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Ark ETF Trust

Filed: 7 Oct 21, 9:55am
X0404

N-CEN: Filer Information

Submission Contact Information

Name
Phone
E-Mail Address

Notification Information

Notify via Filing Website only?Checkbox not checked

N-CEN:Series/Class (Contract) Information

Series ID Record:1
Series ID
S000052298
Series ID Record:2
Series ID
S000042977
Series ID Record:3
Series ID
S000042976
Series ID Record:4
Series ID
S000071318
Series ID Record:5
Series ID
S000052299
Series ID Record:6
Series ID
S000042978
Series ID Record:7
Series ID
S000042975
Series ID Record:8
Series ID
S000064752

N-CEN:Part A: General Information

Item A.1. Reporting period covered.

a. Report for period ending:
2021-07-31
b. Does this report cover a period of less than 12 months?Radio button not checked Yes Radio button checked No

N-CEN:Part B: Information About the Registrant


Item B.1. Background information.

a. Full name of Registrant
ARK ETF Trust
b. Investment Company Act file number ( e.g., 811-)
811-22883
c. CIK
0001579982
d. LEI
2549000Z0EWMH3U0CQ16

Item B.2. Address and telephone number of Registrant.

a. Street 1
3 East 28th Street
Street 2
7th Floor
b. City
New York
c. State, if applicable
NEW YORK
d. Foreign country, if applicable
UNITED STATES OF AMERICA
e. Zip code and zip code extension, or foreign postal code
10016
f. Telephone number (including country code if foreign)
212-426-7040
g. Public Website, if any
http://ark-funds.com.

Item B.3. Location of books and records.

Instruction. Provide the requested information for each person maintaining physical possession of each account, book, or other document required to be maintained by section 31(a) of the Act (15 U.S.C. 80a-30(a)) and the rules under that section.
Location books Record: 1
a. Name of person (e.g., a custodian of records)
ARK Investment Management LLC
b. Street 1
3 East 28th Street
Street 2
7th Floor
c. City
New York
d. State, if applicable
NEW YORK
e. Foreign country, if applicable
UNITED STATES OF AMERICA
f. Zip code and zip code extension, or foreign postal code
10016
g. Telephone number (including country code if foreign)
212-426-7040
h. Briefly describe the books and records kept at this location:
Records relating to its function as investment adviser.
Location books Record: 2
a. Name of person (e.g., a custodian of records)
The Bank of New York Mellon
b. Street 1
240 Greenwich Street
Street 2
c. City
New York
d. State, if applicable
NEW YORK
e. Foreign country, if applicable
UNITED STATES OF AMERICA
f. Zip code and zip code extension, or foreign postal code
10286
g. Telephone number (including country code if foreign)
1-212-495-1784
h. Briefly describe the books and records kept at this location:
Records relating to its function as custodian, administrator and transfer agent.
Location books Record: 3
a. Name of person (e.g., a custodian of records)
Foreside Fund Services, LLC
b. Street 1
Three Canal Plaza
Street 2
Suite 100
c. City
Portland
d. State, if applicable
MAINE
e. Foreign country, if applicable
UNITED STATES OF AMERICA
f. Zip code and zip code extension, or foreign postal code
04101
g. Telephone number (including country code if foreign)
207-553-7111
h. Briefly describe the books and records kept at this location:
Records relating to its function as distributor.

Item B.4. Initial of final filings.

Instruction. Respond "yes" to Item B.4.b only if the Registrant has filed an application to deregister or will file an application to deregister before its next required filing on this form.
a. Is this the first filing on this form by the Registrant? Radio button not checked Yes Radio button checked No
b. Is this the last filing on this form by the Registrant? Radio button not checked Yes Radio button checked No

Item B.5. Family of investment companies.

Instruction. "Family of investment companies" means, except for insurance company separate accounts, any two or more registered investment companies that (i) share the same investment adviser or principal underwriter; and (ii) hold themselves out to investors as related companies for purposes of investment and investor services.In responding to this item, all Registrants in the family of investment companies should report the name of the family of investment companies identically.
Insurance company separate accounts that may not hold themselves out to investors as related companies (products) for purposes of investment and investor services should consider themselves part of the same family if the operational or accounting or control systems under which these entities function are substantially similar.
a. Is the Registrant part of a family of investment companies? Radio button checked Yes Radio button not checked No
i. Full name of family of investment companies
ARKETFTRUS

Item B.6. Organization.

Instruction. For Item B.6.a.i., the Registrant should include all Series that have been established by the Registrant and have shares outstanding (other than shares issued in connection with an initial investment to satisfy section 14(a) of the Act).
Indicate the classification of the Registrant by checking the applicable item below.
Checkbox checked a. Open-end management investment company registered under the Act on Form N-1A
Checkbox not checked b. Closed-end management investment company registered under the Act on Form N-2
Checkbox not checked c. Separate account offering variable annuity contracts which is registered under the Act as a management investment company on Form N-3
Checkbox not checked d. Separate account offering variable annuity contracts which is registered under the Act as a unit investment trust on Form N-4
Checkbox not checked e. Small business investment company registered under the Act on Form N-5
Checkbox not checked f. Separate account offering variable insurance contracts which is registered under the Act as a unit investment trust on Form N-6
Checkbox not checked g. Unit investment trust registered under the Act on Form N-8B-2
i. Total number of Series of the Registrant
8

Item B.7. Securities Act registration.

Is the Registrant the issuer of a class of securities registered under the Securities Act of 1933 ("Securities Act")? Radio button not checked Yes Radio button checked No

Item B.8. Directors.

Provide the information requested below about each person serving as director of the Registrant (management investment companies only):
Director Record: 1
a. Full Name
Catherine D. Wood
b. CRD number, if any
N/A
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button checked Yes Radio button not checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
N/A
Director Record: 2
a. Full Name
Scott R. Chichester
b. CRD number, if any
N/A
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
N/A
Director Record: 3
a. Full Name
Darlene T. DeRemer
b. CRD number, if any
001306882
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
N/A
Director Record: 4
a. Full Name
Robert G. Zack
b. CRD number, if any
N/A
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? Radio button not checked Yes Radio button checked No
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
File Number Record: 1
File Number Record:
N/A

Item B.9. Chief compliance officer.

Provide the information requested below about each person serving as chief compliance officer of the Registrant for purposes of rule 38a-1 (17 CFR 270.38a- 1):
Chief compliance officer Record: 1
a. Full Name
Kellen Carter
b. CRD Number, if any
N/A
c. Street Address 1
3 East 28th Street
Street Address 2
7th Floor
d. City
New York
e. State, if applicable
NEW YORK
f. Foreign country, if applicable
UNITED STATES OF AMERICA
g. Zip code and zip code extension, or foreign postal code
10016
h. Telephone number (including country code if foreign)
XXXXXX
i. Has the chief compliance officer changed since the last filing? Radio button not checked Yes Radio button checked No
If the chief compliance officer is compensated or employed by any person other than the Registrant, or an affiliated person of the Registrant, for providing chief compliance officer services, provide:
CCO employer Record: 1
i. Name of the person
N/A
ii. Person's IRS Employer Identification Number
N/A

Item B.10. Matters for security holder vote.

Instruction. Registrants registered on Forms N-3, N-4 or N-6, should respond "yes" to this Item only if security holder votes were solicited on contract-level matters.
Were any matters submitted by the Registrant for its security holders' vote during the reporting period? Radio button not checked Yes Radio button checked No

Item B.11. Legal proceeding.

Instruction. For purposes of this Item, the following proceedings should be described: (1) any bankruptcy, receivership or similar proceeding with respect to the Registrant or any of its significant subsidiaries; (2) any proceeding to which any director, officer or other affiliated person of the Registrant is a party adverse to the Registrant or any of its subsidiaries; and (3) any proceeding involving the revocation or suspension of the right of the Registrant to sell securities.
a. Have there been any material legal proceedings, other than routine litigation incidental to the business, to which the Registrant or any of its subsidiaries was a party or of which any of their property was the subject during the reporting period? Radio button not checked Yes Radio button checked No
b. Has any proceeding previously reported been terminated? Radio button not checked Yes Radio button checked No

Item B.12. Fidelity bond and insurance (management investment companies only).

a. Were any claims with respect to the Registrant filed under a fidelity bond (including, but not limited to, the fidelity insuring agreement of the bond) during the reporting period? Radio button not checked Yes Radio button checked No

Item B.13. Directors and officers/errors and omissions insurance (management investment companies only).

a. Are the Registrant's officers or directors covered in their capacities as officers or directors under any directors and officers/errors and omissions insurance policy owned by the Registrant or anyone else? Radio button checked Yes Radio button not checked No
i. If yes, were any claims filed under the policy during the reporting period with respect to the Registrant? Radio button not checked Yes Radio button checked No

Item B.14. Provision of financial support.

Instruction. For purposes of this Item, a provision of financial support includes any (1) capital contribution, (2) purchase of a security from a Money Market Fund in reliance on rule 17a-9 under the Act (17 CFR 270.17a-9), (3) purchase of any defaulted or devalued security at fair value reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio, (4) execution of letter of credit or letter of indemnity, (5) capital support agreement (whether or not the Registrant ultimately received support), (6) performance guarantee, or (7) other similar action reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio. Provision of financial support does not include any (1) routine waiver of fees or reimbursement of Registrant's expenses, (2) routine inter-fund lending, (3) routine inter-fund purchases of Registrant's shares, or (4) action that would qualify as financial support as defined above, that the board of directors has otherwise determined not to be reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio.
Did an affiliated person, promoter, or principal underwriter of the Registrant, or an affiliated person of such a person, provide any form of financial support to the Registrant during the reporting period? Radio button not checked Yes Radio button checked No

Item B.15. Exemptive orders.

a. During the reporting period, did the Registrant rely on any orders from the Commission granting an exemption from one or more provisions of the Act, Securities Act or Exchange Act? Radio button checked Yes Radio button not checked No
Release number Record: 1
i. If yes, provide below the release number for each order
IC-31034
Release number Record: 2
i. If yes, provide below the release number for each order
34-82234
Release number Record: 3
i. If yes, provide below the release number for each order
IC-33897
Release number Record: 4
i. If yes, provide below the release number for each order
IC-31889

Item B.16. Principal underwriters.

a. Provide the information requested below about each principal underwriter:
Principal underwriter Record: 1
i. Full name
Foreside Fund Services, LLC
ii. SEC file number (e.g., 8-)
008-51293
iii. CRD number
000046106
iv. LEI, if any
N/A
v. State, if applicable
MAINE
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor? Radio button not checked Yes Radio button checked No
b. Have any principal underwriters been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item B.17. Independent public accountant.

Provide the following information about eachthe independent public accountant:
Public accountant Record: 1
a. Full Name
Tait, Weller & Baker LLP
b. PCAOB Number
445
c. LEI, if any
N/A
d. State, if applicable
PENNSYLVANIA
e. Foreign country, if applicable
UNITED STATES OF AMERICA
f. Has the independent public accountant changed since the last filing?Radio button not checked Yes Radio button checked No

Item B.18. Report on internal control (management investment companies only).

Instruction. Small business investment companies are not required to respond to this item.
For the reporting period, did an independent public accountant's report on internal control note any material weaknesses? Radio button not checked Yes Radio button checked No

Item B.19. Audit opinion.

For the reporting period, did an independent public accountant issue an opinion other than an unqualified opinion with respect to its audit of the Registrant's financial statements? Radio button not checked Yes Radio button checked No

Item B.20. Change in valuation methods.

Instruction. Responses to this item need not include changes to valuation techniques used for individual securities (e.g., changing from market approach to income approach for a private equity security). In responding to Item B.20.c., provide the applicable "asset type" category specified in Item C.4.a. of Form N-PORT. In responding to Item B.20.d., provide a brief description of the type of investments involved. If the change in valuation methods applies only to certain sub-asset types included in the response to Item B.20.c., please provide the sub-asset types in the response to Item B.20.d. The responses to Item B.20.c. and Item B.20.d. should be identical only if the change in valuation methods applies to all assets within that category.
Have there been material changes in the method of valuation (e.g., change from use of bid price to mid price for fixed income securities or change in trigger threshold for use of fair value factors on international equity securities) of the Registrant's assets during the reporting period? Radio button not checked Yes Radio button checked No

Item B.21. Change in accounting principles and practices.

