UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-CSR
CERTIFIED SHAREHOLDER REPORT OF REGISTERED MANAGEMENT
INVESTMENT COMPANIES
Investment Company Act file number 811-22883
ARK ETF Trust
(Exact name of registrant as specified in charter)
c/o ARK Investment Management LLC
200 Central Avenue, Suite 220
St. Petersburg, FL 33701
(Address of principal executive offices) (Zip code)
Corporation Service Company
2711 Centerville Road
Suite 400
Wilmington, DE 19808
(Name and address of agent for service)
Registrant’s telephone number, including area code: (727) 810-8160
Date of fiscal year end: July 31
Date of reporting period: January 31, 2023
Form N-CSR is to be used by management investment companies to file reports with the Commission not later than 10 days after the transmission to stockholders of any report that is required to be transmitted to stockholders under Rule 30e-1 under the Investment Company Act of 1940 (17 CFR 270.30e-1). The Commission may use the information provided on Form N-CSR in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-CSR, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-CSR unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
Item 1. Reports to Stockholders.
(a) | The Report to Shareholders is attached herewith. |
SEMI-ANNUAL REPORT
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ETF | | | Commencement Date | |
ARK Genomic Revolution ETF | | | 10/31/14 | |
ARK Autonomous Technology & Robotics ETF | | | 9/30/14 | |
ARK Innovation ETF | | | 10/31/14 | |
ARK Next Generation Internet ETF | | | 9/30/14 | |
ARK Fintech Innovation ETF | | | 2/4/19 | |
ARK Space Exploration & Innovation ETF | | | 3/30/21 | |
The 3D Printing ETF | | | 7/19/16 | |
The ARK Israel Innovative Technology ETF | | | 12/5/17 | |
Chief Investment Officer and Chief Executive Officer
ARK Investment Management LLC
| | | Beginning Account Value 8/1/2022 | | | Ending Account Value 1/31/2023 | | | Annualized Expense Ratios for the Period | | | Expenses Paid During the Period(a) | | ||||||||||||
ARK Genomic Revolution ETF | | | | | | | | | | | | | | | | | | | | | | | | | |
Actual | | | | $ | 1,000.00 | | | | | $ | 918.80 | | | | | | 0.75% | | | | | $ | 3.63 | | |
Hypothetical (5% return before expenses) | | | | $ | 1,000.00 | | | | | $ | 1,021.42 | | | | | | 0.75% | | | | | $ | 3.82 | | |
ARK Autonomous Technology & Robotics ETF | | | | | | | | | | | | | | | | | | | | | | | | | |
Actual | | | | $ | 1,000.00 | | | | | $ | 866.50 | | | | | | 0.75% | | | | | $ | 3.53 | | |
Hypothetical (5% return before expenses) | | | | $ | 1,000.00 | | | | | $ | 1,021.42 | | | | | | 0.75% | | | | | $ | 3.82 | | |
ARK Innovation ETF | | | | | | | | | | | | | | | | | | | | | | | | | |
Actual | | | | $ | 1,000.00 | | | | | $ | 885.00 | | | | | | 0.75% | | | | | $ | 3.56 | | |
Hypothetical (5% return before expenses) | | | | $ | 1,000.00 | | | | | $ | 1,021.42 | | | | | | 0.75% | | | | | $ | 3.82 | | |
ARK Next Generation Internet ETF | | | | | | | | | | | | | | | | | | | | | | | | | |
Actual | | | | $ | 1,000.00 | | | | | $ | 912.10 | | | | | | 0.75% | | | | | $ | 3.61 | | |
Hypothetical (5% return before expenses) | | | | $ | 1,000.00 | | | | | $ | 1,021.42 | | | | | | 0.75% | | | | | $ | 3.82 | | |
ARK Fintech Innovation ETF | | | | | | | | | | | | | | | | | | | | | | | | | |
Actual | | | | $ | 1,000.00 | | | | | $ | 1,027.80 | | | | | | 0.75% | | | | | $ | 3.84 | | |
Hypothetical (5% return before expenses) | | | | $ | 1,000.00 | | | | | $ | 1,021.42 | | | | | | 0.75% | | | | | $ | 3.83 | | |
ARK Space Exploration & Innovation ETF | | | | | | | | | | | | | | | | | | | | | | | | | |
Actual | | | | $ | 1,000.00 | | | | | $ | 936.30 | | | | | | 0.71% | | | | | $ | 3.48 | | |
Hypothetical (5% return before expenses) | | | | $ | 1,000.00 | | | | | $ | 1,021.61 | | | | | | 0.71% | | | | | $ | 3.63 | | |
The 3D Printing ETF | | | | | | | | | | | | | | | | | | | | | | | | | |
Actual | | | | $ | 1,000.00 | | | | | $ | 994.00 | | | | | | 0.66% | | | | | $ | 3.32 | | |
Hypothetical (5% return before expenses) | | | | $ | 1,000.00 | | | | | $ | 1,021.88 | | | | | | 0.66% | | | | | $ | 3.37 | | |
The ARK Israel Innovative Technology ETF | | | | | | | | | | | | | | | | | | | | | | | | | |
Actual | | | | $ | 1,000.00 | | | | | $ | 968.40 | | | | | | 0.49% | | | | | $ | 2.44 | | |
Hypothetical (5% return before expenses) | | | | $ | 1,000.00 | | | | | $ | 1,022.73 | | | | | | 0.49% | | | | | $ | 2.50 | | |
ETF (ARKG)
| ■ | | | Health Care | | | | | 90.6% | | |
| ■ | | | Information Technology | | | | | 5.1 | | |
| ■ | | | Materials | | | | | 3.8 | | |
| ■ | | | Money Market Fund | | | | | 0.5 | | |
| | | | | | | | | 100.0 | | |
& Robotics ETF (ARKQ)
| ■ | | | Industrials | | | | | 37.6% | | |
| ■ | | | Information Technology | | | | | 30.9 | | |
| ■ | | | Consumer Discretionary | | | | | 21.1 | | |
| ■ | | | Communication Services | | | | | 9.0 | | |
| ■ | | | Health Care | | | | | 1.3 | | |
| ■ | | | Money Market Fund | | | | | 0.1 | | |
| | | | | | | | | 100.0 | | |
| ■ | | | Information Technology | | | | | 35.9% | | |
| ■ | | | Health Care | | | | | 31.3 | | |
| ■ | | | Consumer Discretionary | | | | | 13.0 | | |
| ■ | | | Communication Services | | | | | 9.9 | | |
| ■ | | | Financials | | | | | 7.2 | | |
| ■ | | | Materials | | | | | 2.3 | | |
| ■ | | | Money Market Fund | | | | | 0.4 | | |
| | | | | | | | | 100.0 | | |
Internet ETF (ARKW)
| ■ | | | Information Technology | | | | | 47.7% | | |
| ■ | | | Consumer Discretionary | | | | | 18.3 | | |
| ■ | | | Financials | | | | | 15.4 | | |
| ■ | | | Communication Services | | | | | 12.6 | | |
| ■ | | | Health Care | | | | | 5.7 | | |
| ■ | | | Money Market Fund | | | | | 0.3 | | |
| | | | | | | | | 100.0 | | |
ETF (ARKF)
| ■ | | | Information Technology | | | | | 50.3% | | |
| ■ | | | Financials | | | | | 23.4 | | |
| ■ | | | Consumer Discretionary | | | | | 16.0 | | |
| ■ | | | Communication Services | | | | | 6.8 | | |
| ■ | | | Health Care | | | | | 3.0 | | |
| ■ | | | Real Estate | | | | | 0.5 | | |
| ■ | | | Money Market Fund | | | | | 0.0(a) | | |
| | | | | | | | | 100.0 | | |
& Innovation ETF (ARKX)
| ■ | | | Industrials | | | | | 56.2% | | |
| ■ | | | Information Technology | | | | | 23.8 | | |
| ■ | | | Communication Services | | | | | 10.1 | | |
| ■ | | | Equity Fund | | | | | 5.7 | | |
| ■ | | | Consumer Discretionary | | | | | 4.0 | | |
| ■ | | | Money Market Fund | | | | | 0.2 | | |
| | | | | | | | | 100.0 | | |
| ■ | | | Information Technology | | | | | 49.5% | | |
| ■ | | | Industrials | | | | | 32.5 | | |
| ■ | | | Health Care | | | | | 8.4 | | |
| ■ | | | Consumer Discretionary | | | | | 5.5 | | |
| ■ | | | Materials | | | | | 3.6 | | |
| ■ | | | Money Market Fund | | | | | 0.4 | | |
| ■ | | | Consumer Staples | | | | | 0.1 | | |
| | | | | | | | | 100.0 | | |
Technology ETF (IZRL)
| ■ | | | Information Technology | | | | | 63.5% | | |
| ■ | | | Communication Services | | | | | 14.0 | | |
| ■ | | | Health Care | | | | | 11.4 | | |
| ■ | | | Consumer Discretionary | | | | | 7.0 | | |
| ■ | | | Industrials | | | | | 4.0 | | |
| ■ | | | Money Market Fund | | | | | 0.1 | | |
| | | | | | | | | 100.0 | | |
Investments | | | Shares | | | Value | | ||||||
COMMON STOCKS – 99.6% | | ||||||||||||
Biotechnology – 56.4% | | ||||||||||||
Arcturus Therapeutics Holdings, Inc.*† | | | | | 1,996,055 | | | | | $ | 42,176,642 | | |
Beam Therapeutics, Inc.* | | | | | 2,123,255 | | | | | | 92,255,430 | | |
CareDx, Inc.*† | | | | | 6,394,502 | | | | | | 95,533,860 | | |
Compass Pathways PLC (United Kingdom)*†(a) | | | | | 2,142,764 | | | | | | 22,241,890 | | |
CRISPR Therapeutics AG (Switzerland)* | | | | | 1,570,780 | | | | | | 80,141,196 | | |
Exact Sciences Corp.* | | | | | 3,793,330 | | | | | | 256,125,642 | | |
Incyte Corp.* | | | | | 942,347 | | | | | | 80,231,424 | | |
Intellia Therapeutics, Inc.* | | | | | 1,860,627 | | | | | | 78,965,010 | | |
Ionis Pharmaceuticals, Inc.* | | | | | 2,649,892 | | | | | | 105,651,194 | | |
Iovance Biotherapeutics, Inc.* | | | | | 810,896 | | | | | | 6,454,732 | | |
Moderna, Inc.* | | | | | 149,643 | | | | | | 26,346,147 | | |
Nurix Therapeutics, Inc.* | | | | | 1,971,279 | | | | | | 24,227,019 | | |
Organovo Holdings, Inc.* | | | | | 104,443 | | | | | | 170,242 | | |
Prime Medicine, Inc.* | | | | | 1,426,062 | | | | | | 25,070,170 | | |
Recursion Pharmaceuticals, Inc., Class A* | | | | | 3,074,056 | | | | | | 25,606,886 | | |
Regeneron Pharmaceuticals, Inc.* | | | | | 33,707 | | | | | | 25,565,748 | | |
Repare Therapeutics, Inc. (Canada)*† | | | | | 2,455,851 | | | | | | 30,354,319 | | |
Senti Biosciences, Inc.* | | | | | 1,907,970 | | | | | | 3,491,585 | | |
Senti Biosciences, Inc.*(b) | | | | | 243,471 | | | | | | 423,274 | | |
Surface Oncology, Inc.*† | | | | | 5,564,152 | | | | | | 5,198,031 | | |
Twist Bioscience Corp.*† | | | | | 2,897,812 | | | | | | 83,138,226 | | |
Veracyte, Inc.* | | | | | 2,228,579 | | | | | | 56,004,190 | | |
Vertex Pharmaceuticals, Inc.* | | | | | 121,021 | | | | | | 39,101,885 | | |
Verve Therapeutics, Inc.* | | | | | 2,777,448 | | | | | | 63,186,942 | | |
Total Biotechnology | | | | | 1,267,661,684 | | | ||||||
Chemicals – 3.8% | | ||||||||||||
Ginkgo Bioworks Holdings, Inc.* | | | | | 44,239,087 | | | | | | 86,266,220 | | |
Electronic Equipment, Instruments & Components – 1.5% | | ||||||||||||
908 Devices, Inc.*† | | | | | 3,658,705 | | | | | | 34,099,131 | | |
Health Care Equipment & Supplies – 2.0% | | ||||||||||||
Butterfly Network, Inc.*† | | | | | 9,493,992 | | | | | | 26,108,478 | | |
Cerus Corp.* | | | | | 5,747,015 | | | | | | 18,045,627 | | |
Total Health Care Equipment & Supplies | | | | | 44,154,105 | | | ||||||
Health Care Providers & Services – 4.3% | | ||||||||||||
Accolade, Inc.*† | | | | | 5,413,168 | | | | | | 63,171,671 | | |
Guardant Health, Inc.* | | | | | 496,057 | | | | | | 15,591,071 | | |
Invitae Corp.* | | | | | 7,904,291 | | | | | | 18,654,127 | | |
Total Health Care Providers & Services | | | | | 97,416,869 | | |
Investments | | | Shares | | | Value | | ||||||
Health Care Technology – 10.8% | | ||||||||||||
Schrodinger, Inc.*† | | | | | 3,927,447 | | | | | $ | 94,965,668 | | |
Teladoc Health, Inc.* | | | | | 3,824,850 | | | | | | 112,450,590 | | |
Veeva Systems, Inc., Class A* | | | | | 209,754 | | | | | | 35,773,545 | | |
Total Health Care Technology | | | | | 243,189,803 | | | ||||||
Life Sciences Tools & Services – 16.0% | | ||||||||||||
10X Genomics, Inc., Class A* | | | | | 846,312 | | | | | | 39,632,791 | | |
Adaptive Biotechnologies Corp.*† | | | | | 9,253,310 | | | | | | 85,778,184 | | |
Berkeley Lights, Inc.* | | | | | 2,315,479 | | | | | | 4,978,280 | | |
Codexis, Inc.*† | | | | | 4,316,781 | | | | | | 26,548,203 | | |
Pacific Biosciences of California, Inc.* | | | | | 11,282,907 | | | | | | 125,127,438 | | |
Personalis, Inc.*† | | | | | 5,665,840 | | | | | | 13,314,724 | | |
Quantum-Si, Inc.*† | | | | | 11,759,206 | | | | | | 26,105,437 | | |
SomaLogic, Inc.*† | | | | | 10,849,619 | | | | | | 37,756,674 | | |
Total Life Sciences Tools & Services | | | | | 359,241,731 | | | ||||||
Pharmaceuticals – 1.2% | | ||||||||||||
ATAI Life Sciences NV (Germany)* | | | | | 2,581,490 | | | | | | 4,595,052 | | |
Pfizer, Inc. | | | | | 487,075 | | | | | | 21,509,232 | | |
Total Pharmaceuticals | | | | | 26,104,284 | | | ||||||
Semiconductors & Semiconductor Equipment – 1.5% | | ||||||||||||
NVIDIA Corp. | | | | | 172,551 | | | | | | 33,711,289 | | |
Software – 2.1% | | ||||||||||||
UiPath, Inc., Class A* | | | | | 3,064,958 | | | | | | 47,077,755 | | |
Total Common Stocks | | | | | | | | | | | | | |
(Cost $6,116,127,780) | | | | | | | | | | | 2,238,922,871 | | |
MONEY MARKET FUND – 0.5% | | ||||||||||||
Dreyfus Government Cash Management Fund, Institutional Shares, 4.23%(c) | | | | | | | | | | | | | |
(Cost $10,592,126) | | | | | 10,592,126 | | | | | | 10,592,126 | | |
Total Investments – 100.1% (Cost $6,126,719,906) | | | | | | | | | | | 2,249,514,997 | | |
Liabilities in Excess of Other Assets – (0.1)% | | | | | (2,061,920) | | | ||||||
Net Assets – 100.0% | | | | | | | | | | $ | 2,247,453,077 | | |
Value ($) at 7/31/2022 | | | Purchases Cost ($) | | | Sales Proceeds ($) | | | Net Realized Gain/(Loss) ($) | | | Net Change in Unrealized Appreciation (Depreciation) ($) | | | Dividend Income ($) | | | Capital Gain Distributions ($) | | | Number of Shares at 1/31/2023 | | | Value ($) at 1/31/2023 | | ||||||||||||||||||||||||
Common Stocks — 30.5% | | ||||||||||||||||||||||||||||||||||||||||||||||||
Biotechnology — 12.4% | | ||||||||||||||||||||||||||||||||||||||||||||||||
Arcturus Therapeutics Holdings, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
39,811,175 | | | | | 10,887,222 | | | | | | (15,194,758) | | | | | | (5,909,373) | | | | | | 12,582,376 | | | | | | — | | | | | | — | | | | | | 1,996,055 | | | | | | 42,176,642 | | |
CareDx, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
104,441,573 | | | | | 75,734,027 | | | | | | (38,393,089) | | | | | | (631,886) | | | | | | (45,616,765) | | | | | | — | | | | | | — | | | | | | 6,394,502 | | | | | | 95,533,860 | | |
Compass Pathways PLC — | | | | | 28,034,653 | | | | | | (3,400,415) | | | | | | 28,658 | | | | | | (2,421,006) | | | | | | — | | | | | | — | | | | | | 2,142,764 | | | | | | 22,241,890 | | |
Repare Therapeutics, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
34,591,003 | | | | | 11,207,721 | | | | | | (14,879,089) | | | | | | (5,430,293) | | | | | | 4,864,977 | | | | | | — | | | | | | — | | | | | | 2,455,851 | | | | | | 30,354,319 | | |
Surface Oncology, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
10,813,242 | | | | | 2,072,211 | | | | | | (2,853,998) | | | | | | (664,770) | | | | | | (4,168,654) | | | | | | — | | | | | | — | | | | | | 5,564,152 | | | | | | 5,198,031 | | |
Twist Bioscience Corp. | | ||||||||||||||||||||||||||||||||||||||||||||||||
113,950,836 | | | | | 43,906,974 | | | | | | (37,835,407) | | | | | | (6,844,647) | | | | | | (30,039,530) | | | | | | — | | | | | | — | | | | | | 2,897,812 | | | | | | 83,138,226 | | |
Chemicals — 0.0% | | ||||||||||||||||||||||||||||||||||||||||||||||||
Zymergen, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
