103122.htm Schedule of Investments ARK Autonomous Technology & Robotics ETF October 31, 2022 (Unaudited) Investments Shares Value COMMON STOCKS–99.3% Aerospace & Defense - 18.4% AeroVironment, Inc.* 474,347 $ 43,402,751 Archer Aviation, Inc., Class A* 7,419,104 21,144,446 Elbit Systems Ltd. (Israel) 114,626 23,239,275 Kratos Defense & Security Solutions, Inc.*† 6,308,807 69,901

Schedule of Investments

Schedule of Investments The 3D Printing ETF October 31, 2022 (Unaudited) Investments Shares Value COMMON STOCKS–98.

Schedule of Investments

Schedule of Investments ARK Space Exploration & Innovation ETF October 31, 2022 (Unaudited) Investments Shares Value COMMON STOCKS–94.

Schedule of Investments

Schedule of Investments ARK Next Generation Internet ETF October 31, 2022 (Unaudited) Investments Shares Value COMMON STOCKS–93.

Schedule of Investments

Schedule of Investments ARK Genomic Revolution ETF October 31, 2022 (Unaudited) Investments Shares Value COMMON STOCKS–99.

Schedule of Investments

Schedule of Investments The 3D Printing ETF April 30, 2022 (Unaudited) Investments Shares Value COMMON STOCKS–99.

Schedule of Investments

Schedule of Investments ARK Autonomous Technology & Robotics ETF April 30, 2022 (Unaudited) Investments Shares Value COMMON STOCKS–99.

Schedule of Investments

Schedule of Investments ARK Genomic Revolution ETF April 30, 2022 (Unaudited) Investments Shares Value COMMON STOCKS–99.

Schedule of Investments

Schedule of Investments ARK Fintech Innovation ETF April 30, 2022 (Unaudited) Investments Shares Value COMMON STOCKS–99.

Schedule of Investments

Schedule of Investments ARK Transparency ETF April 30, 2022 (Unaudited) Investments Shares Value COMMON STOCKS–99.

Purchases Cost

Schedule of Investments ARK Space Exploration & Innovation ETF April 30, 2022 (Unaudited) Investments Shares Value COMMON STOCKS–93.

Schedule of Investments

Schedule of Investments The ARK Israel Innovative Technology ETF April 30, 2022 (Unaudited) Investments Shares Value COMMON STOCKS–100.

Schedule of Investments

Schedule of Investments ARK Innovation ETF April 30, 2022 (Unaudited) Investments Shares Value COMMON STOCKS–100.

Schedule of Investments

Schedule of Investments ARK Next Generation Internet ETF April 30, 2022 (Unaudited) Investments Shares Value COMMON STOCKS–90.

Schedule of Investments

Schedule of Investments The ARK Israel Innovative Technology ETF October 31, 2021 (Unaudited) Investments Shares Value COMMON STOCKS–99.

Schedule of Investments

Schedule of Investments ARK Space Exploration & Innovation ETF October 31, 2021 (Unaudited) Investments Shares Value COMMON STOCKS–91.

Schedule of Investments

Schedule of Investments ARK Next Generation Internet ETF October 31, 2021 (Unaudited) Investments Shares Value COMMON STOCKS–92.

Schedule of Investments

Schedule of Investments The 3D Printing ETF October 31, 2021 (Unaudited) Investments Shares Value COMMON STOCKS–99.

Schedule of Investments

Schedule of Investments ARK Genomic Revolution ETF October 31, 2021 (Unaudited) Investments Shares Value COMMON STOCKS–99.

Schedule of Investments

Schedule of Investments ARK Fintech Innovation ETF October 31, 2021 (Unaudited) Investments Shares Value COMMON STOCKS–99.

Schedule of Investments

Schedule of Investments ARK Autonomous Technology & Robotics ETF October 31, 2021 (Unaudited) Investments Shares Value COMMON STOCKS–99.