Have there been any changes in accounting principles or practices, or any change in the method of applying any such accounting principles or practices, which will materially affect the financial statements filed or to be filed for the current year with the Commission and which has not been previously reported? Radio button not checked Yes Radio button checked No

Item B.22. Net asset value error corrections (open-end management investment companies only).

a. During the reporting period, were any payments made to shareholders or shareholder accounts reprocessed as a result of an error in calculating the Registrant's net asset value (or net asset value per share)? Radio button not checked Yes Radio button checked No

Item B.23. Rule 19a-1 notice (management investment companies only).

During the reporting period, did the Registrant pay any dividend or make any distribution in the nature of a dividend payment, required to be accompanied by a written statement pursuant to section 19(a) of the Act (15 U.S.C. 80a-19(a)) and rule 19a-1 thereunder (17 CFR 270.19a-1)? Radio button checked Yes Radio button not checked No
Payment dividend series info Record: 1
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved:
i. Series name
ARK Innovation ETF
ii. Series identification number
S000042977
Payment dividend series info Record: 2
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved:
i. Series name
ARK Autonomous Technology & Robotics ETF
ii. Series identification number
S000042976
Payment dividend series info Record: 3
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved:
i. Series name
ARK Next Generation Internet ETF
ii. Series identification number
S000042978
Payment dividend series info Record: 4
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved:
i. Series name
ARK Genomic Revolution ETF
ii. Series identification number
S000042975
Payment dividend series info Record: 5
a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved:
i. Series name
ARK Fintech Innovation ETF
ii. Series identification number
S000064752

N-CEN:Part C: Additional Questions for Management Investment Companies

General Instruction.

Management investment companies that offer multiple series must complete Part C as to each series separately, even if some information is the same for two or more series. To begin this section or add an additional series(s), click on the bar labeled "Add a New Series" below.
Management Investment Record: 1

Item C.1. Background information.

a. Full Name of the Fund

The 3D Printing ETF

b. Series identication number, if any

S000052298

c. LEI

2549004LVF58DT442303

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

0

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
The 3D Printing ETF
ii. Class identification number, if any

C000164426

iii. Ticker symbol, if any

PRNT


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox checked Index Fund
i. Is the index whose performance the Fund tracks, constructed:
1. By an affiliated person of the fund?Radio button not checked Yes Radio button checked No
2. Exclusively for the fund?Radio button checked Yes Radio button not checked No
ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return):
1. Before Fund fees and expenses:
1.67100000
2. After Fund fees and expenses (i.e., net asset value):
1.67100000
iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period:
1. Before Fund fees and expenses:
0.00000000
2. After Fund fees and expenses (i.e., net asset value):
1.67000000

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox not checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button checked Yes Radio button not checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox not checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
ARK Investment Management LLC
ii. SEC file number ( e.g., 801- )

801-79081

iii.CRD number
000169525
iv. LEI, if any

2549006XVFMEF9PIPN63

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
ii. SEC file number ( e.g., 801- ), if applicable

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
The Bank of New York Mellon
ii.SEC file number ( e.g., 84- or 85- )

084-01761

iii. LEI, if any

HPFHU0OQ28E4N0NFVK49

iv. State, if applicable
NEW YORK
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Bloomberg Finance L.P.
ii. LEI, if any, or provide and describe other identifying number

5493001KJTIIGC8Y1R12

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Intercontinental Exchange, Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
Euroclear France
ii. LEI, if any

54930060MY6S68NEUP16

iii. State, if applicable
iv. Foreign country, if applicable
FRANCE
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
The Bank of New York Mellon, SA/NV (Italy)
ii. LEI, if any

MMYX0N4ZEZ13Z4XCG897

iii. State, if applicable
iv. Foreign country, if applicable
ITALY
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
HSBC Bank Australia Limited
ii. LEI, if any

DY9DBNI4W8J63Z298033

iii. State, if applicable
iv. Foreign country, if applicable
AUSTRALIA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
Skandinaviska Enskilda Banken AB, Stockholm
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86

iii. State, if applicable
iv. Foreign country, if applicable
SWEDEN
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
The Depository Trust Company
ii. LEI, if any

549300HBJLRO8YFMI370

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
HBTW
ii. LEI, if any

549300SG184IVNYDMN03

iii. State, if applicable
iv. Foreign country, if applicable
TAIWAN (PROVINCE OF CHINA)
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 7
i. Full name
The Bank of New York Mellon, SA/NV (Netherlands)
ii. LEI, if any

MMYX0N4ZEZ13Z4XCG897

iii. State, if applicable
iv. Foreign country, if applicable
NETHERLANDS
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 8
i. Full name
CIBC Mellon Trust Company (Canada)
ii. LEI, if any

549300IYUUH221WBZ505

iii. State, if applicable
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 9
i. Full name
Credit Suisse (Switzerland) Ltd.
ii. LEI, if any

549300CWR0W0BCS9Q144

iii. State, if applicable
iv. Foreign country, if applicable
SWITZERLAND
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 10
i. Full name
MUFG Bank, Ltd.
ii. LEI, if any

C3GTMMZIHMY46P4OIX74

iii. State, if applicable
iv. Foreign country, if applicable
JAPAN
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 11
i. Full name
Citibank Europe Plc, Sucursal em Portugal
ii. LEI, if any

N1FBEDJ5J41VKZLO2475

iii. State, if applicable
iv. Foreign country, if applicable
PORTUGAL
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 12
i. Full name
Banco Bilbao Vizcaya Argentaria SA
ii. LEI, if any

K8MS7FD7N5Z2WQ51AZ71

iii. State, if applicable
iv. Foreign country, if applicable
SPAIN
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 13
i. Full name
HSBC NOMINEES (NEW ZEALAND) LIMITED
ii. LEI, if any

213800NHDWIZKO5KIH05

iii. State, if applicable
iv. Foreign country, if applicable
NEW ZEALAND
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 14
i. Full name
The Bank of New York Mellon (Ireland)
ii. LEI, if any

N/A

iii. State, if applicable
iv. Foreign country, if applicable
IRELAND
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 15
i. Full name
Euroclear Bank
ii. LEI, if any

549300OZ46BRLZ8Y6F65

iii. State, if applicable
iv. Foreign country, if applicable
BELGIUM
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 16
i. Full name
DBS Bank Ltd, Singapore
ii. LEI, if any

ATUEL7OJR5057F2PV266

iii. State, if applicable
iv. Foreign country, if applicable
SINGAPORE
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 17
i. Full name
Skandinaviska Enskilda Banken AB, Oslo Branch
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86

iii. State, if applicable
iv. Foreign country, if applicable
NORWAY
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 18
i. Full name
The Bank of New York Mellon SA/NV (Germany)
ii. LEI, if any

MMYX0N4ZEZ13Z4XCG897

iii. State, if applicable
iv. Foreign country, if applicable
GERMANY
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 19
i. Full name
The Hongkong and Shanghai Banking Corporation (Hong Kong)
ii. LEI, if any

2HI3YI5320L3RW6NJ957

iii. State, if applicable
iv. Foreign country, if applicable
HONG KONG
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 20
i. Full name
Skandinaviska Enskilda Banken AB, Helsinki Branch
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86

iii. State, if applicable
iv. Foreign country, if applicable
FINLAND
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 21
i. Full name
The Bank of New York Mellon (United Kingdom)
ii. LEI, if any

N/A

iii. State, if applicable
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 22
i. Full name
Skandinaviska Enskilda Banken AB, Copenhagen Branch
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86

iii. State, if applicable
iv. Foreign country, if applicable
DENMARK
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 23
i. Full name
Banque Nationale de Belgique SA/NV
ii. LEI, if any

CGYP50QBGGR6NCHTSN68

iii. State, if applicable
iv. Foreign country, if applicable
BELGIUM
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 24
i. Full name
Euroclear
ii. LEI, if any

549300CBNW05DILT6870

iii. State, if applicable
iv. Foreign country, if applicable
BELGIUM
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 25
i. Full name
Bank Hapoalim B.M.
ii. LEI, if any

B6ARUI4946ST4S7WOU88

iii. State, if applicable
iv. Foreign country, if applicable
ISRAEL
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 26
i. Full name
UniCredit Bank Austria AG
ii. LEI, if any

D1HEB8VEU6D9M8ZUXG17

iii. State, if applicable
iv. Foreign country, if applicable
AUSTRIA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 27
i. Full name
The Bank of New York Mellon
ii. LEI, if any

HPFHU0OQ28E4N0NFVK49

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
The Bank of New York Mellon
ii. LEI, if any, or provide and describe other identifying number

HPFHU0OQ28E4N0NFVK49

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
The Bank of New York Mellon
ii. LEI, if any, or other identifying number

HPFHU0OQ28E4N0NFVK49

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
BTIG, LLC
ii. SEC file number

008-65473

iii. CRD number
000122225
iv. LEI, if any

549300GTG9PL6WO3EC51

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

495609.23000000

Brokers Record: 2
i. Full name of broker
VIRTU ITG LLC
ii. SEC file number

008-44218

iii. CRD number
000029299
iv. LEI, if any

549300S41SMIODVIT266

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

9032.50000000

Brokers Record: 3
i. Full name of broker
BOFA SECURITIES, INC.
ii. SEC file number

008-69787

iii. CRD number
000283942
iv. LEI, if any

549300HN4UKV1E2R3U73

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

8443.17000000

Brokers Record: 4
i. Full name of broker
BNY MELLON CAPITAL MARKETS, LLC
ii. SEC file number

008-35255

iii. CRD number
000017454
iv. LEI, if any

VJW2DOOHGDT6PR0ZRO63

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

21451.96000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

534537.00000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
HRT FINANCIAL LLC
ii. SEC file number

008-68430

iii. CRD number
000152144
iv. LEI, if any

21380037YFKONTT23854

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

20819589.31000000

Principal Transactions Record: 2
i. Full name of dealer
BOFA SECURITIES, INC.
ii. SEC file number

008-69787

iii. CRD number
000283942
iv. LEI, if any

549300HN4UKV1E2R3U73

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

141994838.31000000

Principal Transactions Record: 3
i. Full name of dealer
J.P. Morgan Securities LLC
ii. SEC file number

008-35008

iii. CRD number
000000079
iv. LEI, if any

ZBUT11V806EZRVTWT807

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

158833673.42000000

Principal Transactions Record: 4
i. Full name of dealer
GOLDMAN SACHS & CO. LLC
ii. SEC file number

008-00129

iii. CRD number
000000361
iv. LEI, if any

FOR8UP27PHTHYVLBNG30

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

198557336.98000000

Principal Transactions Record: 5
i. Full name of dealer
UBS SECURITIES LLC
ii. SEC file number

008-22651

iii. CRD number
000007654
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

238885922.78000000

Principal Transactions Record: 6
i. Full name of dealer
VIRTU AMERICAS LLC
ii. SEC file number

008-68193

iii. CRD number
000149823
iv. LEI, if any

549300RA02N3BNSWBV74

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

32949050.61000000

Principal Transactions Record: 7
i. Full name of dealer
CREDIT SUISSE SECURITIES (USA) LLC
ii. SEC file number

008-00422

iii. CRD number
000000816
iv. LEI, if any

1V8Y6QCX6YMJ2OELII46

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

14457880.12000000

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

806498292.00000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

315469239.00000000

b. Provide the money market fund's daily average net assets during the reporting period

0.00000000


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button not checked Yes Radio button checked No

b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button not checked No
Management Investment Record: 2

Item C.1. Background information.

a. Full Name of the Fund

ARK Innovation ETF

b. Series identication number, if any

S000042977

c. LEI

254900636IK9WKHH6949

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

0

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
ARK Innovation ETF
ii. Class identification number, if any

C000133121

iii. Ticker symbol, if any

ARKK


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox not checked Index Fund

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox not checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button checked Yes Radio button not checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox not checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
ARK Investment Management LLC
ii. SEC file number ( e.g., 801- )

801-79081

iii.CRD number
000169525
iv. LEI, if any

2549006XVFMEF9PIPN63

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
ii. SEC file number ( e.g., 801- ), if applicable

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
The Bank of New York Mellon
ii.SEC file number ( e.g., 84- or 85- )