19,213,895 | | | | | 2,867,953 | | | | | | (20,336,476) | | | | | | (46,330,747) | | | | | | 44,585,375 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Electronic Equipment, Instruments & Components — 1.5% | | ||||||||||||||||||||||||||||||||||||||||||||||||
908 Devices, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
80,344,058 | | | | | 25,407,176 | | | | | | (21,534,782) | | | | | | (1,929,651) | | | | | | (48,187,670) | | | | | | — | | | | | | — | | | | | | 3,658,705 | | | | | | 34,099,131 | | |
Health Care Equipment & Supplies — 1.2% | | ||||||||||||||||||||||||||||||||||||||||||||||||
Butterfly Network, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
36,949,002 | | | | | 28,047,589 | | | | | | (19,121,985) | | | | | | (5,757,596) | | | | | | (14,008,532) | | | | | | — | | | | | | — | | | | | | 9,493,992 | | | | | | 26,108,478 | | |
Health Care Providers & Services — 2.8% | | ||||||||||||||||||||||||||||||||||||||||||||||||
Accolade, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
56,841,976 | | | | | 17,612,008 | | | | | | (24,967,325) | | | | | | 5,564,905 | | | | | | 8,120,107 | | | | | | — | | | | | | — | | | | | | 5,413,168 | | | | | | 63,171,671 | | |
Health Care Technology — 4.2% | | ||||||||||||||||||||||||||||||||||||||||||||||||
Schrodinger, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
107,424,667 | | | | | 51,892,359 | | | | | | (37,396,864) | | | | | | (1,016,329) | | | | | | (25,938,165) | | | | | | — | | | | | | — | | | | | | 3,927,447 | | | | | | 94,965,668 | | |
Life Sciences Tools & Services — 8.4% | | ||||||||||||||||||||||||||||||||||||||||||||||||
Adaptive Biotechnologies Corp. | | ||||||||||||||||||||||||||||||||||||||||||||||||
79,152,238 | | | | | 40,662,601 | | | | | | (32,905,166) | | | | | | 909,989 | | | | | | (2,041,478) | | | | | | — | | | | | | — | | | | | | 9,253,310 | | | | | | 85,778,184 | | |
Codexis, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
30,479,069 | | | | | 10,178,435 | | | | | | (10,879,119) | | | | | | (2,791,226) | | | | | | (438,956) | | | | | | — | | | | | | — | | | | | | 4,316,781 | | | | | | 26,548,203 | | |
Pacific Biosciences of California, Inc.^ | | ||||||||||||||||||||||||||||||||||||||||||||||||
52,499,699 | | | | | 33,418,945 | | | | | | (39,321,761) | | | | | | (1,496,982) | | | | | | 80,027,537 | | | | | | — | | | | | | — | | | | | | 11,282,907 | | | | | | 125,127,438 | | |
Personalis, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
19,984,442 | | | | | 7,723,221 | | | | | | (6,832,773) | | | | | | (429,609) | | | | | | (7,130,557) | | | | | | — | | | | | | — | | | | | | 5,665,840 | | | | | | 13,314,724 | | |
Quantum-Si, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
37,961,956 | | | | | 13,951,470 | | | | | | (13,438,972) | | | | | | (2,456,259) | | | | | | (9,912,758) | | | | | | — | | | | | | — | | | | | | 11,759,206 | | | | | | 26,105,437 | | |
SomaLogic, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
43,910,861 | | | | | 19,620,620 | | | | | | (12,500,936) | | | | | | (707,515) | | | | | | (12,566,356) | | | | | | — | | | | | | — | | | | | | 10,849,619 | | | | | | 37,756,674 | | |
$868,369,692 | | | | $ | 423,225,185 | | | | | $ | (351,792,915) | | | | | $ | (75,893,331) | | | | | $ | (52,290,055) | | | | | $ | — | | | | | $ | — | | | | | | 97,072,111 | | | | | $ | 811,618,576 | | |
ARK Genomic Revolution ETF | | | Level 1 | | | Level 2 | | | Level 3 | | | Total | | ||||||||||||
Assets | | | | | | | | | | | | | | | | | | | | | | | | | |
Common Stocks‡ | | | | $ | 2,238,499,597 | | | | | $ | 423,274 | | | | | $ | — | | | | | $ | 2,238,922,871 | | |
Money Market Fund | | | | | 10,592,126 | | | | | | — | | | | | | — | | | | | | 10,592,126 | | |
Total | | | | $ | 2,249,091,723 | | | | | $ | 423,274 | | | | | $ | — | | | | | $ | 2,249,514,997 | | |
Investments | | | Shares | | | Value | | ||||||
COMMON STOCKS – 99.8% | | ||||||||||||
Aerospace & Defense – 17.2% | | ||||||||||||
AeroVironment, Inc.* | | | | | 417,109 | | | | | $ | 37,110,187 | | |
Archer Aviation, Inc., Class A* | | | | | 6,945,072 | | | | | | 20,140,709 | | |
Elbit Systems Ltd. (Israel) | | | | | 96,567 | | | | | | 16,337,205 | | |
Kratos Defense & Security Solutions, Inc.* | | | | | 5,905,722 | | | | | | 67,620,517 | | |
Lockheed Martin Corp. | | | | | 19,834 | | | | | | 9,188,299 | | |
Rocket Lab USA, Inc.* | | | | | 1,830,330 | | | | | | 9,096,740 | | |
Total Aerospace & Defense | | | | | | | | | | | 159,493,657 | | |
Airlines – 2.4% | | ||||||||||||
Blade Air Mobility, Inc.*† | | | | | 5,095,028 | | | | | | 22,723,825 | | |
Auto Components – 2.3% | | ||||||||||||
Magna International, Inc. (Canada) | | | | | 321,626 | | | | | | 20,886,392 | | |
Automobiles – 16.6% | | ||||||||||||
BYD Co. Ltd. (China)(a) | | | | | 265,400 | | | | | | 16,852,900 | | |
General Motors Co. | | | | | 361,031 | | | | | | 14,195,739 | | |
NIO, Inc. (China)*(a) | | | | | 49 | | | | | | 592 | | |
Niu Technologies (China)*(a) | | | | | 339,021 | | | | | | 1,827,323 | | |
Tesla, Inc.* | | | | | 672,813 | | | | | | 116,544,668 | | |
XPeng, Inc. (China)*(a) | | | | | 367,160 | | | | | | 3,906,582 | | |
Total Automobiles | | | | | | | | | | | 153,327,804 | | |
Biotechnology – 0.0%(b) | | ||||||||||||
Organovo Holdings, Inc.* | | | | | 49,557 | | | | | | 80,778 | | |
Diversified Consumer Services – 0.6% | | ||||||||||||
2U, Inc.* | | | | | 584,295 | | | | | | 5,042,466 | | |
Diversified Telecommunication – 7.0% | | ||||||||||||
Iridium Communications, Inc.* | | | | | 1,086,953 | | | | | | 65,043,268 | | |
Electronic Equipment, Instruments & Components – 9.6% | | ||||||||||||
Teledyne Technologies, Inc.* | | | | | 31,656 | | | | | | 13,430,375 | | |
Trimble, Inc.* | | | | | 1,304,318 | | | | | | 75,728,703 | | |
Total Electronic Equipment, Instruments & Components | | | | | | | | | | | 89,159,078 | | |
Health Care Equipment & Supplies – 1.3% | | ||||||||||||
Intuitive Surgical, Inc.* | | | | | 49,730 | | | | | | 12,218,164 | | |
Household Durables – 1.6% | | ||||||||||||
Vuzix Corp.* | | | | | 2,749,643 | | | | | | 14,325,640 | | |
Interactive Media & Services – 2.0% | | ||||||||||||
Alphabet, Inc., Class C* | | | | | 186,530 | | | | | | 18,628,751 | | |
Investments | | | Shares | | | Value | | ||||||
Machinery – 17.9% | | ||||||||||||
3D Systems Corp.* | | | | | 2,506,194 | | | | | $ | 27,217,267 | | |
Caterpillar, Inc. | | | | | 76,202 | | | | | | 19,225,002 | | |
Deere & Co. | | | | | 105,418 | | | | | | 44,574,947 | | |
Komatsu Ltd. (Japan)(a) | | | | | 1,620,701 | | | | | | 39,950,280 | | |
Markforged Holding Corp.*† | | | | | 10,172,010 | | | | | | 13,630,493 | | |
Proto Labs, Inc.* | | | | | 186,261 | | | | | | 5,699,587 | | |
Velo3D, Inc.* | | | | | 6,370,671 | | | | | | 15,289,610 | | |
Total Machinery | | | | | | | | | | | 165,587,186 | | |
Semiconductors & Semiconductor Equipment – 7.6% | | ||||||||||||
NVIDIA Corp. | | | | | 105,651 | | | | | | 20,641,036 | | |
Teradyne, Inc. | | | | | 491,357 | | | | | | 49,971,007 | | |
Total Semiconductors & Semiconductor Equipment | | | | | | | | | | | 70,612,043 | | |
Software – 12.4% | | ||||||||||||
ANSYS, Inc.* | | | | | 43,746 | | | | | | 11,652,185 | | |
Materialise NV (Belgium)*(a) | | | | | 907,956 | | | | | | 9,569,856 | | |
Synopsys, Inc.* | | | | | 34,379 | | | | | | 12,161,571 | | |
UiPath, Inc., Class A* | | | | | 4,261,757 | | | | | | 65,460,587 | | |
Unity Software, Inc.* | | | | | 445,857 | | | | | | 15,836,841 | | |
Total Software | | | | | | | | | | | 114,681,040 | | |
Technology Hardware, Storage & Peripherals – 1.3% | | ||||||||||||
Stratasys Ltd.* | | | | | 832,695 | | | | | | 11,932,519 | | |
Total Common Stocks (Cost $1,571,047,376) | | | | | | | | | | | 923,742,611 | | |
MONEY MARKET FUND – 0.1% | | ||||||||||||
Dreyfus Government Cash Management Fund, Institutional Shares, 4.23%(c) (Cost $1,163,049) | | | | | 1,163,049 | | | | | | 1,163,049 | | |
Total Investments – 99.9% (Cost $1,572,210,425) | | | | | | | | | | | 924,905,660 | | |
Other Assets in Excess of Liabilities – 0.1% | | | | | 1,272,901 | | | ||||||
Net Assets – 100.0% | | | | | | | | | | $ | 926,178,561 | | |
Value ($) at 7/31/2022 | | | Purchases Cost ($) | | | Sales Proceeds ($) | | | Net Realized Gain/(Loss) ($) | | | Net Change in Unrealized Appreciation (Depreciation) ($) | | | Dividend Income ($) | | | Capital Gain Distributions ($) | | | Number of Shares at 1/31/2023 | | | Value ($) at 1/31/2023 | | ||||||||||||||||||||||||
Common Stocks — 3.9% | | ||||||||||||||||||||||||||||||||||||||||||||||||
Aerospace & Defense — 0.0% | | ||||||||||||||||||||||||||||||||||||||||||||||||
Kratos Defense & Security Solutions, Inc.^ | | ||||||||||||||||||||||||||||||||||||||||||||||||
96,360,376 | | | | | 167,566 | | | | | | (8,683,110) | | | | | | (7,489,417) | | | | | | (12,734,898) | | | | | | — | | | | | | — | | | | | | 5,905,722 | | | | | | 67,620,517 | | |
Airlines — 2.4% | | ||||||||||||||||||||||||||||||||||||||||||||||||
Blade Air Mobility, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
32,091,985 | | | | | 55,632 | | | | | | (3,004,347) | | | | | | (2,929,091) | | | | | | (3,490,354) | | | | | | — | | | | | | — | | | | | | 5,095,028 | | | | | | 22,723,825 | | |
Machinery — 1.5% | | ||||||||||||||||||||||||||||||||||||||||||||||||
Markforged Holding Corp. | | ||||||||||||||||||||||||||||||||||||||||||||||||
21,267,591 | | | | | 4,561,143 | | | | | | (2,338,833) | | | | | | (936,902) | | | | | | (8,922,506) | | | | | | — | | | | | | — | | | | | | 10,172,010 | | | | | | 13,630,493 | | |
$149,719,952 | | | | $ | 4,784,341 | | | | | $ | (14,026,290) | | | | | $ | (11,355,410) | | | | | $ | (25,147,758) | | | | | $ | — | | | | | $ | — | | | | | | 21,172,760 | | | | | $ | 103,974,835 | | |
ARK Autonomous Technology & Robotics ETF | | | Level 1 | | | Level 2 | | | Level 3 | | | Total | | ||||||||||||
Assets | | | | | | | | | | | | | | | | | | | | | | | | | |
Common Stocks‡ | | | | $ | 923,742,611 | | | | | $ | — | | | | | $ | — | | | | | $ | 923,742,611 | | |
Money Market Fund | | | | | 1,163,049 | | | | | | — | | | | | | — | | | | | | 1,163,049 | | |
Total | | | | $ | 924,905,660 | | | | | $ | — | | | | | $ | — | | | | | $ | 924,905,660 | | |
Investments | | | Shares | | | Value | | ||||||
COMMON STOCKS – 99.7% | | ||||||||||||
Automobiles – 9.1% | | ||||||||||||
Tesla, Inc.* | | | | | 4,041,211 | | | | | $ | 700,018,569 | | |
Biotechnology – 22.0% | | ||||||||||||
Beam Therapeutics, Inc.*† | | | | | 6,054,479 | | | | | | 263,067,113 | | |
CRISPR Therapeutics AG (Switzerland)*† | | | | | 5,451,073 | | | | | | 278,113,744 | | |
Exact Sciences Corp.* | | | | | 8,817,700 | | | | | | 595,371,104 | | |
Intellia Therapeutics, Inc.*† | | | | | 6,700,602 | | | | | | 284,373,549 | | |
Twist Bioscience Corp.*† | | | | | 3,826,000 | | | | | | 109,767,940 | | |
Veracyte, Inc.*† | | | | | 4,728,072 | | | | | | 118,816,449 | | |
Verve Therapeutics, Inc.* | | | | | 1,524,933 | | | | | | 34,692,226 | | |
Total Biotechnology | | | | | | | | | | | 1,684,202,125 | | |
Capital Markets – 7.2% | | ||||||||||||
Coinbase Global, Inc., Class A* | | | | | 5,940,266 | | | | | | 347,386,756 | | |
Robinhood Markets, Inc., Class A* | | | | | 19,628,399 | | | | | | 204,331,633 | | |
Total Capital Markets | | | | | | | | | | | 551,718,389 | | |
Chemicals – 2.3% | | ||||||||||||
Ginkgo Bioworks Holdings, Inc.*† | | | | | 91,928,299 | | | | | | 179,260,183 | | |
Diversified Consumer Services – 0.7% | | ||||||||||||
2U, Inc.*† | | | | | 6,260,089 | | | | | | 54,024,568 | | |
Entertainment – 9.9% | | ||||||||||||
ROBLOX Corp., Class A* | | | | | 6,202,707 | | | | | | 230,802,728 | | |
Roku, Inc.*† | | | | | 9,188,230 | | | | | | 528,323,225 | | |
Total Entertainment | | | | | | | | | | | 759,125,953 | | |
Health Care Equipment & Supplies – 0.5% | | ||||||||||||
Cerus Corp.*† | | | | | 11,050,353 | | | | | | 34,698,108 | | |
Health Care Providers & Services – 0.5% | | ||||||||||||
Invitae Corp.*† | | | | | 17,589,833 | | | | | | 41,512,006 | | |
Health Care Technology – 4.4% | | ||||||||||||
Teladoc Health, Inc.*† | | | | | 11,586,400 | | | | | | 340,640,160 | | |
Hotels, Restaurants & Leisure – 3.2% | | ||||||||||||
DraftKings, Inc., Class A* | | | | | 16,500,919 | | | | | | 247,348,776 | | |
IT Services – 15.5% | | ||||||||||||
Block, Inc.* | | | | | 5,880,932 | | | | | | 480,589,763 | | |
Shopify, Inc., Class A (Canada)* | | | | | 8,258,093 | | | | | | 406,876,242 | | |
Twilio, Inc., Class A* | | | | | 5,005,793 | | | | | | 299,546,653 | | |
Total IT Services | | | | | | | | | | | 1,187,012,658 | | |
Life Sciences Tools & Services – 4.0% | | ||||||||||||
10X Genomics, Inc., Class A* | | | | | 3,059,455 | | | | | | 143,274,278 | | |
Pacific Biosciences of California, Inc.*† | | | | | 14,302,873 | | | | | | 158,618,862 | | |
Total Life Sciences Tools & Services | | | | | | | | | | | 301,893,140 | | |
Investments | | | Shares | | | Value | | ||||||
Software – 20.4% | | ||||||||||||
Materialise NV (Belgium)*(a) | | | | | 82,423 | | | | | $ | 868,738 | | |
PagerDuty, Inc.*† | | | | | 7,716,490 | | | | | | 229,874,237 | | |
UiPath, Inc., Class A*† | | | | | 26,430,351 | | | | | | 405,970,192 | | |
Unity Software, Inc.* | | | | | 8,111,519 | | | | | | 288,121,155 | | |
Zoom Video Communications, Inc., Class A* | | | | | 8,457,143 | | | | | | 634,285,725 | | |
Total Software | | | | | | | | | | | 1,559,120,047 | | |
Total Common Stocks (Cost $19,395,064,129) | | | | | | | | | | | 7,640,574,682 | | |
MONEY MARKET FUND – 0.4% | | ||||||||||||
Dreyfus Government Cash Management Fund, Institutional Shares, 4.23%(b) (Cost $32,627,559) | | | | | 32,627,559 | | | | | | 32,627,559 | | |
Total Investments – 100.1% (Cost $19,427,691,688) | | | | | | | | | | | 7,673,202,241 | | |
Liabilities in Excess of Other Assets – (0.1)% | | | | | (9,477,939) | | | ||||||
Net Assets – 100.0% | | | | | | | | | | $ | 7,663,724,302 | | |
Value ($) at 7/31/2022 | | | Purchases Cost ($) | | | Sales Proceeds ($) | | | Net Realized Gain/(Loss) ($) | | | Net Change in Unrealized Appreciation (Depreciation) ($) | | | Dividend Income ($) | | | Capital Gain Distributions ($) | | | Number of Shares at 1/31/2023 | | | Value ($) at 1/31/2023 | | ||||||||||||||||||||||||
Common Stocks — 39.5% | | ||||||||||||||||||||||||||||||||||||||||||||||||
Biotechnology — 13.8% | | ||||||||||||||||||||||||||||||||||||||||||||||||