Schedule of Investments

NPORT-EX 2 538546ARK103121.htm Schedule of Investments ARK Innovation ETF October 31, 2021 (Unaudited) Investments Shares Value COMMON STOCKS–99.9% Automobiles - 11.2% Tesla, Inc.* 2,147,614 $ 2,392,441,996 Biotechnology - 18.4% Beam Therapeutics, Inc.*† 5,591,935 496,396,070 CRISPR Therapeutics AG (Switzerland)*† 5,911,483 539,895,742 Editas Medicine, Inc.*† 3,983,953 146,290,754 Exact Sciences C

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 ARK ETF Trust (Exact name of registrant as spec

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 ARK ETF Trust (Exact name of registrant as specified in its charter) State of Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identification No.) c/o ARK Investment Man

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CORRESP 1 filename1.htm Cira Centre 2929 Arch Street Philadelphia, PA 19104-2808 +1 215 994 4000 Main +1 215 994 2222 Fax www.dechert.com ROSS OKLEWICZ [email protected] +1 215 994 2263 Direct +1 215 994 2222 Fax November 5, 2021 VIA EDGAR CORRESPONDENCE Deborah L. O’Neal Senior Counsel U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC

1095 Avenue of the Americas

COVER 5 filename5.htm 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.dechert.com August 31, 2021 Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: ARK ETF Trust (the “Fund”) File Nos. 333-191019; 811-22883 Post-Effective Amendment No. 28 Dear Sir or Madam: On behalf of the Fund, attached herewith for filing is the above r

Schedule of Investments

Schedule of Investments ARK Space Exploration & Innovation ETF April 30, 2021 (Unaudited) Investments Shares Value COMMON STOCKS–93.

Schedule of Investments

Schedule of Investments ARK Innovation ETF April 30, 2021 (Unaudited) Investments Shares Value COMMON STOCKS–100.

Schedule of Investments

Schedule of Investments ARK Autonomous Technology & Robotics ETF April 30, 2021 (Unaudited) Investments Shares Value COMMON STOCKS–99.

Schedule of Investments

Schedule of Investments ARK Next Generation Internet ETF April 30, 2021 (Unaudited) Investments Shares Value COMMON STOCKS–94.

Schedule of Investments

Schedule of Investments ARK Fintech Innovation ETF April 30, 2021 (Unaudited) Investments Shares Value COMMON STOCKS–99.

06/03/2021 03:26 PM

Date: 06/03/2021 03:26 PM Project: 21-17797-1 Form Type: Client: 21-17797-1 File: 538547ARKGenomicRevolutionETF.

Schedule of Investments

Schedule of Investments The 3D Printing ETF April 30, 2021 (Unaudited) Investments Shares Value COMMON STOCKS–99.

Schedule of Investments

Schedule of Investments The ARK Israel Innovative Technology ETF April 30, 2021 (Unaudited) Investments Shares Value COMMON STOCKS–99.

- 8-A12B

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 ARK ETF Trust (Exact name of registrant as specified in its charter) State of Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identification No.) c/o ARK Investment Man

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Three Bryant Park 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.

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Three Bryant Park 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.

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1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.

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CORRESP 1 filename1.htm 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.dechert.com VIA EDGAR CORRESPONDENCE January 14, 2021 Christina DiAngelo Fettig U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: ARK ETF Trust (“Registrant”), SEC File No. 333-191019 Dear Ms. Fettig: We are writin

US Austin Boston Charlotte Hartford Los Angeles New York Orange County Philadelphia Princeton San Francisco Silicon Valley Washington DC EUROPE Brussels Dublin Frankfurt London Luxembourg Moscow Munich Paris ASIA Beijing Hong Kong

1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.

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Schedule of Investments ARK Autonomous Technology & Robotics ETF October 31, 2020 (Unaudited) Investments Shares Value COMMON STOCKS–99.

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Schedule of Investments ARK Genomic Revolution ETF October 31, 2020 (Unaudited) Investments Shares Value COMMON STOCKS–99.

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Schedule of Investments The 3D Printing ETF October 31, 2020 (Unaudited) Investments Shares Value COMMON STOCKS–98.

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Schedule of Investments The ARK Israel Innovative Technology ETF October 31, 2020 (Unaudited) Investments Shares Value COMMON STOCKS–100.