084-01761

iii. LEI, if any

HPFHU0OQ28E4N0NFVK49

iv. State, if applicable
NEW YORK
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Intercontinental Exchange, Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Bloomberg Finance L.P.
ii. LEI, if any, or provide and describe other identifying number

5493001KJTIIGC8Y1R12

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
The Depository Trust Company
ii. LEI, if any

549300HBJLRO8YFMI370

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
The Bank of New York Mellon
ii. LEI, if any

HPFHU0OQ28E4N0NFVK49

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
The Bank of New York Mellon
ii. LEI, if any, or provide and describe other identifying number

HPFHU0OQ28E4N0NFVK49

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
The Bank of New York Mellon
ii. LEI, if any, or other identifying number

HPFHU0OQ28E4N0NFVK49

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
BNY MELLON CAPITAL MARKETS, LLC
ii. SEC file number

008-35255

iii. CRD number
000017454
iv. LEI, if any

VJW2DOOHGDT6PR0ZRO63

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

1163477.44000000

Brokers Record: 2
i. Full name of broker
LIQUIDNET, INC.
ii. SEC file number

008-52461

iii. CRD number
000103987
iv. LEI, if any

213800HSKBBO1GCVRG79

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

411674.51000000

Brokers Record: 3
i. Full name of broker
VIRTU ITG LLC
ii. SEC file number

008-44218

iii. CRD number
000029299
iv. LEI, if any

549300S41SMIODVIT266

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

216675.65000000

Brokers Record: 4
i. Full name of broker
VIRTU AMERICAS LLC
ii. SEC file number

008-68193

iii. CRD number
000149823
iv. LEI, if any

549300RA02N3BNSWBV74

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

2780582.94000000

Brokers Record: 5
i. Full name of broker
BOFA SECURITIES, INC.
ii. SEC file number

008-69787

iii. CRD number
000283942
iv. LEI, if any

549300HN4UKV1E2R3U73

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

228985.24000000

Brokers Record: 6
i. Full name of broker
PIPER SANDLER & CO.
ii. SEC file number

008-15204

iii. CRD number
000000665
iv. LEI, if any

549300GRQCWQ3XGH0H10

v. State, if applicable
MINNESOTA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

42841.73000000

Brokers Record: 7
i. Full name of broker
JONESTRADING
ii. SEC file number

008-26089

iii. CRD number
000006888
iv. LEI, if any

2138008JJ5PA8H5UIL69

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

289889.54000000

Brokers Record: 8
i. Full name of broker
BTIG, LLC
ii. SEC file number

008-65473

iii. CRD number
000122225
iv. LEI, if any

549300GTG9PL6WO3EC51

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

107645.62000000

Brokers Record: 9
i. Full name of broker
GOLDMAN SACHS & CO. LLC
ii. SEC file number

008-00129

iii. CRD number
000000361
iv. LEI, if any

FOR8UP27PHTHYVLBNG30

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

23429.43000000

Brokers Record: 10
i. Full name of broker
Cowen and Company, LLC
ii. SEC file number

008-22522

iii. CRD number
000007616
iv. LEI, if any

549300WR155U7DVMIW58

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

22805.80000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

5298139.00000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
RBC CAPITAL MARKETS LLC
ii. SEC file number

008-45411

iii. CRD number
000031194
iv. LEI, if any

549300LCO2FLSSVFFR64

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1012968007.20000000

Principal Transactions Record: 2
i. Full name of dealer
VIRTU AMERICAS LLC
ii. SEC file number

008-68193

iii. CRD number
000149823
iv. LEI, if any

549300RA02N3BNSWBV74

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

7421471542.33000000

Principal Transactions Record: 3
i. Full name of dealer
J.P. Morgan Securities LLC
ii. SEC file number

008-35008

iii. CRD number
000000079
iv. LEI, if any

ZBUT11V806EZRVTWT807

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

889577575.69000000

Principal Transactions Record: 4
i. Full name of dealer
GOLDMAN SACHS & CO. LLC
ii. SEC file number

008-00129

iii. CRD number
000000361
iv. LEI, if any

FOR8UP27PHTHYVLBNG30

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

2216264919.12000000

Principal Transactions Record: 5
i. Full name of dealer
BOFA SECURITIES, INC.
ii. SEC file number

008-69787

iii. CRD number
000283942
iv. LEI, if any

549300HN4UKV1E2R3U73

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

6390700493.40000000

Principal Transactions Record: 6
i. Full name of dealer
HRT FINANCIAL LLC
ii. SEC file number

008-68430

iii. CRD number
000152144
iv. LEI, if any

21380037YFKONTT23854

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

5454503410.94000000

Principal Transactions Record: 7
i. Full name of dealer
WELLS FARGO SECURITIES, LLC
ii. SEC file number

008-65876

iii. CRD number
000126292
iv. LEI, if any

VYVVCKR63DVZZN70PB21

v. State, if applicable
NORTH CAROLINA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

137057280.48000000

Principal Transactions Record: 8
i. Full name of dealer
CITADEL SECURITIES LLC
ii. SEC file number

008-53574

iii. CRD number
000116797
iv. LEI, if any

12UUJYTN7D3SW8KCSG25

v. State, if applicable
ILLINOIS
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

505686944.63000000

Principal Transactions Record: 9
i. Full name of dealer
Cowen and Company, LLC
ii. SEC file number

008-22522

iii. CRD number
000007616
iv. LEI, if any

549300WR155U7DVMIW58

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

84058880.00000000

Principal Transactions Record: 10
i. Full name of dealer
ABN AMRO Clearing Chicago LLC
ii. SEC file number

008-34354

iii. CRD number
000014020
iv. LEI, if any

549300U16G4LU3V6C598

v. State, if applicable
ILLINOIS
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

4864074258.83000000

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

29208994095.00000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

17314867478.00000000

b. Provide the money market fund's daily average net assets during the reporting period

0.00000000


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button not checked Yes Radio button checked No

b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Management Investment Record: 3

Item C.1. Background information.

a. Full Name of the Fund

ARK Autonomous Technology & Robotics ETF

b. Series identication number, if any

S000042976

c. LEI

254900NMCYAVJD4W0A12

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

0

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
ARK Autonomous Technology & Robotics ETF
ii. Class identification number, if any

C000133120

iii. Ticker symbol, if any

ARKQ


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox not checked Index Fund

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox not checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button checked Yes Radio button not checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox not checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
ARK Investment Management LLC
ii. SEC file number ( e.g., 801- )

801-79081

iii.CRD number
000169525
iv. LEI, if any

2549006XVFMEF9PIPN63

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
ii. SEC file number ( e.g., 801- ), if applicable

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
The Bank of New York Mellon
ii.SEC file number ( e.g., 84- or 85- )

084-01761

iii. LEI, if any

HPFHU0OQ28E4N0NFVK49

iv. State, if applicable
NEW YORK
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Intercontinental Exchange, Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Bloomberg Finance L.P.
ii. LEI, if any, or provide and describe other identifying number

5493001KJTIIGC8Y1R12

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
The Depository Trust Company
ii. LEI, if any

549300HBJLRO8YFMI370

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
The Bank of New York Mellon
ii. LEI, if any

HPFHU0OQ28E4N0NFVK49

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
The Bank of New York Mellon
ii. LEI, if any, or provide and describe other identifying number

HPFHU0OQ28E4N0NFVK49

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
The Bank of New York Mellon
ii. LEI, if any, or other identifying number

HPFHU0OQ28E4N0NFVK49

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
BOFA SECURITIES, INC.
ii. SEC file number

008-69787

iii. CRD number
000283942
iv. LEI, if any

549300HN4UKV1E2R3U73

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

51071.00000000

Brokers Record: 2
i. Full name of broker
JONESTRADING
ii. SEC file number

008-26089

iii. CRD number
000006888
iv. LEI, if any

2138008JJ5PA8H5UIL69

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

25951.08000000

Brokers Record: 3
i. Full name of broker
RBC CAPITAL MARKETS, LLC
ii. SEC file number

008-45411

iii. CRD number
000031194
iv. LEI, if any

549300LCO2FLSSVFFR64

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

1439.45000000

Brokers Record: 4
i. Full name of broker
LIQUIDNET, INC.
ii. SEC file number

008-52461

iii. CRD number
000103987
iv. LEI, if any

213800HSKBBO1GCVRG79

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

127778.65000000

Brokers Record: 5
i. Full name of broker
VIRTU AMERICAS LLC
ii. SEC file number

008-68193

iii. CRD number
000149823
iv. LEI, if any

549300RA02N3BNSWBV74

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

617103.62000000

Brokers Record: 6
i. Full name of broker
INSTINET, LLC
ii. SEC file number

008-23669

iii. CRD number
000007897
iv. LEI, if any

549300MGMN3RKMU8FT57

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

1202.75000000

Brokers Record: 7
i. Full name of broker
BNY MELLON CAPITAL MARKETS, LLC
ii. SEC file number

008-35255

iii. CRD number
000017454
iv. LEI, if any

VJW2DOOHGDT6PR0ZRO63

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

188986.49000000

Brokers Record: 8
i. Full name of broker
Cowen and Company, LLC
ii. SEC file number

008-22522

iii. CRD number
000007616
iv. LEI, if any

549300WR155U7DVMIW58

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

15838.75000000

Brokers Record: 9
i. Full name of broker
VIRTU ITG LLC
ii. SEC file number

008-44218

iii. CRD number
000029299
iv. LEI, if any

549300S41SMIODVIT266

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

94851.43000000

Brokers Record: 10
i. Full name of broker
GOLDMAN SACHS & CO. LLC
ii. SEC file number

008-00129

iii. CRD number
000000361
iv. LEI, if any

FOR8UP27PHTHYVLBNG30

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

723.75000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

1125216.00000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
BOFA SECURITIES, INC.
ii. SEC file number

008-69787

iii. CRD number
000283942
iv. LEI, if any

549300HN4UKV1E2R3U73

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1031204935.30000000

Principal Transactions Record: 2
i. Full name of dealer
Fordham Financial Management, Inc.
ii. SEC file number

008-38622

iii. CRD number
000020996
iv. LEI, if any

254900WWSYG7CTOR0R32

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

8200000.00000000

Principal Transactions Record: 3
i. Full name of dealer
RBC CAPITAL MARKETS LLC
ii. SEC file number

008-45411

iii. CRD number
000031194
iv. LEI, if any

549300LCO2FLSSVFFR64

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

186963519.41000000

Principal Transactions Record: 4
i. Full name of dealer
CITADEL SECURITIES LLC
ii. SEC file number

008-53574

iii. CRD number
000116797
iv. LEI, if any

12UUJYTN7D3SW8KCSG25

v. State, if applicable
ILLINOIS
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

151920007.02000000

Principal Transactions Record: 5
i. Full name of dealer
VIRTU AMERICAS LLC
ii. SEC file number

008-68193

iii. CRD number
000149823
iv. LEI, if any

549300RA02N3BNSWBV74

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

937297430.07000000

Principal Transactions Record: 6
i. Full name of dealer
HRT FINANCIAL LLC
ii. SEC file number

008-68430

iii. CRD number
000152144
iv. LEI, if any

21380037YFKONTT23854

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

942849511.93000000

Principal Transactions Record: 7
i. Full name of dealer
J.P. Morgan Securities LLC
ii. SEC file number

008-35008

iii. CRD number
000000079
iv. LEI, if any

ZBUT11V806EZRVTWT807

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

88933498.22000000

Principal Transactions Record: 8
i. Full name of dealer
Cowen and Company, LLC
ii. SEC file number

008-22522

iii. CRD number
000007616
iv. LEI, if any

549300WR155U7DVMIW58

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

29141440.00000000

Principal Transactions Record: 9
i. Full name of dealer
GOLDMAN SACHS & CO. LLC
ii. SEC file number

008-00129

iii. CRD number
000000361
iv. LEI, if any

FOR8UP27PHTHYVLBNG30

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

102187026.82000000

Principal Transactions Record: 10
i. Full name of dealer
ABN AMRO Clearing Chicago LLC
ii. SEC file number

008-34354

iii. CRD number
000014020
iv. LEI, if any

549300U16G4LU3V6C598

v. State, if applicable
ILLINOIS
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

324942419.85000000

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

3810302289.00000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

2102995893.00000000

b. Provide the money market fund's daily average net assets during the reporting period

0.00000000


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button not checked Yes Radio button checked No

b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Management Investment Record: 4