Beam Therapeutics, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
425,310,301 | | | | | 196,052,733 | | | | | | (234,826,555) | | | | | | (5,047,004) | | | | | | (118,422,362) | | | | | | — | | | | | | — | | | | | | 6,054,479 | | | | | | 263,067,113 | | |
CRISPR Therapeutics AG | | ||||||||||||||||||||||||||||||||||||||||||||||||
475,632,825 | | | | | 213,536,470 | | | | | | (277,952,821) | | | | | | (26,465,198) | | | | | | (106,637,532) | | | | | | — | | | | | | — | | | | | | 5,451,073 | | | | | | 278,113,744 | | |
Exact Sciences Corp.^ | | ||||||||||||||||||||||||||||||||||||||||||||||||
453,419,254 | | | | | 355,741,102 | | | | | | (460,594,281) | | | | | | (128,122,301) | | | | | | 374,927,330 | | | | | | — | | | | | | — | | | | | | 8,817,700 | | | | | | 595,371,104 | | |
Fate Therapeutics, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
218,139,689 | | | | | 101,718,976 | | | | | | (176,598,032) | | | | | | (460,303,352) | | | | | | 317,042,719 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Intellia Therapeutics, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
430,810,590 | | | | | 246,289,813 | | | | | | (243,787,480) | | | | | | (15,262,362) | | | | | | (133,677,012) | | | | | | — | | | | | | — | | | | | | 6,700,602 | | | | | | 284,373,549 | | |
Twist Bioscience Corp. | | ||||||||||||||||||||||||||||||||||||||||||||||||
178,879,891 | | | | | 86,419,698 | | | | | | (95,774,256) | | | | | | 1,797,165 | | | | | | (61,554,558) | | | | | | — | | | | | | — | | | | | | 3,826,000 | | | | | | 109,767,940 | | |
Veracyte, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
137,390,204 | | | | | 70,679,636 | | | | | | (84,120,938) | | | | | | (2,877,615) | | | | | | (2,254,838) | | | | | | — | | | | | | — | | | | | | 4,728,072 | | | | | | 118,816,449 | | |
Chemicals — 2.3% | | ||||||||||||||||||||||||||||||||||||||||||||||||
Ginkgo Bioworks Holdings, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
200,265,720 | | | | | 201,903,341 | | | | | | (142,436,097) | | | | | | 8,178,061 | | | | | | (88,650,842) | | | | | | — | | | | | | — | | | | | | 91,928,299 | | | | | | 179,260,183 | | |
Diversified Consumer Services — 0.7% | | ||||||||||||||||||||||||||||||||||||||||||||||||
2U, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
64,267,072 | | | | | 29,971,906 | | | | | | (32,480,730) | | | | | | (1,844,206) | | | | | | (5,889,474) | | | | | | — | | | | | | — | | | | | | 6,260,089 | | | | | | 54,024,568 | | |
Entertainment — 6.9% | | ||||||||||||||||||||||||||||||||||||||||||||||||
Roku, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
597,014,440 | | | | | 384,140,011 | | | | | | (385,482,662) | | | | | | (3,091,230) | | | | | | (64,257,334) | | | | | | — | | | | | | — | | | | | | 9,188,230 | | | | | | 528,323,225 | | |
Health Care Equipment & Supplies — 0.5% | | ||||||||||||||||||||||||||||||||||||||||||||||||
Cerus Corp. | | ||||||||||||||||||||||||||||||||||||||||||||||||
64,337,431 | | | | | 27,736,480 | | | | | | (32,334,308) | | | | | | (874,681) | | | | | | (24,166,814) | | | | | | — | | | | | | — | | | | | | 11,050,353 | | | | | | 34,698,108 | | |
Health Care Providers & Services — 0.5% | | ||||||||||||||||||||||||||||||||||||||||||||||||
Invitae Corp. | | ||||||||||||||||||||||||||||||||||||||||||||||||
35,214,655 | | | | | 38,043,337 | | | | | | (37,622,069) | | | | | | (5,333,581) | | | | | | 11,209,664 | | | | | | — | | | | | | — | | | | | | 17,589,833 | | | | | | 41,512,006 | | |
Signify Health, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
228,647,398 | | | | | 35,405,697 | | | | | | (394,871,541) | | | | | | 75,598,078 | | | | | | 55,220,368 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Health Care Technology — 4.4% | | ||||||||||||||||||||||||||||||||||||||||||||||||
Teladoc Health, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
439,542,710 | | | | | 238,848,469 | | | | | | (244,149,614) | | | | | | (19,907,048) | | | | | | (73,694,357) | | | | | | — | | | | | | — | | | | | | 11,586,400 | | | | | | 340,640,160 | | |
Life Sciences Tools & Services — 2.1% | | ||||||||||||||||||||||||||||||||||||||||||||||||
Berkeley Lights, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
18,250,247 | | | | | 3,208,066 | | | | | | (16,616,968) | | | | | | (139,777,712) | | | | | | 134,936,367 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Compugen Ltd. | | ||||||||||||||||||||||||||||||||||||||||||||||||
9,521,030 | | | | | 456,284 | | | | | | (8,458,001) | | | | | | (51,068,846) | | | | | | 49,549,533 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Pacific Biosciences of California, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
61,525,177 | | | | | 84,391,111 | | | | | | (81,603,883) | | | | | | 371,573 | | | | | | 93,934,884 | | | | | | — | | | | | | — | | | | | | 14,302,873 | | | | | | 158,618,862 | | |
Road & Rail — 0.0% | | ||||||||||||||||||||||||||||||||||||||||||||||||
TuSimple Holdings, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
107,440,372 | | | | | 34,704,558 | | | | | | (68,320,392) | | | | | | (275,689,876) | | | | | | 201,865,338 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Value ($) at 7/31/2022 | | | Purchases Cost ($) | | | Sales Proceeds ($) | | | Net Realized Gain/(Loss) ($) | | | Net Change in Unrealized Appreciation (Depreciation) ($) | | | Dividend Income ($) | | | Capital Gain Distributions ($) | | | Number of Shares at 1/31/2023 | | | Value ($) at 1/31/2023 | | ||||||||||||||||||||||||
Software — 8.3% | | ||||||||||||||||||||||||||||||||||||||||||||||||
Materialise NV^ | | ||||||||||||||||||||||||||||||||||||||||||||||||
59,636,430 | | | | | 21,826,297 | | | | | | (62,320,975) | | | | | | (76,963,831) | | | | | | 58,690,817 | | | | | | — | | | | | | — | | | | | | 82,423 | | | | | | 868,738 | | |
PagerDuty, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
215,727,928 | | | | | 124,522,233 | | | | | | (141,670,075) | | | | | | 219,752 | | | | | | 31,074,399 | | | | | | — | | | | | | — | | | | | | 7,716,490 | | | | | | 229,874,237 | | |
UiPath, Inc. | | ||||||||||||||||||||||||||||||||||||||||||||||||
413,196,381 | | | | | 297,950,377 | | | | | | (259,099,649) | | | | | | 4,739,900 | | | | | | (50,816,817) | | | | | | — | | | | | | — | | | | | | 26,430,351 | | | | | | 405,970,192 | | |
$4,834,169,745 | | | | $ | 2,793,546,595 | | | | | $ | (3,481,121,327) | | | | | $ | (1,121,724,314) | | | | | $ | 598,429,479 | | | | | $ | — | | | | | $ | — | | | | | | 231,713,267 | | | | | $ | 3,623,300,178 | | |
ARK Innovation ETF | | | Level 1 | | | Level 2 | | | Level 3 | | | Total | | ||||||||||||
Assets | | | | | | | | | | | | | | | | | | | | | | | | | |
Common Stocks‡ | | | | $ | 7,640,574,682 | | | | | $ | — | | | | | $ | — | | | | | $ | 7,640,574,682 | | |
Money Market Fund | | | | | 32,627,559 | | | | | | — | | | | | | — | | | | | | 32,627,559 | | |
Total | | | | $ | 7,673,202,241 | | | | | $ | — | | | | | $ | — | | | | | $ | 7,673,202,241 | | |
Investments | | | Shares | | | Value | | ||||||
COMMON STOCKS – 94.1% | | ||||||||||||
Automobiles – 6.1% | | ||||||||||||
Tesla, Inc.* | | | | | 441,220 | | | | | $ | 76,428,129 | | |
Banks – 0.6% | | | | ||||||||||
NU Holdings Ltd., Class A (Brazil)* | | | | | 1,486,016 | | | | | | 6,909,974 | | |
Biotechnology – 1.6% | | | | ||||||||||
Veracyte, Inc.* | | | | | 788,064 | | | | | | 19,804,048 | | |
Capital Markets – 9.2% | | | | ||||||||||
Coinbase Global, Inc., Class A* | | | | | 1,356,367 | | | | | | 79,320,342 | | |
Robinhood Markets, Inc., Class A* | | | | | 3,389,264 | | | | | | 35,282,239 | | |
Total Capital Markets | | | | | | | | | | | 114,602,581 | | |
Diversified Consumer Services – 0.8% | | | | ||||||||||
2U, Inc.* | | | | | 1,117,876 | | | | | | 9,647,270 | | |
Entertainment – 11.8% | | | | ||||||||||
Endeavor Group Holdings, Inc., Class A* | | | | | 515,382 | | | | | | 11,560,018 | | |
ROBLOX Corp., Class A* | | | | | 1,247,207 | | | | | | 46,408,572 | | |
Roku, Inc.* | | | | | 1,535,133 | | | | | | 88,270,148 | | |
Total Entertainment | | | | | | | | | | | 146,238,738 | | |
Health Care Technology – 4.1% | | | | ||||||||||
Teladoc Health, Inc.* | | | | | 1,749,101 | | | | | | 51,423,570 | | |
Hotels, Restaurants & Leisure – 6.9% | | | | ||||||||||
DraftKings, Inc., Class A* | | | | | 3,965,158 | | | | | | 59,437,718 | | |
Genius Sports Ltd. (United Kingdom)* | | | | | 4,890,179 | | | | | | 26,847,083 | | |
Total Hotels, Restaurants & Leisure | | | | | | | | | | | 86,284,801 | | |
Household Durables – 1.5% | | | | ||||||||||
Vuzix Corp.*† | | | | | 3,735,558 | | | | | | 19,462,257 | | |
Interactive Media & Services – 0.9% | | | | ||||||||||
Nextdoor Holdings, Inc.* | | | | | 4,717,842 | | | | | | 11,605,891 | | |
Internet & Direct Marketing Retail – 2.9% | | ||||||||||||
MercadoLibre, Inc. (Brazil)* | | | | | 30,764 | | | | | | 36,353,511 | | |
IT Services – 22.0% | | | | ||||||||||
Adyen NV (Netherlands)*(a) | | | | | 792,523 | | | | | | 11,919,546 | | |
Block, Inc.* | | | | | 1,264,938 | | | | | | 103,370,733 | | |
Cloudflare, Inc., Class A* | | | | | 298,965 | | | | | | 15,818,238 | | |
Shopify, Inc., Class A (Canada)* | | | | | 1,692,654 | | | | | | 83,397,063 | | |
Twilio, Inc., Class A* | | | | | 1,001,632 | | | | | | 59,937,659 | | |
Total IT Services | | | | | | | | | | | 274,443,239 | | |
Semiconductors & Semiconductor Equipment – 1.8% | | ||||||||||||
NVIDIA Corp. | | | | | 113,403 | | | | | | 22,155,544 | | |
Investments | | | Shares | | | Value | | ||||||
Software – 23.9% | | ||||||||||||
Adobe, Inc.* | | | | | 55,793 | | | | | $ | 20,662,380 | | |
Crowdstrike Holdings, Inc., Class A* | | | | | 118,175 | | | | | | 12,514,732 | | |
Monday.com Ltd.* | | | | | 230,658 | | | | | | 30,029,365 | | |
PagerDuty, Inc.* | | | | | 1,391,711 | | | | | | 41,459,071 | | |
UiPath, Inc., Class A* | | | | | 3,791,863 | | | | | | 58,243,016 | | |
Unity Software, Inc.* | | | | | 1,248,872 | | | | | | 44,359,933 | | |
Zoom Video Communications, Inc., Class A* | | | | | 1,204,606 | | | | | | 90,345,450 | | |
Total Software | | | | | | | | | | | 297,613,947 | | |
Total Common Stocks (Cost $3,255,958,416) | | | | | | | | | | | 1,172,973,500 | | |
UNIT TRUST – 5.6% | | | | | | | | | | | | | |
Financials – 5.6% | | | | ||||||||||
Grayscale Bitcoin Trust BTC* (Cost $222,409,020) | | | | | 5,774,906 | | | | | | 70,165,108 | | |
MONEY MARKET FUND – 0.3% | | | | | | | | | | | | | |
Dreyfus Government Cash Management Fund, Institutional Shares, 4.23%(b) (Cost $3,589,373) | | | | | 3,589,373 | | | | | | 3,589,373 | | |
Total Investments – 100.0% (Cost $3,481,956,809) | | | | | | | | | | | 1,246,727,981 | | |
Liabilities in Excess of Other Assets – (0.0)%(c) | | | | | (412,536) | | | ||||||
Net Assets – 100.0% | | | | | | | | | | $ | 1,246,315,445 | | |
Value ($) at 7/31/2022 | | | Purchases Cost ($) | | | Sales Proceeds ($) | | | Net Realized Gain/(Loss) ($) | | | Net Change in Unrealized Appreciation (Depreciation) ($) | | | Dividend Income ($) | | | Capital Gain Distributions ($) | | | Number of Shares at 1/31/2023 | | | Value ($) at 1/31/2023 | | | ||||||||||||||||||||||||||
Common Stock — 1.6% | | | ||||||||||||||||||||||||||||||||||||||||||||||||||
Household Durables — 1.6% | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
Vuzix Corp. | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
32,529,639 | | | | | 4,569,830 | | | | | | (5,863,477) | | | | | | (2,665,326) | | | | | | (9,108,409) | | | | | | — | | | | | | — | | | | | | 3,735,558 | | | | | | 19,462,257 | | | | | |
$32,529,639 | | | | $ | 4,569,830 | | | | | $ | (5,863,477) | | | | | $ | (2,665,326) | | | | | $ | (9,108,409) | | | | | $ | — | | | | | $ | — | | | | | | 3,735,558 | | | | | $ | 19,462,257 | | | |
ARK Next Generation Internet ETF | | | Level 1 | | | Level 2 | | | Level 3 | | | Total | | ||||||||||||
Assets | | | | | | | | | | | | | | | | | | | | | | | | | |
Common Stocks‡ | | | | $ | 1,172,973,500 | | | | | $ | — | | | | | $ | — | | | | | $ | 1,172,973,500 | | |
Unit Trust‡ | | | | | 70,165,108 | | | | | | — | | | | | | — | | | | | | 70,165,108 | | |
Money Market Fund | | | | | 3,589,373 | | | | | | — | | | | | | — | | | | | | 3,589,373 | | |
Total | | | | $ | 1,246,727,981 | | | | | $ | — | | | | | $ | — | | | | | $ | 1,246,727,981 | | |
Investments | | | Shares | | | Value | | ||||||
COMMON STOCKS – 100.0% | | | | ||||||||||
Banks – 1.6% | | ||||||||||||
NU Holdings Ltd., Class A (Brazil)* | | | | | 2,965,457 | | | | | $ | 13,789,375 | | |
TCS Group Holding PLC, Class Reg S (Russia)*(a)(b) | | | | | 607,059 | | | | | | 6,071 | | |
Total Banks | | | | | | | | | | | 13,795,446 | | |
Capital Markets – 16.1% | | | | ||||||||||
Coinbase Global, Inc., Class A* | | | | | 1,519,152 | | | | | | 88,840,009 | | |
Intercontinental Exchange, Inc. | | | | | 76,848 | | | | | | 8,265,003 | | |
Robinhood Markets, Inc., Class A* | | | | | 4,017,081 | | | | | | 41,817,813 | | |
Total Capital Markets | | | | | | | | | | | 138,922,825 | | |
Consumer Finance – 1.6% | | | | ||||||||||
Kaspi.KZ JSC (Kazakhstan)(b) | | | | | 189,089 | | | | | | 13,860,224 | | |
Entertainment – 4.4% | | | | ||||||||||
ROBLOX Corp., Class A* | | | | | 304,795 | | | | | | 11,341,422 | | |
Roku, Inc.* | | | | | 456,514 | | | | | | 26,249,555 | | |
Total Entertainment | | | | | | | | | | | 37,590,977 | | |
Health Care Technology – 3.0% | | | | ||||||||||
Teladoc Health, Inc.* | | | | | 889,651 | | | | | | 26,155,739 | | |
Hotels, Restaurants & Leisure – 4.5% | | | | ||||||||||
DraftKings, Inc., Class A* | | | | | 2,570,014 | | | | | | 38,524,510 | | |
Insurance – 4.1% | | | | ||||||||||
Discovery Ltd. (South Africa)* | | | | | 4,407,776 | | | | | | 34,958,223 | | |
Interactive Media & Services – 2.4% | | | | ||||||||||
Pinterest, Inc., Class A* | | | | | 314,110 | | | | | | 8,257,952 | | |
Z Holdings Corp. (Japan) | | | | | 4,323,214 | | | | | | 12,338,755 | | |
Total Interactive Media & Services | | | | | | | | | | | 20,596,707 | | |
Internet & Direct Marketing Retail – 11.5% | | | | ||||||||||
Farfetch Ltd., Class A (United Kingdom)* | | | | | 657,986 | | | | | | 4,487,464 | | |
Global-e Online Ltd. (Israel)* | | | | | 1,232,762 | | | | | | 36,945,877 | | |
JD.com, Inc. (China)(c) | | | | | 152,111 | | | | | | 9,055,168 | | |
