ARK INVESTMENT MANAGEMENT LLC

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ARK Investment Management is based out of St. Petersburg. ARK Investment Management is a hedge fund with 282 clients and discretionary assets under management (AUM) of $55,094,588,754 (Form ADV from 2021-04-23). Their last reported 13F filing for Q3 2021 included $41,642,471,000 in managed 13F securities and a top 10 holdings concentration of 38.38%. ARK Investment Management's largest holding is Tesla Inc with shares held of 3,952,292. ARK Investment Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 21 13F filings, and 124 13G filings

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09/30/2021

13F Activity

  • Market Value $41.642 Billion
  • Prior Market Value $53.737 Billion
  • New Purchases50 stocks
  • Additional Purchases69 stocks
  • Sold out of36 stocks
  • Reduced holdings in176 stocks
  • Top 10 Holdings % 38.38 %
  • Turnover % [1]:28.67%
  • Turnover Alt % [2]: 11.44 %
  • Time Held Top20:4.05 quarters
  • Time Held Top10:4.50 quarters
  • Time Held All:7.69 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

09/30/2021

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2021-11-15

Performance for Q3 2021: -0.22%
Performance Last 4 Quarters: 3.87%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

Global (ex. US) Holdings

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Source: Refinitiv

View Last Form Adv Compilation Report on Record

ARK INVEST
Classified as Hedge Fund
3 E. 28TH STREET FLOOR 7
NEW YORK NY    10016
Country: United States

Business Phone: 212-426-7040
Fax: 646-668-4134
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 33
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 26,499,200
Total Number of Clients: 282
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Insider Transactions in the past year

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ARK INVESTMENT MANAGEMENT LLC

ownership team - last updated 2021-04-23
Name Title Start Date Direct/Indirect % Ownership
CARTER, KELLEN CHIEF COMPLIANCE OFFICER; CORPORATE COUNSEL 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2016-03-01
ARK INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER; INTERIM GENERAL COUNSEL direct 2016-03-01
WOOD, CATHERINE, DUDDY CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01
WINTON, BRETT, MCKENZIE DIRECTOR OF RESEARCH 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC DIRECTOR OF RESEARCH direct 2013-06-01
STAUDT, THOMAS, GREGORY CHIEF OPERATING OFFICER 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC INTERIM CHIEF OPERATING OFFICER; DIRECTOR OF PRODUCT DEVELOPMENT direct 2016-09-01
ARK INVESTMENT MANAGEMENT LP MANAGING MEMEBER 05/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC LIMITED PARTNER direct 2014-05-01
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMEBER direct 2014-05-01
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2016-07-01
CHAVIS, JAMES, ARTHUR CHIEF FINANCIAL OFFICER; CHIEF ADMINISTRATIVE OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER; CHIEF ADMINISTRATIVE OFFICER direct 2018-04-01
HAINES, JANA CHIEF STRATEGY OFFICER 03/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC CHIEF STRATEGY OFFICER direct 2021-03-01
WOOD, CATHERINE, DUDDY MEMBER ARK INVESTMENT MANAGEMENT GP LLC 06/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT GP LLC GENERAL PARTNER ARK INVESTMENT MANAGEMENT LP 07/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC GENERAL PARTNER direct 2016-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER direct 2016-06-01
ARK INVESTMENT MANAGEMENT LLC GENERAL PARTNER indirect 2016-07-01
WOOD, CATHERINE, DUDDY PARTNER ARK INVESTMENT MANAGEMENT LP 06/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ARK CRYPTOCURRENCY MASTER FUND LLC Cayman Islands 805-9131469368 Hedge Fund 26,499,211 1,000,000 Master Fund