Item C.1. Background information.

a. Full Name of the Fund

ARK Space Exploration & Innovation ETF

b. Series identication number, if any

S000071318

c. LEI

549300DDLOFTLU9BG365

d. Is this the first filing on this form by the Fund? Radio button checked Yes Radio button not checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

0

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
ARK Space Exploration & Innovation ETF
ii. Class identification number, if any

C000226276

iii. Ticker symbol, if any

ARKX


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox not checked Index Fund

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox not checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button checked Yes Radio button not checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox not checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button checked Yes Radio button not checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
ARK Investment Management LLC
ii. SEC file number ( e.g., 801- )

801-79081

iii.CRD number
000169525
iv. LEI, if any

2549006XVFMEF9PIPN63

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button checked Yes Radio button not checked No
1. If the investment adviser was hired during the reporting period, indicate the investment adviser's start date:

2020-12-18

b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
ii. SEC file number ( e.g., 801- ), if applicable

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
The Bank of New York Mellon
ii.SEC file number ( e.g., 84- or 85- )

084-01761

iii. LEI, if any

HPFHU0OQ28E4N0NFVK49

iv. State, if applicable
NEW YORK
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button checked Yes Radio button not checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Bloomberg Finance L.P.
ii. LEI, if any, or provide and describe other identifying number

5493001KJTIIGC8Y1R12

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Intercontinental Exchange, Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button checked Yes Radio button not checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
The Hongkong and Shanghai Banking Corporation (Hong Kong)
ii. LEI, if any

2HI3YI5320L3RW6NJ957

iii. State, if applicable
iv. Foreign country, if applicable
HONG KONG
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
Euroclear France
ii. LEI, if any

54930060MY6S68NEUP16

iii. State, if applicable
iv. Foreign country, if applicable
FRANCE
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
The Bank of New York Mellon SA/NV (Germany)
ii. LEI, if any

MMYX0N4ZEZ13Z4XCG897

iii. State, if applicable
iv. Foreign country, if applicable
GERMANY
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
MUFG Bank, Ltd.
ii. LEI, if any

C3GTMMZIHMY46P4OIX74

iii. State, if applicable
iv. Foreign country, if applicable
JAPAN
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
The Bank of New York Mellon, SA/NV (Netherlands)
ii. LEI, if any

MMYX0N4ZEZ13Z4XCG897

iii. State, if applicable
iv. Foreign country, if applicable
NETHERLANDS
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
The Depository Trust Company
ii. LEI, if any

549300HBJLRO8YFMI370

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 7
i. Full name
The Bank of New York Mellon
ii. LEI, if any

HPFHU0OQ28E4N0NFVK49

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 8
i. Full name
HSBC NOMINEES (NEW ZEALAND) LIMITED
ii. LEI, if any

213800NHDWIZKO5KIH05

iii. State, if applicable
iv. Foreign country, if applicable
NEW ZEALAND
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 9
i. Full name
The Standard Bank of South Africa Limited
ii. LEI, if any

QFC8ZCW3Q5PRXU1XTM60

iii. State, if applicable
iv. Foreign country, if applicable
SOUTH AFRICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 10
i. Full name
The Bank of New York Mellon (United Kingdom)
ii. LEI, if any

N/A

iii. State, if applicable
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 11
i. Full name
CIBC Mellon Trust Company (Canada)
ii. LEI, if any

549300IYUUH221WBZ505

iii. State, if applicable
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 12
i. Full name
HSBC Bank Australia Limited
ii. LEI, if any

DY9DBNI4W8J63Z298033

iii. State, if applicable
iv. Foreign country, if applicable
AUSTRALIA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 13
i. Full name
Skandinaviska Enskilda Banken AB, Oslo Branch
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86

iii. State, if applicable
iv. Foreign country, if applicable
NORWAY
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 14
i. Full name
Euroclear Bank
ii. LEI, if any

549300OZ46BRLZ8Y6F65

iii. State, if applicable
iv. Foreign country, if applicable
BELGIUM
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button checked Yes Radio button not checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
The Bank of New York Mellon
ii. LEI, if any, or provide and describe other identifying number

HPFHU0OQ28E4N0NFVK49

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button checked Yes Radio button not checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
The Bank of New York Mellon
ii. LEI, if any, or other identifying number

HPFHU0OQ28E4N0NFVK49

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button checked Yes Radio button not checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
VIRTU ITG LLC
ii. SEC file number

008-44218

iii. CRD number
000029299
iv. LEI, if any

549300S41SMIODVIT266

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

14050.00000000

Brokers Record: 2
i. Full name of broker
BNY MELLON CAPITAL MARKETS, LLC
ii. SEC file number

008-35255

iii. CRD number
000017454
iv. LEI, if any

VJW2DOOHGDT6PR0ZRO63

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

123924.42000000

Brokers Record: 3
i. Full name of broker
VIRTU AMERICAS LLC
ii. SEC file number

008-68193

iii. CRD number
000149823
iv. LEI, if any

549300RA02N3BNSWBV74

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

65577.13000000

Brokers Record: 4
i. Full name of broker
LIQUIDNET, INC.
ii. SEC file number

008-52461

iii. CRD number
000103987
iv. LEI, if any

213800HSKBBO1GCVRG79

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

12496.18000000

Brokers Record: 5
i. Full name of broker
JONESTRADING
ii. SEC file number

008-26089

iii. CRD number
000006888
iv. LEI, if any

2138008JJ5PA8H5UIL69

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

198.58000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

216246.00000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
CREDIT SUISSE SECURITIES (USA) LLC
ii. SEC file number

008-00422

iii. CRD number
000000816
iv. LEI, if any

1V8Y6QCX6YMJ2OELII46

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

4044033.00000000

Principal Transactions Record: 2
i. Full name of dealer
VIRTU AMERICAS LLC
ii. SEC file number

008-68193

iii. CRD number
000149823
iv. LEI, if any

549300RA02N3BNSWBV74

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

21771130.80000000

Principal Transactions Record: 3
i. Full name of dealer
GOLDMAN SACHS & CO. LLC
ii. SEC file number

008-00129

iii. CRD number
000000361
iv. LEI, if any

FOR8UP27PHTHYVLBNG30

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

93937812.47000000

Principal Transactions Record: 4
i. Full name of dealer
J.P. Morgan Securities LLC
ii. SEC file number

008-35008

iii. CRD number
000000079
iv. LEI, if any

ZBUT11V806EZRVTWT807

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

108341472.64000000

Principal Transactions Record: 5
i. Full name of dealer
UBS SECURITIES LLC
ii. SEC file number

008-22651

iii. CRD number
000007654
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

16068641.99000000

Principal Transactions Record: 6
i. Full name of dealer
HRT FINANCIAL LLC
ii. SEC file number

008-68430

iii. CRD number
000152144
iv. LEI, if any

21380037YFKONTT23854

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

127596097.65000000

Principal Transactions Record: 7
i. Full name of dealer
BOFA SECURITIES, INC.
ii. SEC file number

008-69787

iii. CRD number
000283942
iv. LEI, if any

549300HN4UKV1E2R3U73

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

389581308.53000000

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

761340497.00000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

510290287.00000000

b. Provide the money market fund's daily average net assets during the reporting period

0.00000000


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button not checked Yes Radio button checked No

b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Management Investment Record: 5

Item C.1. Background information.

a. Full Name of the Fund

ARK Israel Innovative Technology ETF

b. Series identication number, if any

S000052299

c. LEI

254900JL2212H1AYU426

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

0

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
ARK Israel Innovative Technology ETF
ii. Class identification number, if any

C000164427

iii. Ticker symbol, if any

IZRL


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox checked Index Fund
i. Is the index whose performance the Fund tracks, constructed:
1. By an affiliated person of the fund?Radio button not checked Yes Radio button checked No
2. Exclusively for the fund?Radio button checked Yes Radio button not checked No
ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return):
1. Before Fund fees and expenses:
1.90400000
2. After Fund fees and expenses (i.e., net asset value):
1.90400000
iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period:
1. Before Fund fees and expenses:
0.00000000
2. After Fund fees and expenses (i.e., net asset value):
1.90000000

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox not checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button checked Yes Radio button not checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox not checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
ARK Investment Management LLC
ii. SEC file number ( e.g., 801- )

801-79081

iii.CRD number
000169525
iv. LEI, if any

2549006XVFMEF9PIPN63

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
ii. SEC file number ( e.g., 801- ), if applicable

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
The Bank of New York Mellon
ii.SEC file number ( e.g., 84- or 85- )

084-01761

iii. LEI, if any

HPFHU0OQ28E4N0NFVK49

iv. State, if applicable
NEW YORK
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Intercontinental Exchange, Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Bloomberg Finance L.P.
ii. LEI, if any, or provide and describe other identifying number

5493001KJTIIGC8Y1R12

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
Bank Hapoalim B.M.
ii. LEI, if any

B6ARUI4946ST4S7WOU88

iii. State, if applicable
iv. Foreign country, if applicable
ISRAEL
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
The Depository Trust Company
ii. LEI, if any

549300HBJLRO8YFMI370

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
The Bank of New York Mellon
ii. LEI, if any

HPFHU0OQ28E4N0NFVK49

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
The Bank of New York Mellon
ii. LEI, if any, or provide and describe other identifying number

HPFHU0OQ28E4N0NFVK49

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
The Bank of New York Mellon
ii. LEI, if any, or other identifying number

HPFHU0OQ28E4N0NFVK49

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
VIRTU AMERICAS LLC
ii. SEC file number

008-68193

iii. CRD number
000149823
iv. LEI, if any

549300RA02N3BNSWBV74

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

768.69000000

Brokers Record: 2
i. Full name of broker
BNY MELLON CAPITAL MARKETS, LLC
ii. SEC file number

008-35255

iii. CRD number
000017454
iv. LEI, if any

VJW2DOOHGDT6PR0ZRO63

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

8821.61000000

Brokers Record: 3
i. Full name of broker
BTIG, LLC
ii. SEC file number

008-65473

iii. CRD number
000122225
iv. LEI, if any

549300GTG9PL6WO3EC51

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

607311.26000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

616902.00000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
BOFA SECURITIES, INC.
ii. SEC file number

008-69787

iii. CRD number
000283942
iv. LEI, if any

549300HN4UKV1E2R3U73

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

107251972.91000000

Principal Transactions Record: 2
i. Full name of dealer
CREDIT SUISSE SECURITIES (USA) LLC
ii. SEC file number

008-00422

iii. CRD number
000000816
iv. LEI, if any

1V8Y6QCX6YMJ2OELII46

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

61731963.16000000

Principal Transactions Record: 3
i. Full name of dealer
UBS SECURITIES LLC
ii. SEC file number

008-22651

iii. CRD number
000007654
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

89903403.30000000

Principal Transactions Record: 4
i. Full name of dealer
Ham-Let (Israel-Canada) Ltd.
ii. SEC file number

N/A

iii. CRD number
N/A
iv. LEI, if any

N/A

v. State, if applicable
vi. Foreign country, if applicable
ISRAEL
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

6161862.26000000

Principal Transactions Record: 5
i. Full name of dealer
GOLDMAN SACHS & CO. LLC
ii. SEC file number

008-00129

iii. CRD number
000000361
iv. LEI, if any

FOR8UP27PHTHYVLBNG30

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

64497086.64000000

Principal Transactions Record: 6
i. Full name of dealer
VIRTU AMERICAS LLC
ii. SEC file number

008-68193

iii. CRD number
000149823
iv. LEI, if any

549300RA02N3BNSWBV74

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

6262207.08000000

Principal Transactions Record: 7
i. Full name of dealer
J.P. Morgan Securities LLC
ii. SEC file number

008-35008

iii. CRD number
000000079
iv. LEI, if any

ZBUT11V806EZRVTWT807

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

81203385.92000000

Principal Transactions Record: 8
i. Full name of dealer
HRT FINANCIAL LLC
ii. SEC file number

008-68430

iii. CRD number
000152144
iv. LEI, if any

21380037YFKONTT23854

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

7986848.92000000

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

424998730.00000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

187933684.00000000

b. Provide the money market fund's daily average net assets during the reporting period

0.00000000


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button not checked Yes Radio button checked No

b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button not checked No
Management Investment Record: 6

Item C.1. Background information.

