0001213900-24-039093.txt : 20240502 0001213900-24-039093.hdr.sgml : 20240502 20240502155231 ACCESSION NUMBER: 0001213900-24-039093 CONFORMED SUBMISSION TYPE: N-CSR/A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20230731 FILED AS OF DATE: 20240502 DATE AS OF CHANGE: 20240502 EFFECTIVENESS DATE: 20240502 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Ark ETF Trust CENTRAL INDEX KEY: 0001579982 ORGANIZATION NAME: IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: N-CSR/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-22883 FILM NUMBER: 24907909 BUSINESS ADDRESS: STREET 1: 155 WEST 19TH STREET, FIFTH FLOOR CITY: NEW YORK STATE: NY ZIP: 10011 BUSINESS PHONE: 212.426.7040 MAIL ADDRESS: STREET 1: 155 WEST 19TH STREET, FIFTH FLOOR CITY: NEW YORK STATE: NY ZIP: 10011 0001579982 S000042975 ARK Genomic Revolution ETF C000133119 ARK Genomic Revolution ETF ARKG 0001579982 S000042976 ARK Autonomous Technology & Robotics ETF C000133120 ARK Autonomous Technology & Robotics ETF ARKQ 0001579982 S000042977 ARK Innovation ETF C000133121 ARK Innovation ETF ARKK 0001579982 S000042978 ARK Next Generation Internet ETF C000133122 ARK Next Generation Internet ETF ARKW 0001579982 S000052298 The 3D Printing ETF C000164426 The 3D Printing ETF PRNT 0001579982 S000052299 ARK Israel Innovative Technology ETF C000164427 ARK Israel Innovative Technology ETF IZRL 0001579982 S000064752 ARK Fintech Innovation ETF C000209702 ARK Fintech Innovation ETF ARKF 0001579982 S000071318 ARK Space Exploration & Innovation ETF C000226276 ARK Space Exploration & Innovation ETF ARKX N-CSR/A 1 ea0204993-01_ncsra.htm N-CSR/A

 

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 Its 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

251 Little Falls Drive

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: July 31, 2023

 

 

 

 

EXPLANATORY NOTE

 

The Registrant is filing this amendment to its Form N-CSR (the “Amendment”) for the period ended July 31, 2023, originally filed with the Securities and Exchange Commission on October 6, 2023 (Accession Number 0001013762-23-002465) (the “Original Filing”). This Amendment is filed solely for the purpose of updating the certifications pursuant to Rule 30A-2(a) under the Investment Company Act of 1940, as amended (the “1940 Act”), and Section 302 of the Sarbanes-Oxley Act.

 

Except as set forth above (and the dates included on the signature page and the certifications required by Rule 30a-2(a) and Rule 30a-2(b)), the Amendment does not amend, update or change any other information or disclosures contained in the Original Filing.

 

Items 1 through 13 of this Amendment to the Registrant’s Form N-CSR are incorporated by reference to the Original Filing.

 

 

 

 

Item 13. Exhibits 

 

(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.

 

(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: May 2, 2024

 

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: May 2, 2024

 

By (Signature and Title)* /s/ William C. Cox  
  William C. Cox, Treasurer and Chief Financial Officer  
  (principal financial officer)  

 

Date: May 2, 2024

 

*Print the name and title of each signing officer under his or her signature.

 

 

 EX-99.CERT 2 ea020499301_ex99cert.htm EXHIBIT 99.CERT

Exhibit 99.CERT

 

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

 

I, Catherine D. Wood, certify that:

 

1.I have reviewed this report on Form N-CSR of ARK ETF Trust;

 

2.Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

 

3.Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report;

 

4.The registrant’s other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have:

 

(a)Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

 

(b)Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;

 

(c)Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report based on such evaluation; and

 

(d)Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the period covered by this report that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and

 

5.The registrant’s other certifying officer(s) and I have disclosed to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):

 

(a)All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize, and report financial information; and

 

(b)Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.

 

Date: May 2, 2024 /s/ Catherine D. Wood
  Catherine D. Wood, Chief Executive Officer and Chief Investment Officer
  (principal executive officer)

 

 

 

 

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

 

I, William C. Cox, certify that:

 

1.I have reviewed this report on Form N-CSR of ARK ETF Trust;

 

2.Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

 

3.Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report;

 

4.The registrant’s other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have:

 

(a)Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

 

(b)Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;

 

(c)Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report based on such evaluation; and

 

(d)Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the period covered by this report that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and

 

5.The registrant’s other certifying officer(s) and I have disclosed to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):

 

(a)All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize, and report financial information; and

 

(b)Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.

 

Date: May 2, 2024 /s/ William C. Cox
  William C. Cox, Treasurer and Chief Financial Officer
  (principal financial officer)

 

 

 

 EX-99.906 CERT 3 ea020499301_ex99-906cert.htm EXHIBIT 99.906 CERT

Exhibit 99.906CERT

 

Certification Pursuant to Rule 30a-2(b) under the 1940 Act and Section 906 of the Sarbanes-Oxley Act

 

I, Catherine D. Wood, Chief Executive Officer and Chief Investment Officer of ARK ETF Trust (the “Registrant”), certify that:

 

1.The Form N-CSR of the Registrant (the “Report”) fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934, as amended; and

 

2.The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Registrant.

 

Date: May 2, 2024 /s/ Catherine D. Wood
  Catherine D. Wood, Chief Executive Officer and Chief Investment Officer
  (principal executive officer)

 

I, William C. Cox, Treasurer and Chief Financial Officer of ARK ETF Trust (the “Registrant”), certify that:

 

1.The Form N-CSR of the Registrant (the “Report”) fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934, as amended; and

 

2.The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Registrant.

 

Date: May 2, 2024 /s/ William C. Cox
  William C. Cox, Treasurer and Chief Financial Officer
  (principal financial officer)