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Schedule of Investments ARK Next Generation Internet ETF October 31, 2020 (Unaudited) Investments Shares Value COMMON STOCKS–97.

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Schedule of Investments ARK Fintech Innovation ETF October 31, 2020 (Unaudited) Investments Shares Value COMMON STOCKS–99.

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Schedule of Investments ARK Innovation ETF October 31, 2020 (Unaudited) Investments Shares Value COMMON STOCKS–100.

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Schedule of Investments ARK Next Generation Internet ETF April 30, 2020 (Unaudited) Investments Shares Value COMMON STOCKS–97.

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Schedule of Investments ARK Fintech Innovation ETF April 30, 2020 (Unaudited) Investments Shares Value COMMON STOCKS–99.

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Schedule of Investments ARK Innovation ETF April 30, 2020 (Unaudited) Investments Shares Value COMMON STOCKS–99.

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Schedule of Investments ARK Genomic Revolution ETF April 30, 2020 (Unaudited) Investments Shares Value COMMON STOCKS–99.

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Schedule of Investments The 3D Printing ETF April 30, 2020 (Unaudited) Investments Shares Value COMMON STOCKS–99.

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Schedule of Investments ARK Autonomous Technology & Robotics ETF April 30, 2020 (Unaudited) Investments Shares Value COMMON STOCKS–99.

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Schedule of Investments The ARK Israel Innovative Technology ETF April 30, 2020 (Unaudited) Investments Shares Value COMMON STOCKS–96.

ARKG / ARK Genomic Revolution ETF 25 - - FORM 25

OMB APPROVAL OMB Number: 3235-0080 Expires: March 31, 2021 Estimated average burden hours per response 1.

ARKG / ARK Genomic Revolution ETF 8-A12B - - FORM 8-A12B

8-A12B 1 tm1927314-18a12b.htm FORM 8-A12B 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 ARK ETF Trust (Exact name of registrant as specified in its charter) State of Delaware See Below (State of incorporation or organization) (I.R.S. Employer

ARKG / ARK Genomic Revolution ETF 8-A12B - - FORM 8-A12B

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 ARK ETF Trust (Exact name of registrant as specified in its charter) State of Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identification No.) c/o ARK Investment Man

ARKG / ARK Genomic Revolution ETF N-Q - Quarterly Schedule of Portfolio Holdings - N-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22883 ARK ETF Trust (Exact name of registrant as specified in charter) c/o ARK Investment Management LLC 3 East 28th Street, 7th Floor New York, NY 10016 (Address of principal executive offices)

Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act

EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Catherine D. Wood, certify that: 1. I have reviewed this report on Form N-Q of ARK ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumst

Ark Etf Trust AW - - AW

VIA EDGAR Deborah O’ Neal, Senior Counsel U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: ARK ETF Trust - Request for Withdrawal of Certain Post-Effective Amendments to the Registration Statement filed on Form N-1A under the Securities Act of 1933, as amended (File Nos. 333-191019 and 811-22883) Dear Ms. O’Neal: Pursuant to Rule 47

Ark Etf Trust N-Q - Quarterly Schedule of Portfolio Holdings - N-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22883 ARK ETF Trust (Exact name of registrant as specified in charter) c/o ARK Investment Management LLC 3 East 28th Street, 7th Street New York, NY 10016 (Address of principal executive offices)

Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act

EX-99.CERT 2 tv522971ex99-cert.htm CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Catherine D. Wood, certify that: 1. I have reviewed this report on Form N-Q of ARK ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the st

Ark Etf Trust N-8A

8-A12B 1 tv5119068a12b.htm N-8A 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 ARK ETF Trust (Exact name of registrant as specified in its charter) State of Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identifica

Ark Etf Trust CORRESP

CORRESP 1 filename1.htm VIA EDGAR CORRESPONDENCE January 15, 2019 Deborah O’ Neal, Senior Counsel U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: ARK ETF Trust (“Registrant”), SEC File No. 333-191019 Post-Effective Amendment No. 13 to the Registrant’s Registration Statement on Form N-1A (“Amendment”) Dear Ms. O’Neal: We are writing

Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act

EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Catherine D. Wood, certify that: 1. I have reviewed this report on Form N-Q of ARK ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumst

Ark Etf Trust N-Q (Quarterly Schedule of Portfolio Holdings)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22883 ARK ETF Trust (Exact name of registrant as specified in charter) c/o ARK Investment Management LLC 155 West 19th Street, Fifth Floor New York, NY 10011 (Address of principal executive offic

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1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.

Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act

Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Catherine D. Wood, certify that: 1. I have reviewed this report on Form N-Q of ARK ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the cir

Ark Etf Trust N-Q (Quarterly Schedule of Portfolio Holdings)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22883 ARK ETF Trust (Exact name of registrant as specified in charter) c/o ARK Investment Management LLC 155 West 19th Street, Fifth Floor New York, NY 10011 (Address of principal executive offic

Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act

Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Catherine D. Wood, certify that: 1. I have reviewed this report on Form N-Q of ARK ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the cir

Ark Etf Trust - N-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22883 ARK ETF Trust (Exact name of registrant as specified in charter) c/o ARK Investment Management LLC 155 West 19th Street, Fifth Floor New York, NY 10011 (Address of principal executive offic

Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act

EX-99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Catherine D. Wood, certify that: 1. I have reviewed this report on Form N-Q of ARK ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumst

Ark Etf Trust - N-Q

N-Q 1 v470651nq.htm N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22883 ARK ETF Trust (Exact name of registrant as specified in charter) c/o ARK Investment Management LLC 155 West 19th Street, Fifth Floor New York, NY 10011 (Address of p

Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act

Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Catherine D. Wood, certify that: 1. I have reviewed this report on Form N-Q of ARK ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the cir

Ark Etf Trust - FORM N-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22883 ARK ETF Trust (Exact name of registrant as specified in charter) c/o ARK Investment Management LLC 155 West 19th Street, Fifth Floor New York, NY 10011 (Address of principal executive offic

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INVESTING AT THE PACE OF INNOVATION Katherine Churko U.S. Securities & Exchange Commission (?SEC?) [email protected] 202-551-6387 RE: SEC?s Sarbanes-Oxley Review of ARK ETF Trust?s 8.31.15 Form N-CSR Hello Ms. Churko, I hope this letter finds you well. On Monday, October 17, 2016, you called me to discuss Note 4 to the financial statements for the fiscal year ended August 31, 2015 of the ARK ETF Tru

Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act

Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Jane A. Kanter, certify that: 1. I have reviewed this report on Form N-Q of ARK ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circum

Ark Etf Trust - N-Q

N-Q 1 v444314nq.htm N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22883 ARK ETF Trust (Exact name of registrant as specified in charter) c/o ARK Investment Management LLC 155 West 19th Street, Fifth Floor New York, NY 10011 (Address of p

- 8-A12B

8-A12B 1 v4412858a12b.htm 8-A12B 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 ARK ETF Trust (Exact name of registrant as specified in its charter) State of Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identific

Ark Etf Trust - N-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22883 ARK ETF Trust (Exact name of registrant as specified in charter) c/o ARK Investment Management LLC 155 West 19th Street, Fifth Floor New York, NY 10011 (Address of principal executive offic

Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act

EXHIBIT 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Catherine D. Wood, certify that: 1. I have reviewed this report on Form N-Q of ARK ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the cir

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December 23, 2015 Via EDGAR Jim O’Connor U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: ARK ETF Trust (“Trust”), SEC File No. 333-191019 Post-Effective Amendment No. 4 to the Registrant’s Registration Statement on Form N-1A (“Amendment”) Dear Mr. O’Connor: On behalf of the Trust, attached herewith for filing pursuant to Rule 485(a

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Via EDGAR CORRESPONDENCE December 22, 2015 Jim O?Connor U.S. Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: ARK ETF Trust (?Registrant?), SEC File No. 333-191019 Post-Effective Amendment No. 3 to the Registrant?s Registration Statement on Form N-1A (?Amendment?) Dear Mr. O?Connor: We are writing in response to comments that you provide

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Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act

Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Catherine D.