a. Full Name of the Fund

ARK Next Generation Internet ETF

b. Series identication number, if any

S000042978

c. LEI

254900YDSBVXAK2IFF48

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

0

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
ARK Next Generation Internet ETF
ii. Class identification number, if any

C000133122

iii. Ticker symbol, if any

ARKW


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox not checked Index Fund

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox not checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button checked Yes Radio button not checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox not checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
ARK Investment Management LLC
ii. SEC file number ( e.g., 801- )

801-79081

iii.CRD number
000169525
iv. LEI, if any

2549006XVFMEF9PIPN63

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
ii. SEC file number ( e.g., 801- ), if applicable

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
The Bank of New York Mellon
ii.SEC file number ( e.g., 84- or 85- )

084-01761

iii. LEI, if any

HPFHU0OQ28E4N0NFVK49

iv. State, if applicable
NEW YORK
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Intercontinental Exchange, Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Bloomberg Finance L.P.
ii. LEI, if any, or provide and describe other identifying number

5493001KJTIIGC8Y1R12

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
The Depository Trust Company
ii. LEI, if any

549300HBJLRO8YFMI370

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
The Bank of New York Mellon
ii. LEI, if any

HPFHU0OQ28E4N0NFVK49

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
CIBC Mellon Trust Company (Canada)
ii. LEI, if any

549300IYUUH221WBZ505

iii. State, if applicable
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
The Bank of New York Mellon
ii. LEI, if any, or provide and describe other identifying number

HPFHU0OQ28E4N0NFVK49

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
The Bank of New York Mellon
ii. LEI, if any, or other identifying number

HPFHU0OQ28E4N0NFVK49

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
Cowen and Company, LLC
ii. SEC file number

008-22522

iii. CRD number
000007616
iv. LEI, if any

549300WR155U7DVMIW58

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

9584.91000000

Brokers Record: 2
i. Full name of broker
JONESTRADING
ii. SEC file number

008-26089

iii. CRD number
000006888
iv. LEI, if any

2138008JJ5PA8H5UIL69

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

79435.19000000

Brokers Record: 3
i. Full name of broker
BTIG, LLC
ii. SEC file number

008-65473

iii. CRD number
000122225
iv. LEI, if any

549300GTG9PL6WO3EC51

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

24360.99000000

Brokers Record: 4
i. Full name of broker
GOLDMAN SACHS & CO. LLC
ii. SEC file number

008-00129

iii. CRD number
000000361
iv. LEI, if any

FOR8UP27PHTHYVLBNG30

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

3515.75000000

Brokers Record: 5
i. Full name of broker
LIQUIDNET, INC.
ii. SEC file number

008-52461

iii. CRD number
000103987
iv. LEI, if any

213800HSKBBO1GCVRG79

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

201450.32000000

Brokers Record: 6
i. Full name of broker
VIRTU ITG LLC
ii. SEC file number

008-44218

iii. CRD number
000029299
iv. LEI, if any

549300S41SMIODVIT266

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

90533.25000000

Brokers Record: 7
i. Full name of broker
BNY MELLON CAPITAL MARKETS, LLC
ii. SEC file number

008-35255

iii. CRD number
000017454
iv. LEI, if any

VJW2DOOHGDT6PR0ZRO63

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

659094.63000000

Brokers Record: 8
i. Full name of broker
BOFA SECURITIES, INC.
ii. SEC file number

008-69787

iii. CRD number
000283942
iv. LEI, if any

549300HN4UKV1E2R3U73

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

80877.49000000

Brokers Record: 9
i. Full name of broker
AQUA SECURITIES L.P.
ii. SEC file number

008-51866

iii. CRD number
000047681
iv. LEI, if any

N/A

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

4230.00000000

Brokers Record: 10
i. Full name of broker
VIRTU AMERICAS LLC
ii. SEC file number

008-68193

iii. CRD number
000149823
iv. LEI, if any

549300RA02N3BNSWBV74

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

1165095.87000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

2321906.00000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
HRT FINANCIAL LLC
ii. SEC file number

008-68430

iii. CRD number
000152144
iv. LEI, if any

21380037YFKONTT23854

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

2343168966.64000000

Principal Transactions Record: 2
i. Full name of dealer
BOFA SECURITIES, INC.
ii. SEC file number

008-69787

iii. CRD number
000283942
iv. LEI, if any

549300HN4UKV1E2R3U73

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

2165960227.76000000

Principal Transactions Record: 3
i. Full name of dealer
ABN AMRO Clearing Chicago LLC
ii. SEC file number

008-34354

iii. CRD number
000014020
iv. LEI, if any

549300U16G4LU3V6C598

v. State, if applicable
ILLINOIS
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

505171446.05000000

Principal Transactions Record: 4
i. Full name of dealer
RBC CAPITAL MARKETS LLC
ii. SEC file number

008-45411

iii. CRD number
000031194
iv. LEI, if any

549300LCO2FLSSVFFR64

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

680902997.25000000

Principal Transactions Record: 5
i. Full name of dealer
Fordham Financial Management, Inc.
ii. SEC file number

008-38622

iii. CRD number
000020996
iv. LEI, if any

254900WWSYG7CTOR0R32

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

40100000.00000000

Principal Transactions Record: 6
i. Full name of dealer
GOLDMAN SACHS & CO. LLC
ii. SEC file number

008-00129

iii. CRD number
000000361
iv. LEI, if any

FOR8UP27PHTHYVLBNG30

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

390591585.40000000

Principal Transactions Record: 7
i. Full name of dealer
CANTOR FITZGERALD & CO.
ii. SEC file number

008-00201

iii. CRD number
000000134
iv. LEI, if any

5493004J7H4GCPG6OB62

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

18600744.40000000

Principal Transactions Record: 8
i. Full name of dealer
CITADEL SECURITIES LLC
ii. SEC file number

008-53574

iii. CRD number
000116797
iv. LEI, if any

12UUJYTN7D3SW8KCSG25

v. State, if applicable
ILLINOIS
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

431017128.32000000

Principal Transactions Record: 9
i. Full name of dealer
J.P. Morgan Securities LLC
ii. SEC file number

008-35008

iii. CRD number
000000079
iv. LEI, if any

ZBUT11V806EZRVTWT807

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

169746200.32000000

Principal Transactions Record: 10
i. Full name of dealer
VIRTU AMERICAS LLC
ii. SEC file number

008-68193

iii. CRD number
000149823
iv. LEI, if any

549300RA02N3BNSWBV74

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

2008225628.90000000

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

8753484925.00000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

5006353276.00000000

b. Provide the money market fund's daily average net assets during the reporting period

0.00000000


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button not checked Yes Radio button checked No

b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Management Investment Record: 7

Item C.1. Background information.

a. Full Name of the Fund

ARK Genomic Revolution ETF

b. Series identication number, if any

S000042975

c. LEI

254900EYF7TANB19PE71

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

0

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
ARK Genomic Revolution ETF
ii. Class identification number, if any

C000133119

iii. Ticker symbol, if any

ARKG


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox not checked Index Fund

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox not checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button checked Yes Radio button not checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox not checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
ARK Investment Management LLC
ii. SEC file number ( e.g., 801- )

801-79081

iii.CRD number
000169525
iv. LEI, if any

2549006XVFMEF9PIPN63

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
ii. SEC file number ( e.g., 801- ), if applicable

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
The Bank of New York Mellon
ii.SEC file number ( e.g., 84- or 85- )

084-01761

iii. LEI, if any

HPFHU0OQ28E4N0NFVK49

iv. State, if applicable
NEW YORK
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Intercontinental Exchange, Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Bloomberg Finance L.P.
ii. LEI, if any, or provide and describe other identifying number

5493001KJTIIGC8Y1R12

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
The Depository Trust Company
ii. LEI, if any

549300HBJLRO8YFMI370

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
The Bank of New York Mellon
ii. LEI, if any

HPFHU0OQ28E4N0NFVK49

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
The Bank of New York Mellon
ii. LEI, if any, or provide and describe other identifying number

HPFHU0OQ28E4N0NFVK49

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
The Bank of New York Mellon
ii. LEI, if any, or other identifying number

HPFHU0OQ28E4N0NFVK49

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
PIPER SANDLER & CO.
ii. SEC file number

008-15204

iii. CRD number
000000665
iv. LEI, if any

549300GRQCWQ3XGH0H10

v. State, if applicable
MINNESOTA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

14211.28000000

Brokers Record: 2
i. Full name of broker
BNY MELLON CAPITAL MARKETS, LLC
ii. SEC file number

008-35255

iii. CRD number
000017454
iv. LEI, if any

VJW2DOOHGDT6PR0ZRO63

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

552515.18000000

Brokers Record: 3
i. Full name of broker
VIRTU AMERICAS LLC
ii. SEC file number

008-68193

iii. CRD number
000149823
iv. LEI, if any

549300RA02N3BNSWBV74

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

1152516.35000000

Brokers Record: 4
i. Full name of broker
BTIG, LLC
ii. SEC file number

008-65473

iii. CRD number
000122225
iv. LEI, if any

549300GTG9PL6WO3EC51

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

34059.85000000

Brokers Record: 5
i. Full name of broker
Cowen and Company, LLC
ii. SEC file number

008-22522

iii. CRD number
000007616
iv. LEI, if any

549300WR155U7DVMIW58

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

28075.18000000

Brokers Record: 6
i. Full name of broker
SVB Leerink LLC
ii. SEC file number

008-48535

iii. CRD number
000039011
iv. LEI, if any

549300AAH7U76CEUBI94

v. State, if applicable
MASSACHUSETTS
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

6141.22000000

Brokers Record: 7
i. Full name of broker
BOFA SECURITIES, INC.
ii. SEC file number

008-69787

iii. CRD number
000283942
iv. LEI, if any

549300HN4UKV1E2R3U73

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

88197.11000000

Brokers Record: 8
i. Full name of broker
VIRTU ITG LLC
ii. SEC file number

008-44218

iii. CRD number
000029299
iv. LEI, if any

549300S41SMIODVIT266

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

201116.65000000

Brokers Record: 9
i. Full name of broker
LIQUIDNET, INC.
ii. SEC file number

008-52461

iii. CRD number
000103987
iv. LEI, if any

213800HSKBBO1GCVRG79

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

317257.89000000

Brokers Record: 10
i. Full name of broker
JONESTRADING
ii. SEC file number

008-26089

iii. CRD number
000006888
iv. LEI, if any

2138008JJ5PA8H5UIL69

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

195504.55000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

2599466.00000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
HRT FINANCIAL LLC
ii. SEC file number

008-68430

iii. CRD number
000152144
iv. LEI, if any

21380037YFKONTT23854

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

2020869839.89000000

Principal Transactions Record: 2
i. Full name of dealer
VIRTU AMERICAS LLC
ii. SEC file number

008-68193

iii. CRD number
000149823
iv. LEI, if any

549300RA02N3BNSWBV74

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

2548584615.93000000

Principal Transactions Record: 3
i. Full name of dealer
CITADEL SECURITIES LLC
ii. SEC file number

008-53574

iii. CRD number
000116797
iv. LEI, if any

12UUJYTN7D3SW8KCSG25

v. State, if applicable
ILLINOIS
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

347337275.04000000

Principal Transactions Record: 4
i. Full name of dealer
ABN AMRO Clearing Chicago LLC
ii. SEC file number

008-34354

iii. CRD number
000014020
iv. LEI, if any

549300U16G4LU3V6C598

v. State, if applicable
ILLINOIS
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1869775021.13000000

Principal Transactions Record: 5
i. Full name of dealer
J.P. Morgan Securities LLC
ii. SEC file number

008-35008

iii. CRD number
000000079
iv. LEI, if any

ZBUT11V806EZRVTWT807

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

76995465.69000000

Principal Transactions Record: 6
i. Full name of dealer
BOFA SECURITIES, INC.
ii. SEC file number

008-69787

iii. CRD number
000283942
iv. LEI, if any

549300HN4UKV1E2R3U73

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

3415734033.44000000

Principal Transactions Record: 7
i. Full name of dealer
RBC CAPITAL MARKETS LLC
ii. SEC file number

008-45411

iii. CRD number
000031194
iv. LEI, if any

549300LCO2FLSSVFFR64

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

131874401.43000000

Principal Transactions Record: 8
i. Full name of dealer
GOLDMAN SACHS & CO. LLC
ii. SEC file number

008-00129

iii. CRD number
000000361
iv. LEI, if any

FOR8UP27PHTHYVLBNG30

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

615404596.43000000

Principal Transactions Record: 9
i. Full name of dealer
SVB Leerink LLC
ii. SEC file number

008-48535

iii. CRD number
000039011
iv. LEI, if any

549300AAH7U76CEUBI94

v. State, if applicable
MASSACHUSETTS
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

38500000.00000000

Principal Transactions Record: 10
i. Full name of dealer
Cowen and Company, LLC
ii. SEC file number

008-22522

iii. CRD number
000007616
iv. LEI, if any

549300WR155U7DVMIW58

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

96917499.00000000

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

11241777208.00000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

6719152959.00000000

b. Provide the money market fund's daily average net assets during the reporting period

0.00000000


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button not checked Yes Radio button checked No

b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Management Investment Record: 8

Item C.1. Background information.

a. Full Name of the Fund

ARK Fintech Innovation ETF

b. Series identication number, if any

S000064752

c. LEI

54930054K1MBIMPS7V72

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

0

b. How many new Classes of shares of the Fund were added during the reporting period?