MercadoLibre, Inc. (Brazil)* | | | | | 40,808 | | | | | | 48,222,406 | | |
Total Internet & Direct Marketing Retail | | | | | | | | | | | 98,710,915 | | |
IT Services – 38.8% | | | | ||||||||||
Adyen NV (Netherlands)*(d) | | | | | 22,679 | | | | | | 33,965,244 | | |
Block, Inc.* | | | | | 1,142,908 | | | | | | 93,398,442 | | |
Shopify, Inc., Class A (Canada)* | | | | | 1,971,529 | | | | | | 97,137,234 | | |
StoneCo Ltd., Class A (Brazil)* | | | | | 2,471,816 | | | | | | 27,585,466 | | |
Toast, Inc., Class A* | | | | | 1,478,818 | | | | | | 32,992,430 | | |
Twilio, Inc., Class A* | | | | | 809,685 | | | | | | 48,451,550 | | |
Total IT Services | | | | | | | | | | | 333,530,366 | | |
Investments | | | Shares | | | Value | | ||||||
Real Estate Management & Development – 0.5% | | ||||||||||||
Zillow Group, Inc., Class C* | | | | | 101,908 | | | | | $ | 4,505,353 | | |
Semiconductors & Semiconductor Equipment – 1.7% | | | |||||||||||
NVIDIA Corp. | | | | | 74,445 | | | | | | 14,544,320 | | |
Software – 9.8% | | | | ||||||||||
Bill.com Holdings, Inc.* | | | | | 178,284 | | | | | | 20,613,196 | | |
Intuit, Inc. | | | | | 41,340 | | | | | | 17,473,178 | | |
UiPath, Inc., Class A* | | | | | 3,029,038 | | | | | | 46,526,023 | | |
Total Software | | | | | | | | | | | 84,612,397 | | |
Total Common Stocks (Cost $1,961,684,583) | | | | | | | | | | | 860,308,002 | | |
MONEY MARKET FUND – 0.0%(e) | | | | ||||||||||
Dreyfus Government Cash Management Fund, Institutional Shares, 4.23%(f) (Cost $318,515) | | | | | 318,515 | | | | | | 318,515 | | |
Total Investments – 100.0% (Cost $1,962,003,098) | | | | | | | | | | | 860,626,517 | | |
Liabilities in Excess of Other Assets – (0.0)%(e) | | | | | | | | | | | (281,504) | | |
Net Assets – 100.0% | | | | | | | | | | $ | 860,345,013 | | |
ARK Fintech Innovation ETF | | | Level 1 | | | Level 2 | | | Level 3 | | | Total | | ||||||||||||
Assets | | | | | | | | | | | | | | | | | | | | | | | | | |
Common Stocks‡ | | | | $ | 860,301,931 | | | | | $ | — | | | | | $ | 6,071 | | | | | $ | 860,308,002 | | |
Money Market Fund | | | | | 318,515 | | | | | | — | | | | | | — | | | | | | 318,515 | | |
Total | | | | $ | 860,620,446 | | | | | $ | — | | | | | $ | 6,071 | | | | | $ | 860,626,517 | | |
Investments | | | Shares | | | Value | | ||||||
COMMON STOCKS – 94.1% | | | | ||||||||||
Aerospace & Defense – 33.0% | | ||||||||||||
AeroVironment, Inc.* | | | | | 215,587 | | | | | $ | 19,180,775 | | |
Airbus SE (France) | | | | | 31,801 | | | | | | 3,970,285 | | |
Archer Aviation, Inc., Class A* | | | | | 1,838,591 | | | | | | 5,331,914 | | |
Elbit Systems Ltd. (Israel) | | | | | 27,327 | | | | | | 4,623,182 | | |
HEICO Corp. | | | | | 21,021 | | | | | | 3,593,540 | | |
Kratos Defense & Security Solutions, Inc.* | | | | | 1,718,337 | | | | | | 19,674,958 | | |
L3Harris Technologies, Inc. | | | | | 72,706 | | | | | | 15,618,703 | | |
Lockheed Martin Corp. | | | | | 7,296 | | | | | | 3,379,945 | | |
Mynaric AG (Germany)*(a) | | | | | 639,260 | | | | | | 2,927,811 | | |
Rocket Lab USA, Inc.* | | | | | 694,573 | | | | | | 3,452,028 | | |
Spirit AeroSystems Holdings, Inc., Class A | | | | | 160,693 | | | | | | 5,809,052 | | |
Thales SA (France) | | | | | 43,653 | | | | | | 5,761,300 | | |
Total Aerospace & Defense | | | | | | | | | | | 93,323,493 | | |
Air Freight & Logistics – 3.1% | | ||||||||||||
JD Logistics, Inc. (China)*(b) | | | | | 3,923,626 | | | | | | 8,666,739 | | |
Airlines – 4.8% | | ||||||||||||
Blade Air Mobility, Inc.* | | | | | 1,809,806 | | | | | | 8,071,735 | | |
Joby Aviation, Inc.* | | | | | 1,220,404 | | | | | | 5,394,185 | | |
Total Airlines | | | | | | | | | | | 13,465,920 | | |
Diversified Telecommunication – 8.1% | | ||||||||||||
Iridium Communications, Inc.* | | | | | 382,809 | | | | | | 22,907,291 | | |
Electronic Equipment, Instruments & Components – 10.6% | | ||||||||||||
Teledyne Technologies, Inc.* | | | | | 8,225 | | | | | | 3,489,539 | | |
Trimble, Inc.* | | | | | 456,484 | | | | | | 26,503,461 | | |
Total Electronic Equipment, Instruments & Components | | | | | | | | | | | 29,993,000 | | |
Household Durables – 1.9% | | ||||||||||||
Garmin Ltd. | | | | | 53,577 | | | | | | 5,297,694 | | |
Industrial Conglomerates – 1.7% | | ||||||||||||
Honeywell International, Inc. | | | | | 22,528 | | | | | | 4,696,637 | | |
Interactive Media & Services – 2.0% | | ||||||||||||
Alphabet, Inc., Class C* | | | | | 55,494 | | | | | | 5,542,186 | | |
Internet & Direct Marketing Retail – 2.1% | | ||||||||||||
Amazon.com, Inc.* | | | | | 58,046 | | | | | | 5,986,284 | | |
Machinery – 13.6% | | ||||||||||||
3D Systems Corp.* | | | | | 502,628 | | | | | | 5,458,540 | | |
Deere & Co. | | | | | 23,948 | | | | | | 10,126,172 | | |
Komatsu Ltd. (Japan) | | | | | 552,188 | | | | | | 13,384,190 | | |
Markforged Holding Corp.* | | | | | 2,710,268 | | | | | | 3,631,759 | | |
Proto Labs, Inc.* | | | | | 27,119 | | | | | | 829,842 | | |
Velo3D, Inc.* | | | | | 2,138,365 | | | | | | 5,132,076 | | |
Total Machinery | | | | | | | | | | | 38,562,579 | | |
Semiconductors & Semiconductor Equipment – 3.3% | | ||||||||||||
Teradyne, Inc. | | | | | 91,275 | | | | | | 9,282,667 | | |
Investments | | | Shares | | | Value | | ||||||
Software – 9.7% | | ||||||||||||
ANSYS, Inc.* | | | | | 10,550 | | | | | $ | 2,810,098 | | |
Dassault Systemes SE (France) | | | | | 219,836 | | | | | | 8,140,127 | | |
Synopsys, Inc.* | | | | | 9,477 | | | | | | 3,352,489 | | |
UiPath, Inc., Class A* | | | | | 580,030 | | | | | | 8,909,261 | | |
Unity Software, Inc.* | | | | | 116,020 | | | | | | 4,121,030 | | |
Total Software | | | | | | | | | | | 27,333,005 | | |
Technology Hardware, Storage & Peripherals – 0.2% | | ||||||||||||
Stratasys Ltd.* | | | | | 39,936 | | | | | | 572,283 | | |
Total Common Stocks (Cost $391,495,290) | | | | | | | | | | | 265,629,778 | | |
EXCHANGE-TRADED FUND – 5.7% | | ||||||||||||
Equity Fund – 5.7% | | ||||||||||||
The 3D Printing ETF*† (Cost $27,688,096) | | | | | 705,334 | | | | | | 16,179,445 | | |
MONEY MARKET FUND – 0.2% | | | | ||||||||||
Dreyfus Government Cash Management Fund, Institutional Shares, 4.23%(c) (Cost $612,240) | | | | | 612,240 | | | | | | 612,240 | | |
Total Investments – 100.0% (Cost $419,795,626) | | | | | | | | | | | 282,421,463 | | |
Liabilities in Excess of Other Assets – (0.0)%(d) | | | | | (3,986) | | | ||||||
Net Assets – 100.0% | | | | | | | | | | $ | 282,417,477 | | |
Value ($) at 7/31/2022 | | | Purchases Cost ($) | | | Sales Proceeds ($) | | | Net Realized Gain/(Loss) ($) | | | Net Change in Unrealized Appreciation (Depreciation) ($) | | | Dividend Income ($) | | | Capital Gain Distributions ($) | | | Number of Shares at 1/31/2023 | | | Value ($) at 1/31/2023 | | ||||||||||||||||||||||||
Exchange-Traded Fund — 5.7% | | ||||||||||||||||||||||||||||||||||||||||||||||||
Equity Fund — 5.7% | | ||||||||||||||||||||||||||||||||||||||||||||||||
The 3D Printing ETF | | ||||||||||||||||||||||||||||||||||||||||||||||||
17,689,955 | | | | | — | | | | | | (1,255,645) | | | | | | (1,015,758) | | | | | | 760,893 | | | | | | — | | | | | | — | | | | | | 705,334 | | | | | | 16,179,445 | | |
$17,689,955 | | | | $ | — | | | | | $ | (1,255,645) | | | | | $ | (1,015,758) | | | | | $ | 760,893 | | | | | $ | — | | | | | $ | — | | | | | | 705,334 | | | | | $ | 16,179,445 | | |
ARK Space Exploration & Innovation ETF | | | Level 1 | | | Level 2 | | | Level 3 | | | Total | | ||||||||||||
Assets | | | | | | | | | | | | | | | | | | | | | | | | | |
Common Stocks‡ | | | | $ | 265,629,778 | | | | | $ | — | | | | | $ | — | | | | | $ | 265,629,778 | | |
Exchange – Traded Fund | | | | | 16,179,445 | | | | | | — | | | | | | — | | | | | | 16,179,445 | | |
Money Market Fund | | | | | 612,240 | | | | | | — | | | | | | — | | | | | | 612,240 | | |
Total | | | | $ | 282,421,463 | | | | | $ | — | | | | | $ | — | | | | | $ | 282,421,463 | | |
Investments | | | Shares | | | Value | | ||||||
COMMON STOCKS – 99.5% | | | | ||||||||||
Aerospace & Defense – 2.7% | | ||||||||||||
Aerojet Rocketdyne Holdings, Inc.* | | | | | 42,053 | | | | | $ | 2,351,604 | | |
Hexcel Corp. | | | | | 3,474 | | | | | | 245,195 | | |
Moog, Inc., Class A | | | | | 26,280 | | | | | | 2,505,009 | | |
Total Aerospace & Defense | | | | | | | | | | | 5,101,808 | | |
Air Freight & Logistics – 1.3% | | ||||||||||||
United Parcel Service, Inc., Class B | | | | | 13,278 | | | | | | 2,459,484 | | |
Auto Components – 1.2% | | ||||||||||||
Cie Generale des Etablissements Michelin SCA (France) | | | | | 75,408 | | | | | | 2,373,716 | | |
Chemicals – 0.8% | | ||||||||||||
5N Plus, Inc. (Canada)* | | | | | 91,713 | | | | | | 217,814 | | |
Arkema SA (France) | | | | | 2,015 | | | | | | 203,200 | | |
DuPont de Nemours, Inc. | | | | | 2,740 | | | | | | 202,623 | | |
Eastman Chemical Co. | | | | | 2,292 | | | | | | 202,086 | | |
Evonik Industries AG (Germany) | | | | | 9,333 | | | | | | 206,579 | | |
Koninklijke DSM NV (Netherlands) | | | | | 1,508 | | | | | | 192,959 | | |
Toray Industries, Inc. (Japan) | | | | | 34,179 | | | | | | 208,963 | | |
Total Chemicals | | | | | | | | | | | 1,434,224 | | |
Commercial Services & Supplies – 0.1% | | ||||||||||||
PyroGenesis Canada, Inc. (Canada)* | | | | | 265,913 | | | | | | 293,782 | | |
Electrical Equipment – 1.8% | | ||||||||||||
AMETEK, Inc. | | | | | 21,778 | | | | | | 3,156,068 | | |
SGL Carbon SE (Germany)* | | | | | 23,222 | | | | | | 200,198 | | |
Total Electrical Equipment | | | | | | | | | | | 3,356,266 | | |
Electronic Equipment, Instruments & Components – 12.3% | | ||||||||||||
FARO Technologies, Inc.* | | | | | 235,949 | | | | | | 6,483,878 | | |
Hexagon AB, Class B (Sweden) | | | | | 268,890 | | | | | | 3,066,204 | | |
Renishaw PLC (United Kingdom) | | | | | 135,730 | | | | | | 6,599,671 | | |
Trimble, Inc.* | | | | | 123,284 | | | | | | 7,157,869 | | |
Total Electronic Equipment, Instruments & Components | | | | | | | | | | | 23,307,622 | | |
Health Care Equipment & Supplies – 5.2% | | ||||||||||||
Align Technology, Inc.* | | | | | 12,814 | | | | | | 3,456,320 | | |
Straumann Holding AG (Switzerland) | | | | | 49,163 | | | | | | 6,387,700 | | |
Total Health Care Equipment & Supplies | | | | | | | | | | | 9,844,020 | | |
Industrial Conglomerates – 2.7% | | ||||||||||||
3M Co. | | | | | 1,707 | | | | | | 196,442 | | |
General Electric Co. | | | | | 30,432 | | | | | | 2,449,167 | | |
Siemens AG (Germany) | | | | | 15,479 | | | | | | 2,404,711 | | |
Total Industrial Conglomerates | | | | | | | | | | | 5,050,320 | | |
Internet & Direct Marketing Retail – 4.3% | | ||||||||||||
Xometry, Inc., Class A* | | | | | 234,055 | | | | | | 8,196,606 | | |
Investments | | | Shares | | | Value | | ||||||
Life Sciences Tools & Services – 3.2% | | ||||||||||||
BICO Group AB (Sweden)* | | | | | 615,670 | | | | | $ | 6,172,831 | | |
Machinery – 23.9% | | ||||||||||||
3D Systems Corp.* | | | | | 688,029 | | | | | | 7,471,995 | | |
Desktop Metal, Inc., Class A* | | | | | 3,498,816 | | | | | | 5,878,011 | | |
Fathom Digital Manufacturing C* | | | | | 1,176,867 | | | | | | 1,624,076 | | |
Lincoln Electric Holdings, Inc. | | | | | 15,255 | | | | | | 2,545,602 | | |
Markforged Holding Corp.* | | | | | 4,038,472 | | | | | | 5,411,553 | | |
OC Oerlikon Corp. AG (Switzerland) | | | | | 337,317 | | | | | | 2,308,346 | | |
Proto Labs, Inc.* | | | | | 235,403 | | | | | | 7,203,332 | | |
Sandvik AB (Sweden) | | | | | 10,044 | | | | | | 206,881 | | |
SLM Solutions Group AG (Germany)* | | | | | 282,196 | | | | | | 5,767,617 | | |
Velo3D, Inc.* | | | | | 2,897,205 | | | | | | 6,953,292 | | |
Total Machinery | | | | | | | | | | | 45,370,705 | | |
Metals & Mining – 2.8% | | ||||||||||||
Arconic Corp.* | | | | | 99,959 | | | | | | 2,350,036 | | |
ATI Inc.* | | | | | 5,803 | | | | | | 211,171 | | |
Carpenter Technology Corp. | | | | | 4,609 | | | | | | 222,569 | | |
Kaiser Aluminum Corp. | | | | | 27,318 | | | | | | 2,390,871 | | |
voestalpine AG (Austria) | | | | | 6,471 | | | | | | 213,862 | | |
Total Metals & Mining | | | | | | | | | | | 5,388,509 | | |
Software – 26.0% | | ||||||||||||
Altair Engineering, Inc., Class A* | | | | | 132,458 | | | | | | 7,033,520 | | |
ANSYS, Inc.* | | | | | 27,372 | | | | | | 7,290,806 | | |
Autodesk, Inc.* | | | | | 33,192 | | | | | | 7,141,591 | | |
Dassault Systemes SE (France) | | | | | 180,230 | | | | | | 6,673,589 | | |
Materialise NV (Belgium)*(a) | | | | | 657,761 | | | | | | 6,932,801 | | |
Microsoft Corp. | | | | | 28,466 | | | | | | 7,054,159 | | |
PTC, Inc.* | | | | | 53,298 | | | | | | 7,188,834 | | |
Total Software | | | | | | | | | | | 49,315,300 | | |
Technology Hardware, Storage & Peripherals – 11.2% | | ||||||||||||
Eastman Kodak Co.* | | | | | 60,621 | | | | | | 218,842 | | |
HP, Inc. | | | | | 234,392 | | | | | | 6,830,183 | | |
Nano Dimension Ltd. (Israel)*(a) | | | | | 2,629,957 | | | | | | 7,258,681 | | |
Stratasys Ltd.* | | | | | 471,238 | | | | | | 6,752,841 | | |
Xerox Holdings Corp. | | | | | 12,059 | | | | | | 197,526 | | |
Total Technology Hardware, Storage & Peripherals | | | | | | | | | | | 21,258,073 | | |
Total Common Stocks (Cost $280,663,130) | | | | | | | | | | | 188,923,266 | | |
PREFERRED STOCK – 0.1% | | ||||||||||||
Household Products – 0.1% | | ||||||||||||
Henkel AG & Co. KGaA (Germany) (Cost $290,899) | | | | | 2,784 | | | | | | 197,940 | | |
Investments | | | Shares | | | Value | | ||||||
MONEY MARKET FUND – 0.4% | | ||||||||||||
Dreyfus Government Cash Management Fund, Institutional Shares, 4.23%(b) (Cost $759,231) | | | | | 759,231 | | | | | $ | 759,231 | | |
Total Investments – 100.0% (Cost $281,713,260) | | | | | | | | | | | 189,880,437 | | |
Liabilities in Excess of Other Assets – (0.0)%(c) | | | | | (3,452) | | | ||||||
Net Assets – 100.0% | | | | | | | | | | $ | 189,876,985 | | |
The 3D Printing ETF | | | Level 1 | | | Level 2 | | | Level 3 | | | Total | | ||||||||||||
Assets | | | | | | | | | | | | | | | | | | | | | | | | | |
Common Stocks‡ | | | | $ | 188,923,266 | | | | | $ | — | | | | | $ | — | | | | | $ | 188,923,266 | | |
Preferred Stock‡ | | | | | 197,940 | | | | | | — | | | | | | — | | | | | | 197,940 | | |
Money Market Fund | | | | | 759,231 | | | | | | — | | | | | | — | | | | | | 759,231 | | |
Total | | | | $ | 189,880,437 | | | | | $ | — | | | | | $ | — | | | | | $ | 189,880,437 | | |