ARK INVESTMENT MANAGEMENT LLC

ownership team - last updated 2021-03-31
Name Title Start Date Direct/Indirect % Ownership
WOOD, CATHERINE, DUDDY CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01
CARTER, KELLEN CHIEF COMPLIANCE OFFICER; CORPORATE COUNSEL 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2016-03-01
ARK INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER; INTERIM GENERAL COUNSEL direct 2016-03-01
WINTON, BRETT, MCKENZIE DIRECTOR OF RESEARCH 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC DIRECTOR OF RESEARCH direct 2013-06-01
STAUDT, THOMAS, GREGORY CHIEF OPERATING OFFICER 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC INTERIM CHIEF OPERATING OFFICER; DIRECTOR OF PRODUCT DEVELOPMENT direct 2016-09-01
ARK INVESTMENT MANAGEMENT LP MANAGING MEMEBER 05/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC LIMITED PARTNER direct 2014-05-01
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMEBER direct 2014-05-01
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2016-07-01
CHAVIS, JAMES, ARTHUR CHIEF FINANCIAL OFFICER; CHIEF ADMINISTRATIVE OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER; CHIEF ADMINISTRATIVE OFFICER direct 2018-04-01
HAINES, JANA CHIEF STRATEGY OFFICER 03/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC CHIEF STRATEGY OFFICER direct 2021-03-01
WOOD, CATHERINE, DUDDY CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01
CARTER, KELLEN CHIEF COMPLIANCE OFFICER; CORPORATE COUNSEL 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2016-03-01
ARK INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER; INTERIM GENERAL COUNSEL direct 2016-03-01
WINTON, BRETT, MCKENZIE DIRECTOR OF RESEARCH 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC DIRECTOR OF RESEARCH direct 2013-06-01
STAUDT, THOMAS, GREGORY CHIEF OPERATING OFFICER 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC INTERIM CHIEF OPERATING OFFICER; DIRECTOR OF PRODUCT DEVELOPMENT direct 2016-09-01
ARK INVESTMENT MANAGEMENT LP MANAGING MEMEBER 05/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC LIMITED PARTNER direct 2014-05-01
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMEBER direct 2014-05-01
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2016-07-01
CHAVIS, JAMES, ARTHUR CHIEF FINANCIAL OFFICER; CHIEF ADMINISTRATIVE OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER; CHIEF ADMINISTRATIVE OFFICER direct 2018-04-01
HAINES, JANA CHIEF STRATEGY OFFICER 03/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC CHIEF STRATEGY OFFICER direct 2021-03-01
WOOD, CATHERINE, DUDDY MEMBER ARK INVESTMENT MANAGEMENT GP LLC 06/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT GP LLC GENERAL PARTNER ARK INVESTMENT MANAGEMENT LP 07/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC GENERAL PARTNER direct 2016-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER direct 2016-06-01
ARK INVESTMENT MANAGEMENT LLC GENERAL PARTNER indirect 2016-07-01
WOOD, CATHERINE, DUDDY PARTNER ARK INVESTMENT MANAGEMENT LP 06/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01
WOOD, CATHERINE, DUDDY MEMBER ARK INVESTMENT MANAGEMENT GP LLC 06/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT GP LLC GENERAL PARTNER ARK INVESTMENT MANAGEMENT LP 07/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC GENERAL PARTNER direct 2016-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER direct 2016-06-01
ARK INVESTMENT MANAGEMENT LLC GENERAL PARTNER indirect 2016-07-01
WOOD, CATHERINE, DUDDY PARTNER ARK INVESTMENT MANAGEMENT LP 06/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ARK CRYPTOCURRENCY MASTER FUND LLC Cayman Islands 805-9131469368 Hedge Fund 26,499,211 1,000,000 Master Fund

ARK INVESTMENT MANAGEMENT LLC

ownership team - last updated 2020-08-14
Name Title Start Date Direct/Indirect % Ownership
WOOD, CATHERINE, DUDDY CHIEF EXECUTIVE OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01
CARTER, KELLEN CHIEF COMPLIANCE OFFICER; CORPORATE COUNSEL 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2016-03-01
ARK INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER; INTERIM GENERAL COUNSEL direct 2016-03-01
WINTON, BRETT, MCKENZIE DIRECTOR OF RESEARCH 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC DIRECTOR OF RESEARCH direct 2013-06-01
STAUDT, THOMAS, GREGORY CHIEF OPERATING OFFICER 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC INTERIM CHIEF OPERATING OFFICER; DIRECTOR OF PRODUCT DEVELOPMENT direct 2016-09-01
ARK INVESTMENT MANAGEMENT LP MANAGING MEMEBER 05/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC LIMITED PARTNER direct 2014-05-01
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMEBER direct 2014-05-01
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2016-07-01
CHAVIS, JAMES, ARTHUR CHIEF FINANCIAL OFFICER; CHIEF ADMINISTRATIVE OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER; CHIEF ADMINISTRATIVE OFFICER direct 2018-04-01
WOOD, CATHERINE, DUDDY MEMBER ARK INVESTMENT MANAGEMENT GP LLC 06/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT GP LLC GENERAL PARTNER ARK INVESTMENT MANAGEMENT LP 07/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC GENERAL PARTNER direct 2016-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER direct 2016-06-01
ARK INVESTMENT MANAGEMENT LLC GENERAL PARTNER indirect 2016-07-01
WOOD, CATHERINE, DUDDY PARTNER ARK INVESTMENT MANAGEMENT LP 06/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ARK CRYPTOCURRENCY MASTER FUND LLC Cayman Islands 805-9131469368 Hedge Fund 1,810,673 1,000,000 Master Fund Fund of Funds

ARK INVESTMENT MANAGEMENT LLC

ownership team - last updated 2020-03-30
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ARK CRYPTOCURRENCY MASTER FUND LLC Cayman Islands 805-9131469368 Hedge Fund 1,810,673 1,000,000 Master Fund Fund of Funds