0

c. How many Classes of shares of the Fund were terminated during the reporting period?

0

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
ARK Fintech Innovation ETF
ii. Class identification number, if any

C000209702

iii. Ticker symbol, if any

ARKF


Item C.3. Type of fund.

Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy.
Indicate if the Fund is any one of the types listed below. Check all that apply.
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund
i. Checkbox checked Exchange-Traded Fund
ii. Checkbox not checked Exchange-Traded Managed Fund
b. Checkbox not checked Index Fund

c. Checkbox not checked Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark
d. Checkbox not checked Interval Fund
e. Checkbox not checked Fund of Funds
f. Checkbox not checked Master-Feeder Fund
g. Checkbox not checked Money Market Fund
h. Checkbox not checked Target Date Fund
i. Checkbox not checked Underlying fund to a variable annuity or variable life insurance contract
Checkbox not checked N/A

Item C.4. Diversification.

Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? Radio button checked Yes Radio button not checked No

Item C.5. Investments in certain foreign corporations.

Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957].
a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? Radio button not checked Yes Radio button checked No

Item C.6. Securities lending.

Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer.
a. Is the Fund authorized to engage in securities lending transactions? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked No
c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:
i. Full name of securities lending agent
ii. LEI, if any

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button not checked Yes Radio button not checked No
v. If the entity providing the indemnification is not the securities lending agent, provide the following information:
1. Name of person providing indemnification
2. LEI, if any, of person providing indemnification

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:
i. Full name of cash collateral manager:
ii. LEI, if any:

iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox not checked i. Revenue sharing split
Checkbox not checked ii. Non-revenue sharing split (other than administrative fee)
Checkbox not checked iii. Administrative fee
Checkbox not checked iv. Cash collateral reinvestment fee
Checkbox not checked v. Indemnification fee
Checkbox not checked vi. Other
Checkbox checked N/A
f. Provide the monthly average of the value of portfolio securities on loan during the reporting period

N/A

g. Provide the net income from securities lending activities

N/A


Item C.7. Reliance on certain rules.

Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) Checkbox not checked a. Rule 10f-3 (17 CFR 270.10f-3)
Checkbox not checked b. Rule 12d1-1 (17 CFR 270.12d1-1)
Checkbox not checked c. Rule 15a-4 (17 CFR 270.15a-4)
Checkbox not checked d. Rule 17a-6 (17 CFR 270.17a-6)
Checkbox not checked e. Rule 17a-7 (17 CFR 270.17a-7)
Checkbox not checked f. Rule 17a-8 (17 CFR 270.17a-8)
Checkbox not checked g. Rule 17e-1 (17 CFR 270.17e-1)
Checkbox checked h. Rule 22d-1 (17 CFR 270.22d-1)
Checkbox not checked i. Rule 23c-1 (17 CFR 270.23c-1)
Checkbox checked j. Rule 32a-4 (17 CFR 270.32a-4)
Checkbox not checked N/A

Item C.8. Expense limitations.

Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase.
a. Did the Fund have an expense limitation arrangement in place during the reporting period? Radio button not checked Yes Radio button checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button not checked Yes Radio button checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked No

Item C.9. Investment advisers.

a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund:
Investment Advisers Record: 1
i. Full name
ARK Investment Management LLC
ii. SEC file number ( e.g., 801- )

801-79081

iii.CRD number
000169525
iv. LEI, if any

2549006XVFMEF9PIPN63

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Was the investment adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date

c. For each sub-adviser to the Fund, provide the information requested:
i. Full name
ii. SEC file number ( e.g., 801- ), if applicable

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button not checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button not checked No
d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser:
i. Full name
ii. SEC file number ( e.g., 801- )

iii. CRD number
iv. LEI, if any

v. State, if applicable
vi. Foreign country, if applicable
vii. Termination date


Item C.10. Transfer agents.

a. Provide the following information about each person providing transfer agency services to the Fund:
Transfer Agents Record: 1
i. Full name
The Bank of New York Mellon
ii.SEC file number ( e.g., 84- or 85- )

084-01761

iii. LEI, if any

HPFHU0OQ28E4N0NFVK49

iv. State, if applicable
NEW YORK
v. Foreign country, if applicable
UNITED STATES OF AMERICA
vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.11. Pricing services.

a. Provide the following information about each person that provided pricing services to the Fund during the reporting period:
Pricing Services Record: 1
i. Full name
Intercontinental Exchange, Inc.
ii. LEI, if any, or provide and describe other identifying number

5493000F4ZO33MV32P92

Description of other identifying number

iii. State, if applicable
GEORGIA
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 2
i. Full name
Bloomberg Finance L.P.
ii. LEI, if any, or provide and describe other identifying number

5493001KJTIIGC8Y1R12

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
Refinitiv US LLC
ii. LEI, if any, or provide and describe other identifying number

213800HQORQAP68CJJ04

Description of other identifying number

iii. State, if applicable
DELAWARE
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.12. Custodians.

a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:
Custodians Record: 1
i. Full name
The Bank of New York Mellon (Ireland)
ii. LEI, if any

N/A

iii. State, if applicable
iv. Foreign country, if applicable
IRELAND
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
i. Full name
The Standard Bank of South Africa Limited
ii. LEI, if any

QFC8ZCW3Q5PRXU1XTM60

iii. State, if applicable
iv. Foreign country, if applicable
SOUTH AFRICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
HSBC Bank Australia Limited
ii. LEI, if any

DY9DBNI4W8J63Z298033

iii. State, if applicable
iv. Foreign country, if applicable
AUSTRALIA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
Euroclear Bank
ii. LEI, if any

549300OZ46BRLZ8Y6F65

iii. State, if applicable
iv. Foreign country, if applicable
BELGIUM
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
Skandinaviska Enskilda Banken AB, Oslo Branch
ii. LEI, if any

F3JS33DEI6XQ4ZBPTN86

iii. State, if applicable
iv. Foreign country, if applicable
NORWAY
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
MUFG Bank, Ltd.
ii. LEI, if any

C3GTMMZIHMY46P4OIX74

iii. State, if applicable
iv. Foreign country, if applicable
JAPAN
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 7
i. Full name
The Bank of New York Mellon (United Kingdom)
ii. LEI, if any

N/A

iii. State, if applicable
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 8
i. Full name
The Bank of New York Mellon
ii. LEI, if any

HPFHU0OQ28E4N0NFVK49

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 9
i. Full name
The Bank of New York Mellon, SA/NV (Netherlands)
ii. LEI, if any

MMYX0N4ZEZ13Z4XCG897

iii. State, if applicable
iv. Foreign country, if applicable
NETHERLANDS
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 10
i. Full name
The Hongkong and Shanghai Banking Corporation (Hong Kong)
ii. LEI, if any

2HI3YI5320L3RW6NJ957

iii. State, if applicable
iv. Foreign country, if applicable
HONG KONG
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 11
i. Full name
The Bank of New York Mellon SA/NV (Germany)
ii. LEI, if any

MMYX0N4ZEZ13Z4XCG897

iii. State, if applicable
iv. Foreign country, if applicable
GERMANY
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 12
i. Full name
CIBC Mellon Trust Company (Canada)
ii. LEI, if any

549300IYUUH221WBZ505

iii. State, if applicable
iv. Foreign country, if applicable
CANADA (FEDERAL LEVEL)
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 13
i. Full name
The Depository Trust Company
ii. LEI, if any

549300HBJLRO8YFMI370

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 14
i. Full name
HSBC NOMINEES (NEW ZEALAND) LIMITED
ii. LEI, if any

213800NHDWIZKO5KIH05

iii. State, if applicable
iv. Foreign country, if applicable
NEW ZEALAND
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked No

Item C.13. Shareholder servicing agents.

a. Provide the following information about each shareholder servicing agent of the Fund:
Shareholder servicing agents Record: 1
i. Full name
The Bank of New York Mellon
ii. LEI, if any, or provide and describe other identifying number

HPFHU0OQ28E4N0NFVK49

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
The Bank of New York Mellon
ii. LEI, if any, or other identifying number

HPFHU0OQ28E4N0NFVK49

Description of other identifying number

iii. State, if applicable
NEW YORK
iv. Foreign country, if applicable
UNITED STATES OF AMERICA
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
a. Full name
b. SEC file number

c. CRD number
d. LEI, if any

e. State, if applicable
f. Foreign country, if applicable
g. Total commissions paid to the affiliated broker-dealer for the reporting period:


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
The Bank of New York Mellon
ii. SEC file number

N/A

iii. CRD number
N/A
iv. LEI, if any

HPFHU0OQ28E4N0NFVK49

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

1891.87000000

Brokers Record: 2
i. Full name of broker
BNY MELLON CAPITAL MARKETS, LLC
ii. SEC file number

008-35255

iii. CRD number
000017454
iv. LEI, if any

VJW2DOOHGDT6PR0ZRO63

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

1441131.73000000

Brokers Record: 3
i. Full name of broker
BOFA SECURITIES, INC.
ii. SEC file number

008-69787

iii. CRD number
000283942
iv. LEI, if any

549300HN4UKV1E2R3U73

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

13003.01000000

Brokers Record: 4
i. Full name of broker
JONESTRADING
ii. SEC file number

008-26089

iii. CRD number
000006888
iv. LEI, if any

2138008JJ5PA8H5UIL69

v. State, if applicable
CALIFORNIA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

5852.19000000

Brokers Record: 5
i. Full name of broker
LIQUIDNET, INC.
ii. SEC file number

008-52461

iii. CRD number
000103987
iv. LEI, if any

213800HSKBBO1GCVRG79

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

16393.44000000

Brokers Record: 6
i. Full name of broker
PIPER SANDLER & CO.
ii. SEC file number

008-15204

iii. CRD number
000000665
iv. LEI, if any

549300GRQCWQ3XGH0H10

v. State, if applicable
MINNESOTA
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

11609.78000000

Brokers Record: 7
i. Full name of broker
VIRTU AMERICAS LLC
ii. SEC file number

008-68193

iii. CRD number
000149823
iv. LEI, if any

549300RA02N3BNSWBV74

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

217600.20000000

Brokers Record: 8
i. Full name of broker
VIRTU ITG LLC
ii. SEC file number

008-44218

iii. CRD number
000029299
iv. LEI, if any

549300S41SMIODVIT266

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

19360.80000000

Brokers Record: 9
i. Full name of broker
Cowen and Company, LLC
ii. SEC file number

008-22522

iii. CRD number
000007616
iv. LEI, if any

549300WR155U7DVMIW58

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

9104.92000000

Brokers Record: 10
i. Full name of broker
Pershing LLC
ii. SEC file number

008-17574

iii. CRD number
000007560
iv. LEI, if any

ZI8Q1A8EI8LQFJNM0D94

v. State, if applicable
NEW JERSEY
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Gross commissions paid by the Fund for the reporting period

17715.97000000

b. Aggregate brokerage commissions paid by Fund during the reporting period:

1754639.00000000


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
GOLDMAN SACHS & CO. LLC
ii. SEC file number

008-00129

iii. CRD number
000000361
iv. LEI, if any

FOR8UP27PHTHYVLBNG30

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

385834197.39000000

Principal Transactions Record: 2
i. Full name of dealer
UBS SECURITIES LLC
ii. SEC file number