Investments | | | Shares | | | Value | | ||||||
COMMON STOCKS – 97.5% | | | | ||||||||||
Aerospace & Defense – 2.1% | | ||||||||||||
Elbit Systems Ltd. (Israel) | | | | | 12,906 | | | | | $ | 2,158,572 | | |
Auto Components – 2.4% | | ||||||||||||
Mobileye Global, Inc., Class A (Israel)* | | | | | 66,763 | | | | | | 2,577,052 | | |
Biotechnology – 2.7% | | ||||||||||||
UroGen Pharma Ltd.* | | | | | 269,630 | | | | | | 2,801,456 | | |
Communications Equipment – 13.0% | | ||||||||||||
AudioCodes Ltd. (Israel) | | | | | 120,109 | | | | | | 2,302,490 | | |
Ceragon Networks Ltd. (Israel)* | | | | | 1,054,152 | | | | | | 2,192,636 | | |
Gilat Satellite Networks Ltd. (Israel)* | | | | | 394,498 | | | | | | 2,173,684 | | |
Ituran Location and Control Ltd. (Israel) | | | | | 100,235 | | | | | | 2,200,158 | | |
Radware Ltd. (Israel)* | | | | | 108,593 | | | | | | 2,313,031 | | |
SatixFy Communications Ltd. (Israel)* | | | | | 268,568 | | | | | | 461,937 | | |
Silicom Ltd. (Israel)* | | | | | 47,571 | | | | | | 2,046,504 | | |
Total Communications Equipment | | | | | | | | | | | 13,690,440 | | |
Diversified Telecommunication – 2.0% | | ||||||||||||
Bezeq The Israeli Telecommunication Corp. Ltd. (Israel) | | | | | 1,297,926 | | | | | | 2,145,254 | | |
Electronic Equipment, Instruments & Components – 1.9% | | ||||||||||||
Nayax Ltd. (Israel)* | | | | | 96,905 | | | | | | 1,977,601 | | |
Entertainment – 2.3% | | ||||||||||||
Playtika Holding Corp.* | | | | | 232,594 | | | | | | 2,439,911 | | |
Health Care Equipment & Supplies – 4.4% | | ||||||||||||
Inmode Ltd.* | | | | | 64,434 | | | | | | 2,258,412 | | |
Nano-X Imaging Ltd. (Israel)* | | | | | 255,163 | | | | | | 2,352,603 | | |
Total Health Care Equipment & Supplies | | | | | | | | | | | 4,611,015 | | |
Hotels, Restaurants & Leisure – 2.1% | | ||||||||||||
Fattal Holdings 1998 Ltd. (Israel)* | | | | | 22,532 | | | | | | 2,167,260 | | |
Interactive Media & Services – 2.4% | | ||||||||||||
Taboola.com Ltd. (Israel)* | | | | | 647,073 | | | | | | 2,575,351 | | |
Internet & Direct Marketing Retail – 2.4% | | ||||||||||||
Fiverr International Ltd.* | | | | | 67,468 | | | | | | 2,502,388 | | |
IT Services – 8.2% | | ||||||||||||
HUB Cyber Security Israel Ltd. (Israel)* | | | | | 1,353,552 | | | | | | 2,180,334 | | |
Matrix IT Ltd. (Israel) | | | | | 99,683 | | | | | | 2,103,605 | | |
One Software Technologies Ltd. (Israel) | | | | | 157,914 | | | | | | 1,984,190 | | |
Wix.com Ltd. (Israel)* | | | | | 26,960 | | | | | | 2,344,981 | | |
Total IT Services | | | | | | | | | | | 8,613,110 | | |
Media – 2.5% | | ||||||||||||
Perion Network Ltd. (Israel)* | | | | | 77,506 | | | | | | 2,596,451 | | |
Pharmaceuticals – 4.1% | | ||||||||||||
Taro Pharmaceutical Industries Ltd.* | | | | | 70,758 | | | | | | 2,110,003 | | |
Teva Pharmaceutical Industries Ltd. (Israel)*(a) | | | | | 207,135 | | | | | | 2,183,203 | | |
Total Pharmaceuticals | | | | | | | | | | | 4,293,206 | | |
Professional Services – 1.9% | | ||||||||||||
Danel Adir Yeoshua Ltd. (Israel) | | | | | 25,453 | | | | | | 1,948,989 | | |
Investments | | | Shares | | | Value | | ||||||
Semiconductors & Semiconductor Equipment – 6.3% | | ||||||||||||
Camtek Ltd. (Israel)* | | | | | 85,897 | | | | | $ | 2,232,463 | | |
Nova Ltd. (Israel)* | | | | | 24,813 | | | | | | 2,250,539 | | |
Tower Semiconductor Ltd. (Israel)* | | | | | 51,079 | | | | | | 2,134,592 | | |
Total Semiconductors & Semiconductor Equipment | | | | | | | | | | | 6,617,594 | | |
Software – 30.2% | | | | ||||||||||
Allot Ltd. (Israel)* | | | | | 638,637 | | | | | | 2,420,434 | | |
Cellebrite DI Ltd. (Japan)* | | | | | 509,164 | | | | | | 2,795,310 | | |
Check Point Software Technologies Ltd. (Israel)* | | | | | 17,019 | | | | | | 2,164,817 | | |
Cognyte Software Ltd. (Israel)* | | | | | 627,986 | | | | | | 2,380,067 | | |
CyberArk Software Ltd.* | | | | | 17,548 | | | | | | 2,472,162 | | |
Hilan Ltd. (Israel) | | | | | 43,538 | | | | | | 2,112,791 | | |
JFrog Ltd. (Israel)* | | | | | 97,353 | | | | | | 2,502,946 | | |
Monday.com Ltd.* | | | | | 18,842 | | | | | | 2,453,040 | | |
Nice Ltd. (Israel)*(a) | | | | | 10,813 | | | | | | 2,242,941 | | |
Riskified Ltd., Class A* | | | | | 426,872 | | | | | | 2,595,382 | | |
Sapiens International Corp. NV (Israel) | | | | | 105,516 | | | | | | 2,390,992 | | |
SimilarWeb Ltd. (Israel)* | | | | | 399,148 | | | | | | 2,750,130 | | |
WalkMe Ltd. (Israel)* | | | | | 239,887 | | | | | | 2,444,448 | | |
Total Software | | | | | | | | | | | 31,725,460 | | |
Technology Hardware, Storage & Peripherals – 2.2% | | ||||||||||||
Stratasys Ltd.* | | | | | 164,840 | | | | | | 2,362,157 | | |
Wireless Telecommunication Services – 4.4% | | ||||||||||||
Cellcom Israel Ltd. (Israel)* | | | | | 466,168 | | | | | | 2,401,306 | | |
Partner Communications Co. Ltd. (Israel)* | | | | | 308,879 | | | | | | 2,213,917 | | |
Total Wireless Telecommunication Services | | | | | | | | | | | 4,615,223 | | |
Total Common Stocks (Cost $131,771,790) | | | | | | | | | | | 102,418,490 | | |
MONEY MARKET FUND – 0.1% | | | | ||||||||||
Dreyfus Government Cash Management Fund, Institutional Shares, 4.23%(b) (Cost $96,082) | | | | | 96,082 | | | | | | 96,082 | | |
Total Investments – 97.6% (Cost $131,867,872) | | | | | | | | | | | 102,514,572 | | |
Other Assets in Excess of Liabilities – 2.4% | | | | | 2,506,954 | | | ||||||
Net Assets – 100.0% | | | | | | | | | | $ | 105,021,526 | | |
Country | | | Value | | | % of Net Assets | | ||||||
Israel | | | | $ | 77,628,269 | | | | | | 73.9% | | |
Japan | | | | | 2,795,310 | | | | | | 2.7 | | |
United States | | | | | 22,090,993 | | | | | | 21.0 | | |
Total Investments | | | | | 102,514,572 | | | | | | 97.6 | | |
Other Assets in Excess of Liabilities | | | | | 2,506,954 | | | | | | 2.4 | | |
Net Assets | | | | $ | 105,021,526 | | | | | | 100.0% | | |
The ARK Israel Innovative Technology ETF | | | Level 1 | | | Level 2 | | | Level 3 | | | Total | | ||||||||||||
Assets | | | | | | | | | | | | | | | | | | | | | | | | | |
Common Stocks‡ | | | | $ | 102,418,490 | | | | | $ | — | | | | | $ | — | | | | | $ | 102,418,490 | | |
Money Market Fund | | | | | 96,082 | | | | | | — | | | | | | — | | | | | | 96,082 | | |
Total | | | | $ | 102,514,572 | | | | | $ | — | | | | | $ | — | | | | | $ | 102,514,572 | | |
| | | ARK Genomic Revolution ETF | | | ARK Autonomous Technology & Robotics ETF | | | ARK Innovation ETF | | | ARK Next Generation Internet ETF | | ||||||||||||
ASSETS: | | | | | | | | | | | | | | | | | | | | | | | | | |
Investments in non-affiliated securities at market value (Note 2) | | | | $ | 1,563,023,859 | | | | | $ | 888,551,342 | | | | | $ | 4,646,141,905 | | | | | $ | 1,227,265,724 | | |
Investments in affiliated securities at market value (Note 2) | | | | | 686,491,138 | | | | | | 36,354,318 | | | | | | 3,027,060,336 | | | | | | 19,462,257 | | |
Receivables: | | | | | | | | | | | | | | | | | | | | | | | | | |
Dividends and interest | | | | | 251,925 | | | | | | 247,638 | | | | | | 36,753 | | | | | | 11,182 | | |
Capital shares sold | | | | | 4,957,349 | | | | | | — | | | | | | 65,623,204 | | | | | | 4,975,311 | | |
Investment securities sold | | | | | 18,194,098 | | | | | | 7,988,233 | | | | | | 94,889,214 | | | | | | 12,138,172 | | |
Tax reclaims | | | | | 5,173,432 | | | | | | 9,177 | | | | | | 1,778,642 | | | | | | — | | |
Total Assets | | | | | 2,278,091,801 | | | | | | 933,150,708 | | | | | | 7,835,530,054 | | | | | | 1,263,852,646 | | |
LIABILITIES: | | | | | | | | | | | | | | | | | | | | | | | | | |
Due to custodian | | | | | 3,895 | | | | | | — | | | | | | 12,760 | | | | | | — | | |
Payables: | | | | | | | | | | | | | | | | | | | | | | | | | |
Capital shares purchased | | | | | 14,872,047 | | | | | | 2,430,915 | | | | | | 95,083,027 | | | | | | 12,166,936 | | |
Investment securities purchased | | | | | 14,417,201 | | | | | | 4,002,092 | | | | | | 72,449,476 | | | | | | 4,682,617 | | |
Management fees (Note 3) | | | | | 1,345,581 | | | | | | 539,140 | | | | | | 4,260,489 | | | | | | 687,648 | | |
Total Liabilities | | | | | 30,638,724 | | | | | | 6,972,147 | | | | | | 171,805,752 | | | | | | 17,537,201 | | |
NET ASSETS | | | | $ | 2,247,453,077 | | | | | $ | 926,178,561 | | | | | $ | 7,663,724,302 | | | | | $ | 1,246,315,445 | | |
NET ASSETS CONSIST OF: | | | | | | | | | | | | | | | | | | | | | | | | | |
Paid-in capital | | | | $ | 7,308,901,497 | | | | | $ | 1,864,355,203 | | | | | $ | 22,754,894,700 | | | | | $ | 4,204,815,145 | | |
Total accumulated loss | | | | | (5,061,448,420) | | | | | | (938,176,642) | | | | | | (15,091,170,398) | | | | | | (2,958,499,700) | | |
NET ASSETS | | | | $ | 2,247,453,077 | | | | | $ | 926,178,561 | | | | | $ | 7,663,724,302 | | | | | $ | 1,246,315,445 | | |
Shares outstanding no par value (unlimited shares authorized) | | | | | 66,700,000 | | | | | | 19,050,000 | | | | | | 191,850,000 | | | | | | 25,050,000 | | |
Net asset value, per share | | | | $ | 33.69 | | | | | $ | 48.62 | | | | | $ | 39.95 | | | | | $ | 49.75 | | |
Investments in non-affiliated securities at cost | | | | $ | 3,744,707,956 | | | | | $ | 1,415,480,127 | | | | | $ | 10,306,360,668 | | | | | $ | 3,416,634,935 | | |
Investments in affiliated securities at cost | | | | $ | 2,382,011,950 | | | | | $ | 156,730,298 | | | | | $ | 9,121,331,020 | | | | | $ | 65,321,874 | | |
| | | ARK Fintech Innovation ETF | | | ARK Space Exploration & Innovation ETF | | | The 3D Printing ETF | | | The ARK Israel Innovative Technology ETF | | ||||||||||||
ASSETS: | | | | | | | | | | | | | | | | | | | | | | | | | |
Investments in non-affiliated securities at market value (Note 2) | | | | $ | 860,626,517 | | | | | $ | 266,242,018 | | | | | $ | 189,880,437 | | | | | $ | 102,514,572 | | |
Investments in affiliated securities at market value (Note 2) | | | | | — | | | | | | 16,179,445 | | | | | | — | | | | | | — | | |
Cash | | | | | — | | | | | | — | | | | | | — | | | | | | 2,549,508 | | |
Receivables: | | | | | | | | | | | | | | | | | | | | | | | | | |
Dividends and interest | | | | | 1,178 | | | | | | 31,393 | | | | | | 25,105 | | | | | | 920 | | |
Capital shares sold | | | | | 9,987,342 | | | | | | — | | | | | | — | | | | | | — | | |
Investment securities sold | | | | | 13,968,114 | | | | | | — | | | | | | 81,546 | | | | | | — | | |
Tax reclaims | | | | | 10,768 | | | | | | 130,231 | | | | | | 193,332 | | | | | | — | | |
Total Assets | | | | | 884,593,919 | | | | | | 282,583,087 | | | | | | 190,180,420 | | | | | | 105,065,000 | | |
LIABILITIES: | | | | | | | | | | | | | | | | | | | | | | | | | |
Due to custodian for foreign currency | | | | | 7,112 | | | | | | 3,820 | | | | | | 9,123 | | | | | | 847 | | |
Payables: | | | | | | | | | | | | | | | | | | | | | | | | | |
Investment securities purchased | | | | | 23,775,228 | | | | | | — | | | | | | 192,098 | | | | | | — | | |
Management fees (Note 3) | | | | | 466,566 | | | | | | 161,790 | | | | | | 100,655 | | | | | | 41,750 | | |
Other accrued expenses | | | | | — | | | | | | — | | | | | | 1,559 | | | | | | 877 | | |
Total Liabilities | | | | | 24,248,906 | | | | | | 165,610 | | | | | | 303,435 | | | | | | 43,474 | | |
NET ASSETS | | | | $ | 860,345,013 | | | | | $ | 282,417,477 | | | | | $ | 189,876,985 | | | | | $ | 105,021,526 | | |
NET ASSETS CONSIST OF: | | | | | | | | | | | | | | | | | | | | | | | | | |
Paid-in capital | | | | $ | 2,912,311,672 | | | | | $ | 451,843,763 | | | | | $ | 429,817,112 | | | | | $ | 232,873,236 | | |
Total accumulated loss | | | | | (2,051,966,659) | | | | | | (169,426,286) | | | | | | (239,940,127) | | | | | | (127,851,710) | | |
NET ASSETS | | | | $ | 860,345,013 | | | | | $ | 282,417,477 | | | | | $ | 189,876,985 | | | | | $ | 105,021,526 | | |
Shares outstanding no par value (unlimited shares authorized) | | | | | 46,750,000 | | | | | | 20,200,000 | | | | | | 8,250,000 | | | | | | 5,600,000 | | |
Net asset value, per share | | | | $ | 18.40 | | | | | $ | 13.98 | | | | | $ | 23.02 | | | | | $ | 18.75 | | |
Investments in non-affiliated securities at cost | | | | $ | 1,962,003,098 | | | | | $ | 392,107,530 | | | | | $ | 281,713,260 | | | | | $ | 131,867,872 | | |
Investments in affiliated securities at cost | | | | $ | — | | | | | $ | 27,688,096 | | | | | $ | — | | | | | $ | — | | |
| | | ARK Genomic Revolution ETF | | | ARK Autonomous Technology & Robotics ETF | | | ARK Innovation ETF | | | ARK Next Generation Internet ETF | | ||||||||||||
INVESTMENT INCOME: | | | | | | | | | | | | | | | | | | | | | | | | | |
Unaffiliated dividend income | | | | $ | 523,692 | | | | | $ | 2,130,828 | | | | | $ | 204,106 | | | | | $ | 55,316 | | |
Foreign withholding tax | | | | | — | | | | | | (196,504) | | | | | | — | | | | | | — | | |
Total Income | | | | | 523,692 | | | | | | 1,934,324 | | | | | | 204,106 | | | | | | 55,316 | | |
EXPENSES: | | | | | | | | | | | | | | | | | | | | | | | | | |
Management fees (Note 3) | | | | | 9,034,213 | | | | | | 3,656,047 | | | | | | 28,717,426 | | | | | | 4,643,590 | | |
Overdraft expense | | | | | — | | | | | | 1 | | | | | | 88 | | | | | | 104 | | |
Total Expenses | | | | | 9,034,213 | | | | | | 3,656,048 | | | | | | 28,717,514 | | | | | | 4,643,694 | | |
Net Investment Loss | | | | | (8,510,521) | | | | | | (1,721,724) | | | | | | (28,513,408) | | | | | | (4,588,378) | | |
NET REALIZED AND UNREALIZED GAIN (LOSS) ON INVESTMENTS AND FOREIGN CURRENCY TRANSLATION: | | | | | | | | | | | | | | | | | | | | | | | | | |
Net realized gain (loss) on: | | | | | | | | | | | | | | | | | | | | | | | | | |
Investments in non-affiliated securities | | | | | (540,262,222) | | | | | | (224,878,794) | | | | | | (266,720,094) | | | | | | (219,191,468) | | |
Investments in affiliated securities | | | | | (62,416,418) | | | | | | — | | | | | | (1,162,123,316) | | | | | | — | | |
In-kind redemptions – non-affiliated securities | | | | | (35,901,980) | | | | | | (16,355,547) | | | | | | 169,124,405 | | | | | | (10,027,840) | | |
In-kind redemptions – affiliated securities | | | | | (13,476,913) | | | | | | (11,355,410) | | | | | | 40,399,002 | | | | | | (2,665,326) | | |
Net realized loss | | | | | (652,057,533) | | | | | | (252,589,751) | | | | | | (1,219,320,003) | | | | | | (231,884,634) | | |
Change in unrealized appreciation (depreciation) on: | | | | | | | | | | | | | | | | | | | | | | | | | |