Ark Etf Trust - N-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22883 ARK ETF Trust (Exact name of registrant as specified in charter) c/o ARK Investment Management LLC 155 West 19th Street, Fifth Floor New York, NY 10011 (Address of principal executive offic

Ark Etf Trust - N-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22883 ARK ETF Trust (Exact name of registrant as specified in charter) c/o ARK Investment Management LLC 155 West 19th Street, Fifth Floor New York, NY 10011 (Address of principal executive offic

Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act

Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Catherine D. Wood, certify that: 1. I have reviewed this report on Form N-Q of ARK ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the cir

Ark Etf Trust 8-A12B - - FORM 8-A

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 ARK ETF Trust (Exact name of registrant as specified in its charter) State of Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identification No.) c/o ARK Investment Man

Ark Etf Trust AW - - AW

AW 1 v390893aw.htm AW October 7, 2014 VIA EDGAR Kathy Churko Staff Accountant Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-0504 Re: ARK ETF Trust Request for Withdrawal of N-1A/A Filing File Nos. 333-191019 and 811-22883 Dear Ms. Churko: Pursuant to Rule 477 under the Securities Act of 1933, as amended, ARK ETF Trust (the “Trust”) r

Ark Etf Trust N-1A/A - - FORM N-1A

As filed with the Securities and Exchange Commission on October 7, 2014 No. 333-191019 No. 811-22883 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x Pre-Effective Amendment No. ¨ Post-Effective Amendment No. 1 x and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 x Amendment No. 6 x (Chec

Ark Etf Trust COVER - -

1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.

ARK ETF TRUST EXPENSE LIMITATION AGREEMENT

Exhibit (h)(4) ARK ETF TRUST EXPENSE LIMITATION AGREEMENT THIS EXPENSE LIMITATION AGREEMENT (“Agreement”) is effective as of the 30th day of September, 2014, by and between ARK ETF Trust, (“Trust”), on behalf of each of its series listed in Appendix A hereto (each, a “Fund”), and ARK Investment Management LLC, the investment adviser to each Fund (“Adviser”).

Ark Etf Trust N-1A/A - - FORM N-1A/A

As filed with the Securities and Exchange Commission on September 16, 2014 No. 333-191019 No. 811-22883 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x Pre-Effective Amendment No. 5 x Post-Effective Amendment No. ¨ and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 x Amendment No. 5 ¨ (C

Ark Etf Trust CORRESP - -

CORRESP 1 filename1.htm ARK ETF Trust c/o ARK Investment Management LLC 155 West 19th Street, Fifth Floor New York, NY 10011 212-426-7040 September 16, 2014 VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, DC 20549 Attn: Keith O’Connell, Esq. Re: ARK ETF Trust Pre-Effective Amendment No. 5 to the Registration Statement on Form N-1A

Ark Etf Trust CORRESP - -

1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.

Ark Etf Trust COVER - -

1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.

ARKK / ARK Innovation ETF CORRESP - -

1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.

Ark Etf Trust COVER - -

COVER 14 filename14.htm 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.dechert.com Allison M Fumai Partner [email protected] +1 212 698 3526 Direct +1 212 698 3599 Fax September 11, 2014 VIA EDGAR Filing Room U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549-4720 Re: ARK ETF Trust Securities Act of 1933 File No

1095 Avenue of the Americas

Exhibit (i) 1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.