ARK INVESTMENT MANAGEMENT LLC

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
WOOD, CATHERINE, DUDDY CHIEF EXECUTIVE OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01
CARTER, KELLEN CHIEF COMPLIANCE OFFICER; CORPORATE COUNSEL 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2016-03-01
ARK INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER; INTERIM GENERAL COUNSEL direct 2016-03-01
WINTON, BRETT, MCKENZIE DIRECTOR OF RESEARCH 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC DIRECTOR OF RESEARCH direct 2013-06-01
STAUDT, THOMAS, GREGORY CHIEF OPERATING OFFICER 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC INTERIM CHIEF OPERATING OFFICER; DIRECTOR OF PRODUCT DEVELOPMENT direct 2016-09-01
ARK INVESTMENT MANAGEMENT LP MANAGING MEMEBER 05/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC LIMITED PARTNER direct 2014-05-01
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMEBER direct 2014-05-01
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2016-07-01
CHAVIS, JAMES, ARTHUR CHIEF FINANCIAL OFFICER; CHIEF ADMINISTRATIVE OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER; CHIEF ADMINISTRATIVE OFFICER direct 2018-04-01
WOOD, CATHERINE, DUDDY MEMBER ARK INVESTMENT MANAGEMENT GP LLC 06/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT GP LLC GENERAL PARTNER ARK INVESTMENT MANAGEMENT LP 07/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC GENERAL PARTNER direct 2016-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER direct 2016-06-01
ARK INVESTMENT MANAGEMENT LLC GENERAL PARTNER indirect 2016-07-01
WOOD, CATHERINE, DUDDY PARTNER ARK INVESTMENT MANAGEMENT LP 06/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01

ARK INVESTMENT MANAGEMENT LLC

ownership team - last updated 2017-09-25
Name Title Start Date Direct/Indirect % Ownership
NEEMS, GARY, H. DIRECTOR 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
DEERFIELD CAPITAL MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2012-01-01
93RD STREET CAPITAL MANAGEMENT, LLC SENIOR MANAGING DIRECTOR, MANAGING MEMBER direct 2005-10-01
CIFC ASSET MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2012-01-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR direct 2016-07-01
GRAY, JOHN, CLARKE CHIEF FINANCIAL OFFICER 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
BKF ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER AND CFO direct 2006-06-01
MANIFOLD PARTNERS LLC CHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER direct 2015-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2015-02-01
ARK INVESTMENT MANAGEMENT GP LLC MEMBER 06/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC GENERAL PARTNER direct 2016-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER direct 2016-06-01
ARK INVESTMENT MANAGEMENT LLC GENERAL PARTNER indirect 2016-07-01
ARK INVESTMENT MANAGEMENT LP MANAGING MEMEBER 05/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC LIMITED PARTNER direct 2014-05-01
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMEBER direct 2014-05-01
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2016-07-01
NEEDLES, GENE, LOUIS DIRECTOR 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
A I M DISTRIBUTORS, INC. PRESIDENT, DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER direct 2004-01-01
AMERICAN BEACON ADVISORS, INC. PRESIDENT & CEO, DIRECTOR direct 2009-04-01
SHAPIRO CAPITAL MANAGEMENT LLC DIRECTOR direct 2016-04-01
SHAPIRO CAPITAL MANAGEMENT LLC DIRECTOR direct 2017-04-01
TOUCHSTONE ADVISORS INC PRESIDENT direct 2008-10-01
AIM PRIVATE ASSET MANAGEMENT, INC. PRESIDENT, DIRECTOR direct 2005-10-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR direct 2016-07-01
ALPHA QUANT ADVISORS, LLC CHIEF EXECUTIVE OFFICER, DIRECTOR direct 2016-10-01
STAUDT, THOMAS, GREGORY INTERIM CHIEF OPERATING OFFICER; DIRECTOR OF PRODUCT DEVELOPMENT 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC INTERIM CHIEF OPERATING OFFICER; DIRECTOR OF PRODUCT DEVELOPMENT direct 2016-09-01
WINTON, BRETT, MCKENZIE DIRECTOR OF RESEARCH 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC DIRECTOR OF RESEARCH direct 2013-06-01
CARTER, KELLEN CHIEF COMPLIANCE OFFICER; INTERIM GENERAL COUNSEL 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2016-03-01
ARK INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER; INTERIM GENERAL COUNSEL direct 2016-03-01
WOOD, CATHERINE, DUDDY CHIEF EXECUTIVE OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01
WOOD, CATHERINE, DUDDY PARTNER ARK INVESTMENT MANAGEMENT LP 06/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT GP LLC GENERAL PARTNER ARK INVESTMENT MANAGEMENT LP 07/01/2016 Indirect Other
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC GENERAL PARTNER direct 2016-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER direct 2016-06-01
ARK INVESTMENT MANAGEMENT LLC GENERAL PARTNER indirect 2016-07-01
WOOD, CATHERINE, DUDDY MEMBER ARK INVESTMENT MANAGEMENT GP LLC 06/01/2014 Indirect Other
Fund Name Position direct/indirect start date end date
ARK INVESTMENT MANAGEMENT LLC MANAGING MEMBER direct 2013-06-01
ARK INVESTMENT MANAGEMENT LLC MEMBER indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2014-06-01
ARK INVESTMENT MANAGEMENT LLC DIRECTOR indirect 2014-06-01
ARK INVESTMENT MANAGEMENT LLC PARTNER indirect 2014-06-01

WhaleScore history for ARK INVESTMENT MANAGEMENT LLC

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