Investments in non-affiliated securities | | | | | 689,412,645 | | | | | | 11,591,370 | | | | | | 9,432,405 | | | | | | 106,116,461 | | |
Investments in affiliated securities | | | | | (272,306,984) | | | | | | 74,084,528 | | | | | | 198,850,950 | | | | | | (9,108,409) | | |
Change in unrealized appreciation | | | | | 417,105,661 | | | | | | 85,675,898 | | | | | | 208,283,355 | | | | | | 97,008,052 | | |
Net realized and unrealized loss on investments and foreign currency translation | | | | | (234,951,872) | | | | | | (166,913,853) | | | | | | (1,011,036,648) | | | | | | (134,876,582) | | |
Net Decrease in Net Assets Resulting From Operations | | | | $ | (243,462,393) | | | | | $ | (168,635,577) | | | | | $ | (1,039,550,056) | | | | | $ | (139,464,960) | | |
| | | ARK Fintech Innovation ETF | | | ARK Space Exploration & Innovation ETF | | | The 3D Printing ETF | | | The ARK Israel Innovative Technology ETF | | ||||||||||||
INVESTMENT INCOME: | | | | | | | | | | | | | | | | | | | | | | | | | |
Unaffiliated dividend income | | | | $ | 604,512 | | | | | $ | 748,241 | | | | | $ | 456,404 | | | | | $ | 381,573 | | |
Foreign withholding tax | | | | | — | | | | | | (30,263) | | | | | | (9,405) | | | | | | (94,030) | | |
Total Income | | | | | 604,512 | | | | | | 717,978 | | | | | | 446,999 | | | | | | 287,543 | | |
EXPENSES: | | | | | | | | | | | | | | | | | | | | | | | | | |
Management fees (Note 3) | | | | | 3,052,122 | | | | | | 1,059,898 | | | | | | 615,628 | | | | | | 258,005 | | |
Overdraft expense | | | | | 7,303 | | | | | | 132 | | | | | | 557 | | | | | | 428 | | |
Other expenses | | | | | — | | | | | | — | | | | | | 9,456 | | | | | | 5,379 | | |
Total Expenses | | | | | 3,059,425 | | | | | | 1,060,030 | | | | | | 625,641 | | | | | | 263,812 | | |
Less expense waivers and reimbursements | | | | | — | | | | | | (52,456)(1) | | | | | | — | | | | | | — | | |
Net Expenses | | | | | 3,059,425 | | | | | | 1,007,574 | | | | | | 625,641 | | | | | | 263,812 | | |
Net Investment Income (Loss) | | | | | (2,454,913) | | | | | | (289,596) | | | | | | (178,642) | | | | | | 23,731 | | |
NET REALIZED AND UNREALIZED GAIN (LOSS) ON INVESTMENTS AND FOREIGN CURRENCY TRANSLATION: | | | | | | | | | | | | | | | | | | | | | | | | | |
Net realized gain (loss) on: | | | | | | | | | | | | | | | | | | | | | | | | | |
Investments in non-affiliated securities | | | | | (215,669,425) | | | | | | (2,537,094) | | | | | | (31,275,810) | | | | | | (18,605,785) | | |
Foreign currency transactions | | | | | 19,202 | | | | | | 15,718 | | | | | | (9,949) | | | | | | (16,380) | | |
In-kind redemptions – non-affiliated securities | | | | | (8,361,860) | | | | | | 87,304 | | | | | | (1,222,295) | | | | | | 2,034,178 | | |
In-kind redemptions – affiliated securities | | | | | — | | | | | | (1,015,758) | | | | | | — | | | | | | — | | |
Net realized loss | | | | | (224,012,083) | | | | | | (3,449,830) | | | | | | (32,508,054) | | | | | | (16,587,987) | | |
Change in unrealized appreciation (depreciation) on: | | | | | | | | | | | | | | | | | | | | | | | | | |
Investments in non-affiliated securities | | | | | 237,401,995 | | | | | | (17,930,126) | | | | | | 30,141,933 | | | | | | 12,829,288 | | |
Investments in affiliated securities | | | | | — | | | | | | 760,893 | | | | | | — | | | | | | — | | |
Foreign currency translation | | | | | 24,704 | | | | | | 5,576 | | | | | | 9,550 | | | | | | 136 | | |
Change in unrealized appreciation (depreciation) | | | | | 237,426,699 | | | | | | (17,163,657) | | | | | | 30,151,483 | | | | | | 12,829,424 | | |
Net realized and unrealized gain (loss) on investments and foreign currency translation | | | | | 13,414,616 | | | | | | (20,613,487) | | | | | | (2,356,571) | | | | | | (3,758,563) | | |
Net Increase (Decrease) in Net Assets Resulting From Operations | | | | $ | 10,959,703 | | | | | $ | (20,903,083) | | | | | $ | (2,535,213) | | | | | $ | (3,734,832) | | |
| | | ARK Genomic Revolution ETF | | | ARK Autonomous Technology & Robotics ETF | | ||||||||||||||||||
| | | Six Months Ended January 31, 2023 (Unaudited) | | | Year Ended July 31, 2022 | | | Six Months Ended January 31, 2023 (Unaudited) | | | Year Ended July 31, 2022 | | ||||||||||||
OPERATIONS: | | | | | | | | | | | | | | | | | | | | | | | | | |
Net investment loss | | | | $ | (8,510,521) | | | | | $ | (30,059,634) | | | | | $ | (1,721,724) | | | | | $ | (8,100,774) | | |
Net realized gain (loss) on investments and foreign currency transactions | | | | | (652,057,533) | | | | | | (451,066,973) | | | | | | (252,589,751) | | | | | | 90,562,663 | | |
Net change in unrealized appreciation (depreciation) on investments and foreign currency translations | | | | | 417,105,661 | | | | | | (3,694,261,922) | | | | | | 85,675,898 | | | | | | (726,387,621) | | |
Net decrease in net assets resulting from operations | | | | | (243,462,393) | | | | | | (4,175,388,529) | | | | | | (168,635,577) | | | | | | (643,925,732) | | |
DISTRIBUTIONS TO SHAREHOLDERS | | | | | | | | | | | | | | | | | | | | | | | | | |
Distributions from distributable earnings | | | | | — | | | | | | (32,103,552) | | | | | | — | | | | | | (17,227,749) | | |
SHAREHOLDER TRANSACTIONS: | | | | | | | | | | | | | | | | | | | | | | | | | |
Proceeds from shares sold | | | | | 714,790,230 | | | | | | 2,552,890,394 | | | | | | 2,385,348 | | | | | | 32,917,320 | | |
Cost of shares redeemed | | | | | (1,003,900,484) | | | | | | (4,153,386,338) | | | | | | (119,509,960) | | | | | | (966,464,826) | | |
Net decrease in net assets resulting from shareholder transactions | | | | | (289,110,254) | | | | | | (1,600,495,944) | | | | | | (117,124,612) | | | | | | (933,547,506) | | |
Decrease in net assets | | | | | (532,572,647) | | | | | | (5,807,988,025) | | | | | | (285,760,189) | | | | | | (1,594,700,987) | | |
NET ASSETS: | | | | | | | | | | | | | | | | | | | | | | | | | |
Beginning of period | | | | | 2,780,025,724 | | | | | | 8,588,013,749 | | | | | | 1,211,938,750 | | | | | | 2,806,639,737 | | |
End of period | | | | $ | 2,247,453,077 | | | | | $ | 2,780,025,724 | | | | | $ | 926,178,561 | | | | | $ | 1,211,938,750 | | |
CHANGES IN SHARES OUTSTANDING: | | | | | | | | | | | | | | | | | | | | | | | | | |
Shares outstanding, beginning of period | | | | | 75,805,000 | | | | | | 101,755,000 | | | | | | 21,600,000 | | | | | | 34,600,000 | | |
Shares sold | | | | | 21,050,000 | | | | | | 51,950,000 | | | | | | 50,000 | | | | | | 500,000 | | |
Shares redeemed | | | | | (30,155,000) | | | | | | (77,900,000) | | | | | | (2,600,000) | | | | | | (13,500,000) | | |
Shares outstanding, end of period | | | | | 66,700,000 | | | | | | 75,805,000 | | | | | | 19,050,000 | | | | | | 21,600,000 | | |
| | | ARK Innovation ETF | | | ARK Next Generation Internet ETF | | ||||||||||||||||||
| | | Six Months Ended January 31, 2023 (Unaudited) | | | Year Ended July 31, 2022 | | | Six Months Ended January 31, 2023 (Unaudited) | | | Year Ended July 31, 2022 | | ||||||||||||
OPERATIONS: | | | | | | | | | | | | | | | | | | | | | | | | | |
Net investment loss | | | | $ | (28,513,408) | | | | | $ | (109,181,494) | | | | | $ | (4,588,378) | | | | | $ | (25,356,907) | | |
Net realized loss on investments and foreign currency transactions | | | | | (1,219,320,003) | | | | | | (11,169,618) | | | | | | (231,884,634) | | | | | | (105,372,724) | | |
Net change in unrealized appreciation (depreciation) on investments and foreign currency translations | | | | | 208,283,355 | | | | | | (12,780,484,623) | | | | | | 97,008,052 | | | | | | (2,600,882,800) | | |
Net decrease in net assets resulting from operations | | | | | (1,039,550,056) | | | | | | (12,900,835,735) | | | | | | (139,464,960) | | | | | | (2,731,612,431) | | |
DISTRIBUTIONS TO SHAREHOLDERS | | | | | | | | | | | | | | | | | | | | | | | | | |
Distributions from distributable earnings | | | | | — | | | | | | (133,975,984) | | | | | | — | | | | | | (106,224,276) | | |
SHAREHOLDER TRANSACTIONS: | | | | | | | | | | | | | | | | | | | | | | | | | |
Proceeds from shares sold | | | | | 4,910,862,402 | | | | | | 18,069,518,927 | | | | | | 261,260,472 | | | | | | 1,093,086,885 | | |
Cost of shares redeemed | | | | | (5,544,407,063) | | | | | | (18,193,317,043) | | | | | | (331,979,246) | | | | | | (2,612,390,915) | | |
Net decrease in net assets resulting from shareholder transactions | | | | | (633,544,661) | | | | | | (123,798,116) | | | | | | (70,718,774) | | | | | | (1,519,304,030) | | |
Decrease in net assets | | | | | (1,673,094,717) | | | | | | (13,158,609,835) | | | | | | (210,183,734) | | | | | | (4,357,140,737) | | |
NET ASSETS: | | | | | | | | | | | | | | | | | | | | | | | | | |
Beginning of period | | | | | 9,336,819,019 | | | | | | 22,495,428,854 | | | | | | 1,456,499,179 | | | | | | 5,813,639,916 | | |
End of period | | | | $ | 7,663,724,302 | | | | | $ | 9,336,819,019 | | | | | $ | 1,246,315,445 | | | | | $ | 1,456,499,179 | | |
CHANGES IN SHARES OUTSTANDING: | | | | | | | | | | | | | | | | | | | | | | | | | |
Shares outstanding, beginning of period | | | | | 206,850,000 | | | | | | 187,600,000 | | | | | | 26,700,000 | | | | | | 39,450,000 | | |
Shares sold | | | | | 124,700,000 | | | | | | 268,700,000 | | | | | | 5,550,000 | | | | | | 11,850,000 | | |
Shares redeemed | | | | | (139,700,000) | | | | | | (249,450,000) | | | | | | (7,200,000) | | | | | | (24,600,000) | | |
Shares outstanding, end of period | | | | | 191,850,000 | | | | | | 206,850,000 | | | | | | 25,050,000 | | | | | | 26,700,000 | | |
| | | ARK Fintech Innovation ETF | | | ARK Space Exploration & Innovation ETF | | ||||||||||||||||||
| | | Six Months Ended January 31, 2023 (Unaudited) | | | Year Ended July 31, 2022 | | | Six Months Ended January 31, 2023 (Unaudited) | | | Year Ended July 31, 2022 | | ||||||||||||
OPERATIONS: | | | | | | | | | | | | | | | | | | | | | | | | | |
Net investment loss | | | | $ | (2,454,913) | | | | | $ | (13,605,400) | | | | | $ | (289,596) | | | | | $ | (815,274) | | |
Net realized loss on investments and foreign currency transactions | | | | | (224,012,083) | | | | | | (403,587,918) | | | | | | (3,449,830) | | | | | | (8,554,029) | | |
Net change in unrealized appreciation (depreciation) on investments and foreign currency translations | | | | | 237,426,699 | | | | | | (1,364,491,482) | | | | | | (17,163,657) | | | | | | (124,793,118) | | |
Net increase (decrease) in net assets resulting from operations | | | | | 10,959,703 | | | | | | (1,781,684,800) | | | | | | (20,903,083) | | | | | | (134,162,421) | | |
DISTRIBUTIONS TO SHAREHOLDERS | | | | | | | | | | | | | | | | | | | | | | | | | |
Distributions from distributable earnings | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
SHAREHOLDER TRANSACTIONS: | | | | | | | | | | | | | | | | | | | | | | | | | |
Proceeds from shares sold | | | | | 67,118,225 | | | | | | 254,740,340 | | | | | | 5,570,699 | | | | | | 5,118,747 | | |
Cost of shares redeemed | | | | | (154,164,462) | | | | | | (1,146,893,053) | | | | | | (21,785,956) | | | | | | (158,973,813) | | |
Net decrease in net assets resulting from shareholder transactions | | | | | (87,046,237) | | | | | | (892,152,713) | | | | | | (16,215,257) | | | | | | (153,855,066) | | |
Decrease in net assets | | | | | (76,086,534) | | | | | | (2,673,837,513) | | | | | | (37,118,340) | | | | | | (288,017,487) | | |
NET ASSETS: | | | | | | | | | | | | | | | | | | | | | | | | | |
Beginning of period | | | | | 936,431,547 | | | | | | 3,610,269,060 | | | | | | 319,535,817 | | | | | | 607,553,304 | | |
End of period | | | | $ | 860,345,013 | | | | | $ | 936,431,547 | | | | | $ | 282,417,477 | | | | | $ | 319,535,817 | | |
CHANGES IN SHARES OUTSTANDING: | | | | | | | | | | | | | | | | | | | | | | | | | |
Shares outstanding, beginning of period | | | | | 52,300,001 | | | | | | 71,250,001 | | | | | | 21,400,001 | | | | | | 29,850,001 | | |
Shares sold | | | | | 3,800,000 | | | | | | 9,850,000 | | | | | | 450,000 | | | | | | 300,000 | | |
Shares redeemed | | | | | (9,350,001) | | | | | | (28,800,000) | | | | | | (1,650,001) | | | | | | (8,750,000) | | |
Shares outstanding, end of period | | | | | 46,750,000 | | | | | | 52,300,001 | | | | | | 20,200,000 | | | | | | 21,400,001 | | |
| | | The 3D Printing ETF | | | The ARK Israel Innovative Technology ETF | | ||||||||||||||||||
| | | Six Months Ended January 31, 2023 (Unaudited) | | | Year Ended July 31, 2022 | | | Six Months Ended January 31, 2023 (Unaudited) | | | Year Ended July 31, 2022 | | ||||||||||||
OPERATIONS: | | | | | | | | | | | | | | | | | | | | | | | | | |
Net investment income (loss) | | | | $ | (178,642) | | | | | $ | (530,350) | | | | | $ | 23,731 | | | | | $ | (294,900) | | |
Net realized loss on investments and foreign currency transactions | | | | | (32,508,054) | | | | | | (103,341,583) | | | | | | (16,587,987) | | | | | | (56,749,557) | | |
Net change in unrealized appreciation (depreciation) on investments and foreign currency translations | | | | | 30,151,483 | | | | | | (60,510,303) | | | | | | 12,829,424 | | | | | | (18,576,396) | | |
Net decrease in net assets resulting from operations | | | | | (2,535,213) | | | | | | (164,382,236) | | | | | | (3,734,832) | | | | | | (75,620,853) | | |
DISTRIBUTIONS TO SHAREHOLDERS | | | | | | | | | | | | | | | | | | | | | | | | | |
Distributions from distributable earnings | | | | | — | | | | | | (6,527) | | | | | | — | | | | | | (731,187) | | |
SHAREHOLDER TRANSACTIONS: | | | | | | | | | | | | | | | | | | | | | | | | | |
Proceeds from shares sold | | | | | — | | | | | | — | | | | | | 8,571,885 | | | | | | 4,381,509 | | |
Cost of shares redeemed | | | | | (17,138,094) | | | | | | (141,564,471) | | | | | | (17,949,616) | | | | | | (93,611,726) | | |
Net decrease in net assets resulting from shareholder transactions | | | | | (17,138,094) | | | | | | (141,564,471) | | | | | | (9,377,731) | | | | | | (89,230,217) | | |
Decrease in net assets | | | | | (19,673,307) | | | | | | (305,953,234) | | | | | | (13,112,563) | | | | | | (165,582,257) | | |
NET ASSETS: | | | | | | | | | | | | | | | | | | | | | | | | | |
Beginning of period | | | | | 209,550,292 | | | | | | 515,503,526 | | | | | | 118,134,089 | | | | | | 283,716,346 | | |