ARK ETF TRUST ARK INVESTMENT MANAGEMENT LLC JOINT CODE OF ETHICS

Exhibit (p) ARK ETF TRUST ARK INVESTMENT MANAGEMENT LLC JOINT CODE OF ETHICS I. Introduction The Board of Trustees (“Board”) of ARK ETF Trust (“Trust”) and ARK Investment Management LLC (“Adviser”), in accordance with Rule 17j-1 under the Investment Company Act of 1940, as amended (“1940 Act”), and Rule 204A-1 under the Investment Advisers Act of 1940, as amended (“Advisers Act”), have approved an

CUSTODY AGREEMENT

Exhibit (g) CUSTODY AGREEMENT AGREEMENT, dated as of , 2014 between ARK ETF Trust, a Delaware statutory trust, having its principal office and place of business at 155 West 19th Street, Fifth Floor, New York, New York 10011 (the “Trust”) on behalf of each series listed on Schedule II hereto (as such Schedule may be amended from time to time) (each a “Series” and collectively, the “Series”, as applicable) and The Bank of New York Mellon, a New York corporation authorized to do a banking business, having its principal office and place of business at One Wall Street, New York, New York 10286 (“Custodian”).

Ark Etf Trust N-1A/A - - FORM N-1A/A

N-1A/A 1 v388834n1a-a.htm FORM N-1A/A As filed with the Securities and Exchange Commission on September 11, 2014 No. 333-191019 No. 811-22883 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x Pre-Effective Amendment No. 4 x Post-Effective Amendment No. ¨ and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMP

FUND ADMINISTRATION AND ACCOUNTING AGREEMENT

Exhibit (h)(2) FUND ADMINISTRATION AND ACCOUNTING AGREEMENT THIS AGREEMENT is made as of , 20 by and between ARK ETF Trust, a Delaware statutory trust (the “Trust”) and The Bank of New York Mellon, a New York corporation authorized to do a banking business (“BNY Mellon”).

CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

Exhibit (j) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Pre-Effective Amendment to the Registration Statement on Form N-1A of ARK ETF Trust, and to the use of our report dated September 8, 2014 on the Balance Sheet of ARK Genomic Revolution ETF, a series of ARK ETF Trust.

Transfer Agency and Service Agreement between Registrant and The Bank of New York Mellon3

Exhibit (h)(3) TRANSFER AGENCY AND SERVICE AGREEMENT THIS AGREEMENT is made as of the 8th day of September, 2014, by and between ARK ETF TRUST (hereinafter the “Trust”) on behalf of each series listed on Appendix A hereto (as such Appendix be amended from time to time) (each a “Series”, and collectively, the “Series”, as applicable) and THE BANK OF NEW YORK MELLON, a New York corporation authorized to do a banking business having its principal office and place of business at One Wall Street, New York, New York 10286 (the “Bank”).

SUPERVISION AGREEMENT

Exhibit (h)(1) SUPERVISION AGREEMENT This SUPERVISION AGREEMENT (“Agreement”), made this 30th day of June, 2014, between ARK ETF Trust (“Trust”), a Delaware statutory trust, and ARK Investment Management LLC, a Delaware limited liability company (“Adviser”).

BY-LAWS OF ARK ETF TRUST Dated as of June 7, 2013 ARTICLE 1 Declaration of Trust and Principal Office

Exhibit (b) BY-LAWS OF ARK ETF TRUST Dated as of June 7, 2013 ARTICLE 1 Declaration of Trust and Principal Office Section 1.

ARKK / ARK Innovation ETF CORRESP - -

1095 Avenue of the Americas New York, NY 10036-6797 +1 212 698 3500 Main +1 212 698 3599 Fax www.

INVESTMENT ADVISORY AGREEMENT ARK ETF Trust

Exhibit (d) INVESTMENT ADVISORY AGREEMENT ARK ETF Trust AGREEMENT made this 30th day of June, 2014 between ARK Investment Management LLC, a Delaware limited liability company (“Adviser”), and ARK ETF Trust, a Delaware statutory trust (“Trust”), on behalf of each series of the Trust list on the attached Exhibit A as it may be amended from time to time (each series is hereinafter referred to as a “Fund”).

Distribution Agreement between Registrant and Foreside Fund Services, LLC2

Exhibit (e)(1) ARK ETF TRUST DISTRIBUTION AGREEMENT This Distribution Agreement (the “Agreement”) is made this 7th day of August 2014 by and between ARK ETF Trust, a Delaware statutory trust (the “Trust”) having its principal place of business at 1865 Broadway, Suite 1100, New York, NY 10023, and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”) having its principal place of business at Three Canal Plaza, Suite 100, Portland, ME 04101.