End of period | | | | $ | 189,876,985 | | | | | $ | 209,550,292 | | | | | $ | 105,021,526 | | | | | $ | 118,134,089 | | |
CHANGES IN SHARES OUTSTANDING: | | | | | | | | | | | | | | | | | | | | | | | | | |
Shares outstanding, beginning of period | | | | | 9,050,001 | | | | | | 13,550,001 | | | | | | 6,100,001 | | | | | | 9,375,001 | | |
Shares sold | | | | | — | | | | | | — | | | | | | 450,000 | | | | | | 200,000 | | |
Shares redeemed | | | | | (800,001) | | | | | | (4,500,000) | | | | | | (950,001) | | | | | | (3,475,000) | | |
Shares outstanding, end of period | | | | | 8,250,000 | | | | | | 9,050,001 | | | | | | 5,600,000 | | | | | | 6,100,001 | | |
| | | Six Months Ended January 31, 2023 (Unaudited) | | | Year Ended July 31, 2022 | | | Year Ended July 31, 2021 | | | Year Ended July 31, 2020 | | | Year Ended July 31, 2019 | | | Year Ended July 31, 2018 | | ||||||||||||||||||
Per Share Data: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Net asset value, beginning of period | | | | $ | 36.67 | | | | | $ | 84.40 | | | | | $ | 53.70 | | | | | $ | 34.50 | | | | | $ | 29.36 | | | | | $ | 22.24 | | |
Net investment loss(1) | | | | | (0.12) | | | | | | (0.35) | | | | | | (0.24) | | | | | | (0.28) | | | | | | (0.19) | | | | | | (0.18) | | |
Net realized and unrealized gain (loss) on investments | | | | | (2.86) | | | | | | (47.00) | | | | | | 31.73 | | | | | | 20.53 | | | | | | 5.80 | | | | | | 7.63 | | |
Total gain (loss) from investment operations | | | | | (2.98) | | | | | | (47.35) | | | | | | 31.49 | | | | | | 20.25 | | | | | | 5.61 | | | | | | 7.45 | | |
Distributions to shareholders: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Net realized gains | | | | | — | | | | | | (0.38) | | | | | | (0.79) | | | | | | (1.05) | | | | | | (0.47) | | | | | | (0.33) | | |
Total distributions | | | | | — | | | | | | (0.38) | | | | | | (0.79) | | | | | | (1.05) | | | | | | (0.47) | | | | | | (0.33) | | |
Net asset value, end of period | | | | $ | 33.69 | | | | | $ | 36.67 | | | | | $ | 84.40 | | | | | $ | 53.70 | | | | | $ | 34.50 | | | | | $ | 29.36 | | |
Market value, end of period | | | | $ | 33.70 | | | | | $ | 36.61 | | | | | $ | 84.35 | | | | | $ | 53.70 | | | | | $ | 34.58 | | | | | $ | 29.40 | | |
Total Return at Net Asset Value(2) | | | | | (8.12)% | | | | | | (56.27)% | | | | | | 58.48% | | | | | | 60.41% | | | | | | 19.87% | | | | | | 33.80% | | |
Total Return at Market Value(2) | | | | | (7.95)% | | | | | | (56.32)% | | | | | | 58.39% | | | | | | 60.05% | | | | | | 20.00% | | | | | | 33.66% | | |
Ratios/Supplemental Data: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Net assets, end of period (000’s omitted) | | | | $ | 2,247,453 | | | | | $ | 2,780,026 | | | | | $ | 8,588,014 | | | | | $ | 1,589,856 | | | | | $ | 465,966 | | | | | $ | 232,115 | | |
Ratio to average net assets of: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Expenses | | | | | 0.75%(3) | | | | | | 0.75% | | | | | | 0.75% | | | | | | 0.75% | | | | | | 0.75% | | | | | | 0.75% | | |
Net investment loss | | | | | (0.71)%(3) | | | | | | (0.62)% | | | | | | (0.28)% | | | | | | (0.73)% | | | | | | (0.63)% | | | | | | (0.64)% | | |
Portfolio turnover rate(4) | | | | | 19% | | | | | | 51% | | | | | | 45% | | | | | | 50% | | | | | | 64% | | | | | | 80% | | |
| | | Six Months Ended January 31, 2023 (Unaudited) | | | Year Ended July 31, 2022 | | | Year Ended July 31, 2021 | | | Year Ended July 31, 2020 | | | Year Ended July 31, 2019 | | | Year Ended July 31, 2018 | | ||||||||||||||||||
Per Share Data: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Net asset value, beginning of period | | | | $ | 56.11 | | | | | $ | 81.12 | | | | | $ | 52.69 | | | | | $ | 33.05 | | | | | $ | 34.93 | | | | | $ | 29.59 | | |
Net investment loss(1) | | | | | (0.08) | | | | | | (0.30) | | | | | | (0.33) | | | | | | (0.13) | | | | | | (0.13) | | | | | | (0.05) | | |
Net realized and unrealized gain (loss) on investments | | | | | (7.41) | | | | | | (24.10) | | | | | | 29.42 | | | | | | 19.77 | | | | | | (0.91) | | | | | | 5.89 | | |
Total gain (loss) from investment operations | | | | | (7.49) | | | | | | (24.40) | | | | | | 29.09 | | | | | | 19.64 | | | | | | (1.04) | | | | | | 5.84 | | |
Distributions to shareholders: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Net investment income | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | (0.02) | | |
Net realized gains | | | | | — | | | | | | (0.61) | | | | | | (0.66) | | | | | | — | | | | | | (0.84) | | | | | | (0.48) | | |
Total distributions | | | | | — | | | | | | (0.61) | | | | | | (0.66) | | | | | | — | | | | | | (0.84) | | | | | | (0.50) | | |
Net asset value, end of period | | | | $ | 48.62 | | | | | $ | 56.11 | | | | | $ | 81.12 | | | | | $ | 52.69 | | | | | $ | 33.05 | | | | | $ | 34.93 | | |
Market value, end of period | | | | $ | 48.57 | | | | | $ | 56.07 | | | | | $ | 81.18 | | | | | $ | 52.78 | | | | | $ | 33.06 | | | | ��� | $ | 35.01 | | |
Total Return at Net Asset Value(2) | | | | | (13.35)% | | | | | | (30.27)% | | | | | | 55.31% | | | | | | 59.43% | | | | | | (2.66)% | | | | | | 19.86% | | |
Total Return at Market Value(2) | | | | | (13.38)% | | | | | | (30.38)% | | | | | | 55.17% | | | | | | 59.65% | | | | | | (2.84)% | | | | | | 19.98% | | |
Ratios/Supplemental Data: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Net assets, end of period (000’s omitted) | | | | $ | 926,179 | | | | | $ | 1,211,939 | | | | | $ | 2,806,640 | | | | | $ | 447,887 | | | | | $ | 166,897 | | | | | $ | 155,448 | | |
Ratio to average net assets of: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Expenses | | | | | 0.75%(3) | | | | | | 0.75% | | | | | | 0.75% | | | | | | 0.75% | | | | | | 0.75% | | | | | | 0.75% | | |
Net investment loss | | | | | (0.35)%(3) | | | | | | (0.42)% | | | | | | (0.41)% | | | | | | (0.34)% | | | | | | (0.39)% | | | | | | (0.15)% | | |
Portfolio turnover rate(4) | | | | | 11% | | | | | | 54% | | | | | | 86% | | | | | | 71% | | | | | | 54% | | | | | | 57% | | |
| | | Six Months Ended January 31, 2023 (Unaudited) | | | Year Ended July 31, 2022 | | | Year Ended July 31, 2021 | | | Year Ended July 31, 2020 | | | Year Ended July 31, 2019 | | | Year Ended July 31, 2018 | | ||||||||||||||||||
Per Share Data: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Net asset value, beginning of period | | | | $ | 45.14 | | | | | $ | 119.91 | | | | | $ | 80.37 | | | | | $ | 48.36 | | | | | $ | 44.51 | | | | | $ | 29.59 | | |
Net investment loss(1) | | | | | (0.14) | | | | | | (0.60) | | | | | | (0.75) | | | | | | (0.38) | | | | | | (0.30) | | | | | | (0.13) | | |
Net realized and unrealized gain (loss) on investments | | | | | (5.05) | | | | | | (73.39) | | | | | | 42.33 | | | | | | 32.58 | | | | | | 5.32 | | | | | | 15.54(2) | | |
Total gain (loss) from investment operations | | | | | (5.19) | | | | | | (73.99) | | | | | | 41.58 | | | | | | 32.20 | | | | | | 5.02 | | | | | | 15.41 | | |
Distributions to shareholders: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Net investment income | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | (0.09) | | |
Net realized gains | | | | | — | | | | | | (0.78) | | | | | | (2.04) | | | | | | (0.19) | | | | | | (1.17) | | | | | | (0.40) | | |
Total distributions | | | | | — | | | | | | (0.78) | | | | | | (2.04) | | | | | | (0.19) | | | | | | (1.17) | | | | | | (0.49) | | |
Net asset value, end of period | | | | $ | 39.95 | | | | | $ | 45.14 | | | | | $ | 119.91 | | | | | $ | 80.37 | | | | | $ | 48.36 | | | | | $ | 44.51 | | |
Market value, end of period | | | | $ | 39.93 | | | | | $ | 45.13 | | | | | $ | 120.00 | | | | | $ | 80.37 | | | | | $ | 48.46 | | | | | $ | 44.55 | | |
Total Return at Net Asset Value(3) | | | | | (11.50)% | | | | | | (62.04)% | | | | | | 51.65% | | | | | | 66.82% | | | | | | 12.14% | | | | | | 52.38%(2) | | |
Total Return at Market Value(3) | | | | | (11.52)% | | | | | | (62.08)% | | | | | | 51.76% | | | | | | 66.47% | | | | | | 12.27% | | | | | | 52.38%(2) | | |
Ratios/Supplemental Data: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Net assets, end of period (000’s omitted) | | | | $ | 7,663,724 | | | | | $ | 9,336,819 | | | | | $ | 22,495,429 | | | | | $ | 6,132,599 | | | | | $ | 1,731,253 | | | | | $ | 1,170,588 | | |
Ratio to average net assets of: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Expenses | | | | | 0.75%(4) | | | | | | 0.75% | | | | | | 0.75% | | | | | | 0.75% | | | | | | 0.75% | | | | | | 0.75% | | |
Net investment loss | | | | | (0.74)%(4) | | | | | | (0.75)% | | | | | | (0.63)% | | | | | | (0.70)% | | | | | | (0.67)% | | | | | | (0.33)% | | |
Portfolio turnover rate(5) | | | | | 14% | | | | | | 55% | | | | | | 71% | | | | | | 80% | | | | | | 80% | | | | | | 89% | | |
| | | Six Months Ended January 31, 2023 (Unaudited) | | | Year Ended July 31, 2022 | | | Year Ended July 31, 2021 | | | Year Ended July 31, 2020 | | | Year Ended July 31, 2019 | | | Year Ended July 31, 2018 | | ||||||||||||||||||
Per Share Data: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Net asset value, beginning of period | | | | $ | 54.55 | | | | | $ | 147.37 | | | | | $ | 99.48 | | | | | $ | 52.32 | | | | | $ | 55.10 | | | | | $ | 36.82 | | |
Net investment loss(1) | | | | | (0.18) | | | | | | (0.81) | | | | | | (0.98) | | | | | | (0.45) | | | | | | (0.33) | | | | | | (0.09) | | |
Net realized and unrealized gain (loss) on investments | | | | | (4.62) | | | | | | (88.70) | | | | | | 50.76 | | | | | | 47.61 | | | | | | 3.09 | | | | | | 19.32(2) | | |
Total gain (loss) from investment operations | | | | | (4.80) | | | | | | (89.51) | | | | | | 49.78 | | | | | | 47.16 | | | | | | 2.76 | | | | | | 19.23 | | |
Distributions to shareholders: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Net investment income | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | (0.13) | | |
Net realized gains | | | | | — | | | | | | (3.31) | | | | | | (1.89) | | | | | | — | | | | | | (5.54) | | | | | | (0.82) | | |
Total distributions | | | | | — | | | | | | (3.31) | | | | | | (1.89) | | | | | | — | | | | | | (5.54) | | | | | | (0.95) | | |
Net asset value, end of period | | | | $ | 49.75 | | | | | $ | 54.55 | | | | | $ | 147.37 | | | | | $ | 99.48 | | | | | $ | 52.32 | | | | | $ | 55.10 | | |
Market value, end of period | | | | $ | 49.79 | | | | | $ | 54.48 | | | | | $ | 147.55 | | | | | $ | 99.49 | | | | | $ | 52.48 | | | | | $ | 55.08 | | |
Total Return at Net Asset Value(3) | | | | | (8.79)% | | | | | | (61.95)% | | | | | | 50.06% | | | | | | 90.13% | | | | | | 7.49% | | | | | | 52.71%(2) | | |
Total Return at Market Value(3) | | | | | (8.61)% | | | | | | (62.04)% | | | | | | 50.24% | | | | | | 89.58% | | | | | | 7.80% | | | | | | 52.53%(2) | | |
Ratios/Supplemental Data: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Net assets, end of period (000’s omitted) | | | | $ | 1,246,315 | | | | | $ | 1,456,499 | | | | | $ | 5,813,640 | | | | | $ | 1,920,045 | | | | | $ | 431,660 | | | | | $ | 672,276 | | |
Ratio to average net assets of: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Expenses | | | | | 0.75%(4) | | | | | | 0.75% | | | | | | 0.75% | | | | | | 0.75% | | | | | | 0.75% | | | | | | 0.75% | | |
Net investment loss | | | | | (0.74)%(4) | | | | | | (0.75)% | | | | | | (0.69)% | | | | | | (0.68)% | | | | | | (0.63)% | | | | | | (0.18)% | | |
Portfolio turnover rate(5) | | | | | 13% | | | | | | 76% | | | | | | 120% | | | | | | 93% | | | | | | 92% | | | | | | 68% | | |
| | | Six Months Ended January 31, 2023 (Unaudited) | | | Year Ended July 31, 2022 | | | Year Ended July 31, 2021 | | | Year Ended July 31, 2020 | | | For the Period February 4, 2019(1) through July 31, 2019 | | |||||||||||||||
Per Share Data: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Net asset value, beginning of period | | | | $ | 17.91 | | | | | $ | 50.67 | | | | | $ | 36.18 | | | | | $ | 22.84 | | | | | $ | 20.00 | | |
Net investment loss(2) | | | | | (0.05) | | | | | | (0.24) | | | | | | (0.30) | | | | | | (0.10) | | | | | | (0.03) | | |
Net realized and unrealized gain (loss) on investments | | | | | 0.54 | | | | | | (32.52) | | | | | | 14.97 | | | | | | 13.74 | | | | | | 2.87 | | |
Total gain (loss) from investment operations | | | | | 0.49 | | | | | | (32.76) | | | | | | 14.67 | | | | | | 13.64 | | | | | | 2.84 | | |
Distributions to shareholders: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Net realized gains | | | | | — | | | | | | — | | | | | | (0.18) | | | | | | (0.30) | | | | | | — | | |
Total distributions | | | | | — | | | | | | — | | | | | | (0.18) | | | | | | (0.30) | | | | | | — | | |
Net asset value, end of period | | | | $ | 18.40 | | | | | $ | 17.91 | | | | | $ | 50.67 | | | | | $ | 36.18 | | | | | $ | 22.84 | | |
Market value, end of period | | | | $ | 18.44 | | | | | $ | 17.88 | | | | | $ | 50.68 | | | | | $ | 36.26 | | | | | $ | 22.86 | | |
Total Return at Net Asset Value(3) | | | | | 2.78% | | | | | | (64.66)% | | | | | | 40.58% | | | | | | 60.36% | | | | | | 14.21% | | |
Total Return at Market Value(3) | | | | | 3.13% | | | | | | (64.72)% | | | | | | 40.29% | | | | | | 60.59% | | | | | | 14.30% | | |
Ratios/Supplemental Data: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Net assets, end of period (000’s omitted) | | | | $ | 860,345 | | | | | $ | 936,432 | | | | | $ | 3,610,269 | | | | | $ | 347,337 | | | | | $ | 74,233 | | |
Ratio to average net assets of: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Expenses | | | | | 0.75%(4) | | | | | | 0.75% | | | | | | 0.75% | | | | | | 0.75% | | | | | | 0.75%(4) | | |
Net investment loss | | | | | (0.60)%(4) | | | | | | (0.65)% | | | | | | (0.60)% | | | | | | (0.40)% | | | | | | (0.24)%(4) | | |
Portfolio turnover rate(5) | | | | | 13% | | | | | | 75% | | | | | | 78% | | | | | | 55% | | | | | | 22% | | |
| | | Six Months Ended January 31, 2023 (Unaudited) | | | Year Ended July 31, 2022 | | | For the Period March 30, 2021(1) through July 31, 2021 | | |||||||||
Per Share Data: | | | | | | | | | | | | | | | | | | | |
Net asset value, beginning of period | | | | $ | 14.93 | | | | | $ | 20.35 | | | | | $ | 20.00 | | |
Net investment loss(2) | | | | | (0.01) | | | | | | (0.03) | | | | | | (0.02) | | |
Net realized and unrealized gain (loss) on investments | | | | | (0.94) | | | | | | (5.39) | | | | | | 0.37 | | |
Total gain (loss) from investment operations | | | | | (0.95) | | | | | | (5.42) | | | | | | 0.35 | | |
Total distributions | | | | | — | | | | | | — | | | | | | — | | |
Net asset value, end of period | | | | $ | 13.98 | | | | | $ | 14.93 | | | | | $ | 20.35 | | |
Market value, end of period | | | | $ | 13.98 | | | | | $ | 14.93 | | | | | $ | 20.34 | | |
Total Return at Net Asset Value(3) | | | | | (6.37)% | | | | | | (26.64)% | | | | | | 1.77% | | |
Total Return at Market Value(3) | | | | | (6.36)% | | | | | | (26.60)% | | | | | | 1.70% | | |
Ratios/Supplemental Data: | | | | | | | | | | | | | | | | | | | |
Net assets, end of period (000’s omitted) | | | | $ | 282,417 | | | | | $ | 319,536 | | | | | $ | 607,553 | | |
Ratio to average net assets of: | | | | | | | | | | | | | | | | | | | |
Expenses, prior to expense waivers and reimbursements | | | | | 0.75%(4) | | | | | | 0.75% | | | | | | 0.75%(4) | | |
Expenses, net of expense waivers and reimbursements | | | | | 0.71%(4) | | | | | | 0.70% | | | | | | 0.71%(4) | | |
Net investment loss | | | | | (0.20)%(4) | | | | | | (0.18)% | | | | | | (0.26)%(4) | | |
Portfolio turnover rate(5) | | | | | 4% | | | | | | 41% | | | | | | 46% | | |
| | | Six Months Ended January 31, 2023 (Unaudited) | | | Year Ended July 31, 2022 | | | Year Ended July 31, 2021 | | | Year Ended July 31, 2020 | | | Year Ended July 31, 2019 | | | Year Ended July 31, 2018 | | ||||||||||||||||||
Per Share Data: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Net asset value, beginning of period | | | | $ | 23.15 | | | | | $ | 38.04 | | | | | $ | 22.28 | | | | | $ | 22.04 | | | | | $ | 24.22 | | | | | $ | 25.52 | | |
Net investment loss(1) | | | | | (0.02) | | | | | | (0.05) | | | | | | 0.00(2) | | | | | | (0.00)(2) | | | | | | (0.01) | | | | | | (0.04) | | |
Net realized and unrealized gain (loss) on investments | | | | | (0.11) | | | | | | (14.84) | | | | | | 15.76 | | | | | | 0.25 | | | | | | (2.01) | | | | | | (0.73) | | |
Total gain (loss) from investment operations | | | | | (0.13) | | | | | | (14.89) | | | | | | 15.76 | | | | | | 0.25 | | | | | | (2.02) | | | | | | (0.77) | | |
Distributions to shareholders: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Net investment income | | | | | — | | | | | | (0.00)(2) | | | | | | — | | | | | | (0.01) | | | | | | — | | | | | | — | | |
Net realized gains | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | (0.16) | | | | | | (0.53) | | |
Total distributions | | | | | — | | | | | | (0.00) | | | | | | — | | | | | | (0.01) | | | | | | (0.16) | | | | | | (0.53) | | |
Net asset value, end of period | | | | $ | 23.02 | | | | | $ | 23.15 | | | | | $ | 38.04 | | | | | $ | 22.28 | | | | | $ | 22.04 | | | | | $ | 24.22 | | |
Market value, end of period | | | | $ | 23.01 | | | | | $ | 23.16 | | | | | $ | 38.00 | | | | | $ | 22.16 | | | | | $ | 22.25 | | | | | $ | 24.32 | | |
Total Return at Net Asset Value(3) | | | | | (0.60)% | | | | | | (39.14)% | | | | | | 70.76% | | | | | | 1.15% | | | | | | (8.25)% | | | | | | (3.05)% | | |
Total Return at Market Value(3) | | | | | (0.65)% | | | | | | (39.05)% | | | | | | 71.48% | | | | | | (0.34)% | | | | | | (7.76)% | | | | | | (2.64)% | | |
Ratios/Supplemental Data: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Net assets, end of period (000’s omitted) | | | | $ | 189,877 | | | | | $ | 209,550 | | | | | $ | 515,504 | | | | | $ | 41,217 | | | | | $ | 39,672 | | | | | $ | 47,220 | | |
Ratio to average net assets of: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Expenses | | | | | 0.66%(4) | | | | | | 0.66% | | | | | | 0.66% | | | | | | 0.66% | | | | | | 0.66% | | | | | | 0.66% | | |
Net investment loss | | | | | (0.19)%(4) | | | | | | (0.15)% | | | | | | 0.00%(5) | | | | | | 0.00%(5) | | | | | | (0.04)% | | | | | | (0.17)% | | |
Portfolio turnover rate(6) | | | | | 22% | | | | | | 37% | | | | | | 59% | | | | | | 37% | | | | | | 51% | | | | | | 53% | | |
| | | Six Months Ended January 31, 2023 (Unaudited) | | | Year Ended July 31, 2022 | | | Year Ended July 31, 2021 | | | Year Ended July 31, 2020 | | | Year Ended July 31, 2019 | | | For the Period December 5, 2017(1) through July 31, 2018 | | ||||||||||||||||||
Per Share Data: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Net asset value, beginning of period | | | | $ | 19.37 | | | | | $ | 30.26 | | | | | $ | 25.00 | | | | | $ | 20.54 | | | | | $ | 20.85 | | | | | $ | 20.00 | | |
Net investment income (loss)(2) | | | | | 0.00(3) | | | | | | (0.04) | | | | | | 0.05 | | | | | | (0.03) | | | | | | 0.08 | | | | | | (0.00)(3) | | |
Net realized and unrealized gain (loss) on investments | | | | | (0.62) | | | | | | (10.75) | | | | | | 5.21 | | | | | | 4.97 | | | | | | 0.18 | | | | | | 0.85 | | |
Total gain (loss) from investment operations | | | | | (0.62) | | | | | | (10.79) | | | | | | 5.26 | | | | | | 4.94 | | | | | | 0.26 | | | | | | 0.85 | | |
Distributions to shareholders: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Net investment income | | | | | — | | | | | | (0.10) | | | | | | — | | | | | | (0.48) | | | | | | (0.57) | | | | | | — | | |
Total distributions | | | | | — | | | | | | (0.10) | | | | | | — | | | | | | (0.48) | | | | | | (0.57) | | | | | | — | | |
Net asset value, end of period | | | | $ | 18.75 | | | | | $ | 19.37 | | | | | $ | 30.26 | | | | | $ | 25.00 | | | | | $ | 20.54 | | | | | $ | 20.85 | | |
Market value, end of period | | | | $ | 18.71 | | | | | $ | 19.36 | | | | | $ | 30.15 | | | | | $ | 24.74 | | | | | $ | 20.64 | | | | | $ | 21.04 | | |
Total Return at Net Asset Value(4) | | | | | (3.16)% | | | | | | (35.79)% | | | | | | 21.06% | | | | | | 24.31% | | | | | | 1.57% | | | | | | 4.27% | | |
Total Return at Market Value(4) | | | | | (3.36)% | | | | | | (35.57)% | | | | | | 21.87% | | | | | | 22.41% | | | | | | 1.20% | | | | | | 5.20% | | |
Ratios/Supplemental Data: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Net assets, end of period (000’s omitted) | | | | $ | 105,022 | | | | | $ | 118,134 | | | | | $ | 283,716 | | | | | $ | 48,123 | | | | | $ | 19,512 | | | | | $ | 21,896 | | |
Ratio to average net assets of: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Expenses | | | | | 0.49%(5) | | | | | | 0.49% | | | | | | 0.49% | | | | | | 0.49% | | | | | | 0.49% | | | | | | 0.49%(5) | | |
Net investment income (loss) | | | | | 0.04%(5) | | | | | | (0.15)% | | | | | | 0.15% | | | | | | (0.14)% | | | | | | 0.37% | | | | | | (0.03)%(5) | | |
Portfolio turnover rate(6) | | | | | 23% | | | | | | 58% | | | | | | 88% | | | | | | 86% | | | | | | 57% | | | | | | 40% | | |
Fund | | | Purchases | | | Sales | | ||||||
ARK Genomic Revolution ETF | | | | $ | 457,614,620 | | | | | $ | 461,461,293 | | |
ARK Autonomous Technology & Robotics ETF | | | | | 109,930,782 | | | | | | 110,929,998 | | |
ARK Innovation ETF | | | | | 1,037,652,404 | | | | | | 1,044,418,060 | | |
ARK Next Generation Internet ETF | | | | | 160,727,628 | | | | | | 162,779,975 | | |
ARK Fintech Innovation ETF | | | | | 108,061,979 | | | | | | 107,953,743 | | |
ARK Space Exploration & Innovation ETF | | | | | 11,759,516 | | | | | | 12,515,499 | | |
The 3D Printing ETF | | | | | 41,695,978 | | | | | | 42,605,156 | | |
The ARK Israel Innovative Technology ETF | | | | | 23,748,670 | | | | | | 25,994,539 | | |
| | | In-Kind | | |||||||||
Fund | | | Subscriptions | | | Redemptions | | ||||||
ARK Genomic Revolution ETF | | | | $ | 703,655,556 | | | | | $ | 999,600,451 | | |
ARK Autonomous Technology & Robotics ETF | | | | | 2,376,901 | | | | | | 119,309,202 | | |
ARK Innovation ETF | | | | | 4,860,896,141 | | | | | | 5,538,696,126 | | |
ARK Next Generation Internet ETF | | | | | 254,544,614 | | | | | | 331,542,891 | | |
ARK Fintech Innovation ETF | | | | | 66,019,723 | | | | | | 152,172,140 | | |
ARK Space Exploration & Innovation ETF | | | | | 5,061,025 | | | | | | 21,073,330 | | |
The 3D Printing ETF | | | | | — | | | | | | 16,873,573 | | |
The ARK Israel Innovative Technology ETF | | | | | 8,555,283 | | | | | | 17,673,933 | | |
follows:
Fund | | | Cost | | | Gross Unrealized Appreciation | | | Gross Unrealized Depreciation | | | Net Unrealized Appreciation (Depreciation) | | ||||||||||||
ARK Genomic Revolution ETF | | | | $ | 7,124,859,398 | | | | | $ | 22,754,308 | | | | | $ | (4,363,980,837) | | | | | $ | (4,341,226,529) | | |
ARK Autonomous Technology & Robotics ETF | | | | | 1,949,785,642 | | | | | | 76,227,294 | | | | | | (813,676,791) | | | | | | (737,449,497) | | |
ARK Innovation ETF | | | | | 21,904,169,165 | | | | | | 112,009,979 | | | | | | (12,676,370,218) | | | | | | (12,564,360,239) | | |
ARK Next Generation Internet ETF | | | | | 3,850,218,530 | | | | | | 43,186,923 | | | | | | (2,436,003,529) | | | | | | (2,392,816,606) | | |
ARK Fintech Innovation ETF | | | | | 2,311,308,820 | | | | | | 9,055,893 | | | | | | (1,381,906,658) | | | | | | (1,372,850,765) | | |
ARK Space Exploration & Innovation ETF | | | | | 446,389,764 | | | | | | 5,047,101 | | | | | | (131,847,957) | | | | | | (126,800,856) | | |
The 3D Printing ETF | | | | | 333,848,436 | | | | | | 2,708,935 | | | | | | (127,024,055) | | | | | | (124,315,120) | | |
The ARK Israel Innovative Technology ETF | | | | | 161,897,822 | | | | | | 6,209,639 | | | | | | (50,582,132) | | | | | | (44,372,493) | | |
Fund | | | Late Year Ordinary Deferral | | | Capital Post-October Loss | | ||||||
ARK Autonomous Technology & Robotics ETF | | | | $ | — | | | | | $ | (32,091,568) | | |
ARK Next Generation Internet ETF | | | | | (8,978,617) | | | | | | (417,239,517) | | |
The ARK Israel Innovative Technology ETF | | | | | (900,158) | | | | | | — | | |
| | | Short-Term | | | Long-Term | | | Total Amount | | |||||||||
ARK Genomic Revolution ETF | | | | $ | 239,669,771 | | | | | $ | 237,089,727 | | | | | $ | 476,759,498 | | |
ARK Autonomous Technology & Robotics ETF | | | | | — | | | | | | — | | | | | | — | | |
ARK Innovation ETF | | | | | 948,020,853 | | | | | | 539,239,250 | | | | | | 1,487,260,103 | | |
ARK Next Generation Internet ETF | | | | | — | | | | | | — | | | | | | — | | |
ARK Fintech Innovation ETF | | | | | 541,948,870 | | | | | | 148,100,967 | | | | | | 690,049,837 | | |
ARK Space Exploration & Innovation ETF | | | | | 16,436,434 | | | | | | 5,273,242 | | | | | | 21,709,676 | | |
The 3D Printing ETF | | | | | 86,427,247 | | | | | | 26,649,806 | | | | | | 113,077,053 | | |
The ARK Israel Innovative Technology ETF | | | | | 52,369,545 | | | | | | 26,474,567 | | | | | | 78,844,112 | | |
ARK Investment Management LLC
200 Central Avenue, Suite 220
St. Petersburg, FL 33701
The Bank of New York Mellon
240 Greenwich Street
New York, NY 10286
Foreside Fund Services, LLC
Three Canal Plaza, Suite 100
Portland, ME 04101
Ernst & Young LLP
One Manhattan West
New York, NY 10001
(b) | Not applicable. |
Item 2. Code of Ethics.
Not applicable.
Item 3. Audit Committee Financial Expert.
Not applicable.
Item 4. Principal Accountant Fees and Services.
Not applicable.
Item 5. Audit Committee of Listed Registrants.
Not applicable.
Item 6. Investments.
(a) | Schedule of Investments in securities of unaffiliated issuers as of the close of the reporting period is included as part of the report to shareholders filed under Item 1(a) of this form. |
(b) | Not applicable. |
Item 7. Disclosure of Proxy Voting Policies and Procedures for Closed-End Management Investment Companies.
Not applicable.
Item 8. Portfolio Managers of Closed-End Management Investment Companies.
Not applicable.
Item 9. Purchases of Equity Securities by Closed-End Management Investment Company and Affiliated Purchasers.
Not applicable.
Item 10. Submission of Matters to a Vote of Security Holders.
There have been no material changes to the procedures by which the shareholders may recommend nominees to the registrant’s board of trustees, where those changes were implemented after the registrant last provided disclosure in response to the requirements of Item 407(c)(2)(iv) of Regulation S-K (17 CFR 229.407) (as required by Item 22(b)(15) of Schedule 14A (17 CFR 240.14a-101)), or this Item.
Item 11. Controls and Procedures.
(a) | As of a date within 90 days of the filing date of this Form N-CSR, the registrant’s principal executive and principal financial officers, or persons performing similar functions, have concluded that the registrant’s disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940, as amended (the “1940 Act”) (17 CFR 270.30a-3(c))) are effective, based on their evaluation of these controls and procedures required by Rule 30a-3(b) under the 1940 Act (17 CFR 270.30a-3(b)) and Rules 13a-15(b) or 15d-15(b) under the Securities Exchange Act of 1934, as amended (17 CFR 240.13a-15(b) or 240.15d-15(b)). |
(b) | There were no changes in the registrant’s internal control over financial reporting (as defined in Rule 30a-3(d) under the 1940 Act (17 CFR 270.30a-3(d)) that occurred during the period covered by this report that have materially affected, or are reasonably likely to materially affect, the registrant’s internal control over financial reporting. |
Item 12. Disclosure of Securities Lending Activities for Closed-End Management Investment Companies.
Not applicable.
Item 13. Exhibits.
(a)(1) | Not applicable. |
(a)(2) | Certifications pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act of 2002 are attached hereto. |
(a)(2)(1) | Not applicable. |
(a)(2)(2) | Not applicable. |
(b) | Certifications pursuant to Rule 30a-2(b) under the 1940 Act and Section 906 of the Sarbanes-Oxley Act of 2002 are attached hereto. |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934 and 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 and Title)* | /s/ Catherine D. Wood | |
Catherine D. Wood, Chief Executive Officer and Chief Investment Officer | ||
(principal executive officer) |
Date | March 31, 2023 |
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
By (Signature and Title)* | /s/ Catherine D. Wood | |
Catherine D. Wood, Chief Executive Officer and Chief Investment Officer | ||
(principal executive officer) |
Date | March 31, 2023 |
By (Signature and Title)* | /s/ William C. Cox | |
William C. Cox, Treasurer and Chief Financial Officer | ||
(principal financial officer) |
Date | March 31, 2023 |
* Print the name and title of each signing officer under his or her signature