DISTRIBUTION SERVICES AGREEMENT

Exhibit (e)(2) DISTRIBUTION SERVICES AGREEMENT AGREEMENT made this 7th day of August 2014, by and between ARK Investment Management LLC, a Delaware limited liability company (the “Adviser”), and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”).

Powers of Attorney2

ARK ETF TRUST (a Delaware Statutory Trust) Power of Attorney Know All Men By These Presents, that the undersigned, Scott R.

Ark Etf Trust N-1A/A - - N-1A/A

As filed with the Securities and Exchange Commission on September 2, 2014 No. 333-191019 No. 811-22883 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x Pre-Effective Amendment No. 3 x Post-Effective Amendment No. ¨ and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 x Amendment No. 3 ¨ (Ch

See Articles IV, V and IX of the Registrant’s Agreement and Declaration of Trust previously filed with the Registrant’s Pre-Effective Amendment No. 3, SEC File No. 333-191019, filed on September 2, 2014.

Exhibit (a)(2) AGREEMENT AND DECLARATION OF TRUST OF ARK ETF TRUST (a Delaware Statutory Trust) Dated as of June 7, 2013 TABLE OF CONTENTS Page ARTICLE I NAME AND DEFINITIONS 1 Section 1.

ARKK / ARK Innovation ETF 8-A12B - - 8-A12B

8-A12B 1 v3880848a12b.htm 8-A12B 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 ARK ETF Trust (Exact name of registrant as specified in its charter) State of Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identific

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March 31, 2014 VIA EDGAR Filing Room U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549-4720 Re: ARK ETF Trust Securities Act File No. 333-191019 Investment Company Act of 1940 File No. 811-22883 Ladies and Gentlemen: Enclosed for filing on behalf of ARK ETF Trust (“Trust”), a recently organized open-end management investment company, is one copy of pre-effective amend

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March 31, 2014 Via EDGAR Correspondance Kathy Churko Staff Accountant Division of Investment Management Securities and Exchange Commission 100 F Street, N.

- REGISTRATION STATEMENT

As filed with the Securities and Exchange Commission on March 31, 2014 No. 333-191019 No. 811-22883 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x Pre-Effective Amendment No. 2 x Post-Effective Amendment No. ¨ and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 x Amendment No. 2 ¨ (Check

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1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www.

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CORRESP 1 filename1.htm 1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www.dechert.com Jane A. Kanter Partner [email protected] +1 202 261 3302 Direct +1 202 261 3002 Fax February 24, 2014 Via EDGAR Correspondance Kathy Churko Staff Accountant Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-0

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1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www.

- REGISTRATION STATEMENT

As filed with the Securities and Exchange Commission on February 14, 2014 No. 333-191019 No. 811-22883 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x Pre-Effective Amendment No. 1 x Post-Effective Amendment No. ¨ and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 x Amendment No. ¨ (Chec

- FORM N-8A

N-8A 1 arkn8a090513.htm FORM N-8A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8A NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned investment company hereby notifies the Securities and Exchange Commission that it registers under and pursuant to the provisions of Section 8(a) of the Investment Company

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CORRESP 3 filename3.htm [DECHERT LLP LETTERHEAD] September 6, 2013 VIA EDGAR Filing Room U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549-4720 Re: Ark ETF Trust Investment Company Act of 1940 File No. 811-22883 Ladies and Gentlemen: Enclosed for filing on behalf of Ark ETF Trust (“Trust”), a recently organized open-end management investment company, is one copy of th

- FORM N-1A

As filed with the Securities and Exchange Commission on September 6, 2013 No. 333- No. 811-22883 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x Pre-Effective Amendment No. o Post-Effective Amendment No. o and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 x Amendment No. o (Check approp

Certificate of Trust of Registrant dated June 7, 20131

STATE of DELAWARE CERTIFICATE of TRUST This Certificate of Trust is filed in accordance with the provisions of the Delaware Statutory Trust Act (Title 12 of the Delaware Code, Section 3801 et seq.