008-22651

iii. CRD number
000007654
iv. LEI, if any

T6FIZBDPKLYJKFCRVK44

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

297753419.13000000

Principal Transactions Record: 3
i. Full name of dealer
VIRTU AMERICAS LLC
ii. SEC file number

008-68193

iii. CRD number
000149823
iv. LEI, if any

549300RA02N3BNSWBV74

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

10698666.56000000

Principal Transactions Record: 4
i. Full name of dealer
CREDIT SUISSE SECURITIES (USA) LLC
ii. SEC file number

008-00422

iii. CRD number
000000816
iv. LEI, if any

1V8Y6QCX6YMJ2OELII46

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

27601543.78000000

Principal Transactions Record: 5
i. Full name of dealer
J.P. Morgan Securities LLC
ii. SEC file number

008-35008

iii. CRD number
000000079
iv. LEI, if any

ZBUT11V806EZRVTWT807

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1998368488.82000000

Principal Transactions Record: 6
i. Full name of dealer
HRT FINANCIAL LLC
ii. SEC file number

008-68430

iii. CRD number
000152144
iv. LEI, if any

21380037YFKONTT23854

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

391516580.27000000

Principal Transactions Record: 7
i. Full name of dealer
BOFA SECURITIES, INC.
ii. SEC file number

008-69787

iii. CRD number
000283942
iv. LEI, if any

549300HN4UKV1E2R3U73

v. State, if applicable
NEW YORK
vi. Foreign country, if applicable
UNITED STATES OF AMERICA
vii. Total value of purchases and sales (excluding maturing securities) with Fund:

1833326946.76000000

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

4945099843.00000000


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button checked Yes Radio button not checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

2490165235.00000000

b. Provide the money market fund's daily average net assets during the reporting period

0.00000000


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button not checked Yes Radio button checked No

b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

N-CEN:Part E: Additional Questions for Exchange-Traded Funds and Exchange-Traded Managed Funds


Exchange Record: 1


Fund Name
The 3D Printing ETF

Item E.1. Exchange.

Security Exchanges Record: 1
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed:
CHICAGO BOARD OPTIONS EXCHANGE
b. Ticker. Provide the Fund's ticker symbol:
PRNT

Item E.2. Authorized participants.

Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund.
For each authorized participant of the Fund, provide the following information:

Authorized Participants Record: 1
a. Full Name
Barclays Capital Inc.
b. SEC file number
008-41342
c. CRD number
000019714
d. LEI, if any
AC28XWWI3WIBK2824319
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 2
a. Full Name
J.P. Morgan Securities LLC
b. SEC file number
008-35008
c. CRD number
000000079
d. LEI, if any
ZBUT11V806EZRVTWT807
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
95484361.57000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
63609566.24000000
Authorized Participants Record: 3
a. Full Name
BNP Paribas Securities Corp (FKA BNP Paribas Prime Brokerage)
b. SEC file number
008-32682
c. CRD number
000015794
d. LEI, if any
RCNB6OTYUAMMP879YW96
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 4
a. Full Name
Cantor Fitzgerald & Co.
b. SEC file number
008-00201
c. CRD number
000000134
d. LEI, if any
5493004J7H4GCPG6OB62
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 5
a. Full Name
Credit Suisse Securities (USA) LLC
b. SEC file number
008-00422
c. CRD number
000000816
d. LEI, if any
1V8Y6QCX6YMJ2OELII46
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
14505598.44000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 6
a. Full Name
ABN AMRO Clearing Chicago LLC
b. SEC file number
008-34354
c. CRD number
000014020
d. LEI, if any
549300U16G4LU3V6C598
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 7
a. Full Name
Goldman Sachs & Co. LLC
b. SEC file number
008-00129
c. CRD number
000000361
d. LEI, if any
FOR8UP27PHTHYVLBNG30
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
155488732.39000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
43381674.09000000
Authorized Participants Record: 8
a. Full Name
UBS Securities LLC
b. SEC file number
008-22651
c. CRD number
000007654
d. LEI, if any
T6FIZBDPKLYJKFCRVK44
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
221606891.16000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
17656871.17000000
Authorized Participants Record: 9
a. Full Name
Wells Fargo Securities, LLC
b. SEC file number
008-65876
c. CRD number
000126292
d. LEI, if any
VYVVCKR63DVZZN70PB21
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 10
a. Full Name
Mizuho Securities USA LLC
b. SEC file number
008-37710
c. CRD number
000019647
d. LEI, if any
7TK5RJIZDFROZCA6XF66
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 11
a. Full Name
RBC Capital Markets, LLC
b. SEC file number
008-45411
c. CRD number
000031194
d. LEI, if any
549300LCO2FLSSVFFR64
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 12
a. Full Name
Merrill Lynch Professional Clearing Corp.
b. SEC file number
008-33359
c. CRD number
000016139
d. LEI, if any
549300PMHS66E71I2D34
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 13
a. Full Name
Jane Street Capital LLC
b. SEC file number
008-52275
c. CRD number
000103782
d. LEI, if any
549300ZM16HMPEPNV857
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 14
a. Full Name
Citadel Securities LLC
b. SEC file number
008-53574
c. CRD number
000116797
d. LEI, if any
12UUJYTN7D3SW8KCSG25
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 15
a. Full Name
Virtu Americas LLC
b. SEC file number
008-68193
c. CRD number
000149823
d. LEI, if any
549300RA02N3BNSWBV74
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
18193197.20000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
14810930.18000000
Authorized Participants Record: 16
a. Full Name
BNY Mellon Capital Markets, LLC
b. SEC file number
008-35255
c. CRD number
000017454
d. LEI, if any
VJW2DOOHGDT6PR0ZRO63
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 17
a. Full Name
Jefferies LLC
b. SEC file number
008-15074
c. CRD number
000002347
d. LEI, if any
58PU97L1C0WSRCWADL48
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 18
a. Full Name
HRT FINANCIAL LLC
b. SEC file number
008-68430
c. CRD number
000152144
d. LEI, if any
21380037YFKONTT23854
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
21660708.13000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
9520956.20000000
Authorized Participants Record: 19
a. Full Name
Morgan Stanley & Co. LLC
b. SEC file number
008-15869
c. CRD number
000008209
d. LEI, if any
9R7GPTSO7KV3UQJZQ078
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 20
a. Full Name
BofA Securities, Inc.
b. SEC file number
008-69787
c. CRD number
000283942
d. LEI, if any
549300HN4UKV1E2R3U73
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
133342258.33000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
8886005.27000000
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in
connection with the purchase or redemption of Fund shares during the reporting period?
Radio button checked Yes Radio button not checked No

Item E.3. Creation units.

Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions.
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period:
50000.00000000
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
1.28000000 %
ii. The standard deviation of the percentage of that value composed of cash:
6.28000000 %
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
98.72000000 %
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
6.28000000 %
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
2.03000000 %
ii. The standard deviation of the percentage of that value composed of cash:
9.02000000 %
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
97.97000000 %
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
9.02000000 %
d. For creation units purchased by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.00000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.00000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
e. For creation units redeemed by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.00000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.00000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %

Item E.5. In-Kind ETF.

Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)?Radio button checked Yes Radio button not checked No

Exchange Record: 2


Fund Name
ARK Innovation ETF

Item E.1. Exchange.

Security Exchanges Record: 1
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed:
NYSE ARCA
b. Ticker. Provide the Fund's ticker symbol:
ARKK

Item E.2. Authorized participants.

Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund.
For each authorized participant of the Fund, provide the following information:

Authorized Participants Record: 1
a. Full Name
Goldman Sachs & Co. LLC
b. SEC file number
008-00129
c. CRD number
000000361
d. LEI, if any
FOR8UP27PHTHYVLBNG30
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
1217596843.01000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
1058312409.12000000
Authorized Participants Record: 2
a. Full Name
BNY Mellon Capital Markets, LLC
b. SEC file number
008-35255
c. CRD number
000017454
d. LEI, if any
VJW2DOOHGDT6PR0ZRO63
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 3
a. Full Name
Virtu Americas LLC
b. SEC file number
008-68193
c. CRD number
000149823
d. LEI, if any
549300RA02N3BNSWBV74
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
6522520097.99000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
2595382070.22000000
Authorized Participants Record: 4
a. Full Name
Jane Street Capital LLC
b. SEC file number
008-52275
c. CRD number
000103782
d. LEI, if any
549300ZM16HMPEPNV857
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 5
a. Full Name
Barclays Capital Inc.
b. SEC file number
008-41342
c. CRD number
000019714
d. LEI, if any
AC28XWWI3WIBK2824319
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
78111676.42000000
Authorized Participants Record: 6
a. Full Name
Morgan Stanley & Co. LLC
b. SEC file number
008-15869
c. CRD number
000008209
d. LEI, if any
9R7GPTSO7KV3UQJZQ078
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
20828062.49000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 7
a. Full Name
BNP Paribas Securities Corp (FKA BNP Paribas Prime Brokerage)
b. SEC file number
008-32682
c. CRD number
000015794
d. LEI, if any
RCNB6OTYUAMMP879YW96
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
18185016.27000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 8
a. Full Name
Wells Fargo Securities, LLC
b. SEC file number
008-65876
c. CRD number
000126292
d. LEI, if any
VYVVCKR63DVZZN70PB21
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
65927348.74000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
78463139.68000000
Authorized Participants Record: 9
a. Full Name
Cantor Fitzgerald & Co.
b. SEC file number
008-00201
c. CRD number
000000134
d. LEI, if any
5493004J7H4GCPG6OB62
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
61786647.59000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
28658515.23000000
Authorized Participants Record: 10
a. Full Name
RBC Capital Markets, LLC
b. SEC file number
008-45411
c. CRD number
000031194
d. LEI, if any
549300LCO2FLSSVFFR64
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
955773042.33000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
154275160.75000000
Authorized Participants Record: 11
a. Full Name
Jefferies LLC
b. SEC file number
008-15074
c. CRD number
000002347
d. LEI, if any
58PU97L1C0WSRCWADL48
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 12
a. Full Name
Mizuho Securities USA LLC
b. SEC file number
008-37710
c. CRD number
000019647
d. LEI, if any
7TK5RJIZDFROZCA6XF66
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 13
a. Full Name
J.P. Morgan Securities LLC
b. SEC file number
008-35008
c. CRD number
000000079
d. LEI, if any
ZBUT11V806EZRVTWT807
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
358077395.95000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
608172143.94000000
Authorized Participants Record: 14
a. Full Name
Merrill Lynch Professional Clearing Corp.
b. SEC file number
008-33359
c. CRD number
000016139
d. LEI, if any
549300PMHS66E71I2D34
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
5416682789.48000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
2275184283.45000000
Authorized Participants Record: 15
a. Full Name
UBS Securities LLC
b. SEC file number
008-22651
c. CRD number
000007654
d. LEI, if any
T6FIZBDPKLYJKFCRVK44
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
10072440.92000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 16
a. Full Name
Citadel Securities LLC
b. SEC file number
008-53574
c. CRD number
000116797
d. LEI, if any
12UUJYTN7D3SW8KCSG25
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
528947199.45000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
74728820.79000000
Authorized Participants Record: 17
a. Full Name
BofA Securities, Inc.
b. SEC file number
008-69787
c. CRD number
000283942
d. LEI, if any
549300HN4UKV1E2R3U73
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 18
a. Full Name
ABN AMRO Clearing Chicago LLC
b. SEC file number
008-34354
c. CRD number
000014020
d. LEI, if any
549300U16G4LU3V6C598
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
3774490941.73000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
1953618551.33000000
Authorized Participants Record: 19
a. Full Name
HRT FINANCIAL LLC
b. SEC file number
008-68430
c. CRD number
000152144
d. LEI, if any
21380037YFKONTT23854
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
5113776222.87000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
1420076446.44000000
Authorized Participants Record: 20
a. Full Name
Credit Suisse Securities (USA) LLC
b. SEC file number
008-00422
c. CRD number
000000816
d. LEI, if any
1V8Y6QCX6YMJ2OELII46
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
14087952.22000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in
connection with the purchase or redemption of Fund shares during the reporting period?
Radio button checked Yes Radio button not checked No

Item E.3. Creation units.

Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions.
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period:
50000.00000000
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
22.70000000 %
ii. The standard deviation of the percentage of that value composed of cash:
9.37000000 %
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
77.30000000 %
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
9.37000000 %
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
0.28000000 %
ii. The standard deviation of the percentage of that value composed of cash:
0.33000000 %
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
99.72000000 %
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
0.33000000 %
d. For creation units purchased by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
503.26000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
503.26000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
e. For creation units redeemed by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.33000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.33000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %

Item E.5. In-Kind ETF.

Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)?Radio button checked Yes Radio button not checked No

Exchange Record: 3


Fund Name
ARK Autonomous Technology & Robotics ETF

Item E.1. Exchange.

Security Exchanges Record: 1
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed:
CHICAGO BOARD OPTIONS EXCHANGE
b. Ticker. Provide the Fund's ticker symbol:
ARKQ

Item E.2. Authorized participants.

Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund.
For each authorized participant of the Fund, provide the following information:

Authorized Participants Record: 1
a. Full Name
Barclays Capital Inc.
b. SEC file number
008-41342
c. CRD number
000019714
d. LEI, if any
AC28XWWI3WIBK2824319
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 2
a. Full Name
RBC Capital Markets, LLC
b. SEC file number
008-45411
c. CRD number
000031194
d. LEI, if any
549300LCO2FLSSVFFR64
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
170512570.39000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
26454379.32000000
Authorized Participants Record: 3
a. Full Name
UBS Securities LLC
b. SEC file number
008-22651
c. CRD number
000007654
d. LEI, if any
T6FIZBDPKLYJKFCRVK44
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 4
a. Full Name
J.P. Morgan Securities LLC
b. SEC file number
008-35008
c. CRD number
000000079
d. LEI, if any
ZBUT11V806EZRVTWT807
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
50095010.18000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
43695822.49000000
Authorized Participants Record: 5
a. Full Name
ABN AMRO Clearing Chicago LLC
b. SEC file number
008-34354
c. CRD number
000014020
d. LEI, if any
549300U16G4LU3V6C598
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
175791537.78000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
167829526.82000000
Authorized Participants Record: 6
a. Full Name
Mizuho Securities USA LLC
b. SEC file number
008-37710
c. CRD number
000019647
d. LEI, if any
7TK5RJIZDFROZCA6XF66
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 7
a. Full Name
BNP Paribas Securities Corp (FKA BNP Paribas Prime Brokerage)
b. SEC file number
008-32682
c. CRD number
000015794
d. LEI, if any
RCNB6OTYUAMMP879YW96
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 8
a. Full Name
Cantor Fitzgerald & Co.
b. SEC file number
008-00201
c. CRD number
000000134
d. LEI, if any
5493004J7H4GCPG6OB62
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 9
a. Full Name
Credit Suisse Securities (USA) LLC
b. SEC file number
008-00422
c. CRD number
000000816
d. LEI, if any
1V8Y6QCX6YMJ2OELII46
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 10
a. Full Name
Morgan Stanley & Co. LLC
b. SEC file number
008-15869
c. CRD number
000008209
d. LEI, if any
9R7GPTSO7KV3UQJZQ078
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 11
a. Full Name
BofA Securities, Inc.
b. SEC file number
008-69787
c. CRD number
000283942
d. LEI, if any
549300HN4UKV1E2R3U73
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 12
a. Full Name
Citadel Securities LLC
b. SEC file number
008-53574
c. CRD number
000116797
d. LEI, if any
12UUJYTN7D3SW8KCSG25
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
122486960.21000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
42310013.48000000
Authorized Participants Record: 13
a. Full Name
Jefferies LLC
b. SEC file number
008-15074
c. CRD number
000002347
d. LEI, if any
58PU97L1C0WSRCWADL48
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 14
a. Full Name
HRT FINANCIAL LLC
b. SEC file number
008-68430
c. CRD number
000152144
d. LEI, if any
21380037YFKONTT23854
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
835527784.33000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
195816796.34000000
Authorized Participants Record: 15
a. Full Name
Jane Street Capital LLC
b. SEC file number
008-52275
c. CRD number
000103782
d. LEI, if any
549300ZM16HMPEPNV857
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 16
a. Full Name
Merrill Lynch Professional Clearing Corp.
b. SEC file number
008-33359
c. CRD number
000016139
d. LEI, if any
549300PMHS66E71I2D34
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
924093543.28000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
207264573.61000000
Authorized Participants Record: 17
a. Full Name
Wells Fargo Securities, LLC
b. SEC file number
008-65876
c. CRD number
000126292
d. LEI, if any
VYVVCKR63DVZZN70PB21
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 18
a. Full Name
Goldman Sachs & Co. LLC
b. SEC file number
008-00129
c. CRD number
000000361
d. LEI, if any
FOR8UP27PHTHYVLBNG30
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
37700082.41000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
67903211.06000000
Authorized Participants Record: 19
a. Full Name
Virtu Americas LLC
b. SEC file number
008-68193
c. CRD number
000149823
d. LEI, if any
549300RA02N3BNSWBV74
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
807576102.48000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
219370064.23000000
Authorized Participants Record: 20
a. Full Name
BNY Mellon Capital Markets, LLC
b. SEC file number
008-35255
c. CRD number
000017454
d. LEI, if any
VJW2DOOHGDT6PR0ZRO63
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in
connection with the purchase or redemption of Fund shares during the reporting period?
Radio button checked Yes Radio button not checked No

Item E.3. Creation units.

Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions.
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period:
50000.00000000
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
10.46000000 %
ii. The standard deviation of the percentage of that value composed of cash:
3.81000000 %
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
89.54000000 %
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
3.81000000 %
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
0.17000000 %
ii. The standard deviation of the percentage of that value composed of cash:
0.32000000 %
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
99.83000000 %
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
0.32000000 %
d. For creation units purchased by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
504.71000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
504.71000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
e. For creation units redeemed by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.38000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.38000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %

Item E.5. In-Kind ETF.

Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)?Radio button checked Yes Radio button not checked No

Exchange Record: 4


Fund Name
ARK Space Exploration & Innovation ETF

Item E.1. Exchange.

Security Exchanges Record: 1
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed:
CHICAGO BOARD OPTIONS EXCHANGE
b. Ticker. Provide the Fund's ticker symbol:
ARKX

Item E.2. Authorized participants.

Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund.
For each authorized participant of the Fund, provide the following information:

Authorized Participants Record: 1
a. Full Name
Merrill Lynch Professional Clearing Corp.
b. SEC file number
008-33359
c. CRD number
000016139
d. LEI, if any
549300PMHS66E71I2D34
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 2
a. Full Name
BofA Securities, Inc.
b. SEC file number
008-69787
c. CRD number
008283942
d. LEI, if any
549300HN4UKV1E2R3U73
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
389864090.95000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
2067562.07000000
Authorized Participants Record: 3
a. Full Name
Citadel Securities LLC
b. SEC file number
008-53574
c. CRD number
000116797
d. LEI, if any
12UUJYTN7D3SW8KCSG25
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 4
a. Full Name
Jane Street Capital LLC
b. SEC file number
008-52275
c. CRD number
000103782
d. LEI, if any
549300ZM16HMPEPNV857
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 5
a. Full Name
Cantor Fitzgerald & Co.
b. SEC file number
008-00201
c. CRD number
000000134
d. LEI, if any
5493004J7H4GCPG6OB62
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 6
a. Full Name
Goldman Sachs & Co. LLC
b. SEC file number
008-00129
c. CRD number
000000361
d. LEI, if any
FOR8UP27PHTHYVLBNG30
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
73977230.10000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 7
a. Full Name
Jefferies LLC
b. SEC file number
008-15074
c. CRD number
000002347
d. LEI, if any
58PU97L1C0WSRCWADL48
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 8
a. Full Name
Morgan Stanley & Co. LLC
b. SEC file number
008-15869
c. CRD number
000008209
d. LEI, if any
9R7GPTSO7KV3UQJZQ078
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 9
a. Full Name
J.P. Morgan Securities LLC
b. SEC file number
008-35008
c. CRD number
000000079
d. LEI, if any
ZBUT11V806EZRVTWT807
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
67291589.50000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
42927169.76000000
Authorized Participants Record: 10
a. Full Name
UBS Securities LLC
b. SEC file number
008-22651
c. CRD number
000007654
d. LEI, if any
T6FIZBDPKLYJKFCRVK44
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
8337925.18000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
7884509.64000000
Authorized Participants Record: 11
a. Full Name
BNY Mellon Capital Markets, LLC
b. SEC file number
008-35255
c. CRD number
000017454
d. LEI, if any
VJW2DOOHGDT6PR0ZRO63
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 12
a. Full Name
ABN AMRO Clearing Chicago LLC
b. SEC file number
008-34354
c. CRD number
000014020
d. LEI, if any
549300U16G4LU3V6C598
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 13
a. Full Name
Wells Fargo Securities, LLC
b. SEC file number
008-65876
c. CRD number
000126292
d. LEI, if any
VYVVCKR63DVZZN70PB21
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 14
a. Full Name
Mizuho Securities USA LLC
b. SEC file number
008-37710
c. CRD number
000019647
d. LEI, if any
7TK5RJIZDFROZCA6XF66
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 15
a. Full Name
HRT FINANCIAL LLC
b. SEC file number
008-68430
c. CRD number
000152144
d. LEI, if any
21380037YFKONTT23854
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
134185425.93000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
13836284.23000000
Authorized Participants Record: 16
a. Full Name
BNP Paribas Securities Corp (FKA BNP Paribas Prime Brokerage)
b. SEC file number
008-32682
c. CRD number
000015794
d. LEI, if any
RCNB6OTYUAMMP879YW96
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 17
a. Full Name
Virtu Americas LLC
b. SEC file number
008-68193
c. CRD number
000149823
d. LEI, if any
549300RA02N3BNSWBV74
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
14715715.27000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
7228519.52000000
Authorized Participants Record: 18
a. Full Name
RBC Capital Markets, LLC
b. SEC file number
008-45411
c. CRD number
000031194
d. LEI, if any
549300LCO2FLSSVFFR64
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 19
a. Full Name
Barclays Capital Inc.
b. SEC file number
008-41342
c. CRD number
000019714
d. LEI, if any
AC28XWWI3WIBK2824319
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 20
a. Full Name
Credit Suisse Securities (USA) LLC
b. SEC file number
008-00422
c. CRD number
000000816
d. LEI, if any
1V8Y6QCX6YMJ2OELII46
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
4000000.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in
connection with the purchase or redemption of Fund shares during the reporting period?
Radio button checked Yes Radio button not checked No

Item E.3. Creation units.

Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions.
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period:
50000.00000000
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
3.09000000 %
ii. The standard deviation of the percentage of that value composed of cash:
5.64000000 %
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
96.91000000 %
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
5.64000000 %
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
4.98000000 %
ii. The standard deviation of the percentage of that value composed of cash:
5.60000000 %
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
95.02000000 %
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
5.60000000 %
d. For creation units purchased by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.00000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.00000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
e. For creation units redeemed by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.00000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.00000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %

Item E.5. In-Kind ETF.

Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)?Radio button checked Yes Radio button not checked No

Exchange Record: 5


Fund Name
ARK Israel Innovative Technology ETF

Item E.1. Exchange.

Security Exchanges Record: 1
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed:
CHICAGO BOARD OPTIONS EXCHANGE
b. Ticker. Provide the Fund's ticker symbol:
IZRL

Item E.2. Authorized participants.

Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund.
For each authorized participant of the Fund, provide the following information:

Authorized Participants Record: 1
a. Full Name
Morgan Stanley & Co. LLC
b. SEC file number
008-15869
c. CRD number
000008209
d. LEI, if any
9R7GPTSO7KV3UQJZQ078
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 2
a. Full Name
ABN AMRO Clearing Chicago LLC
b. SEC file number
008-34354
c. CRD number
000014020
d. LEI, if any
549300U16G4LU3V6C598
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 3
a. Full Name
J.P. Morgan Securities LLC
b. SEC file number
008-35008
c. CRD number
000000079
d. LEI, if any
ZBUT11V806EZRVTWT807
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
64251483.94000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
17053923.23000000
Authorized Participants Record: 4
a. Full Name
Jane Street Capital LLC
b. SEC file number
008-52275
c. CRD number
000103782
d. LEI, if any
549300ZM16HMPEPNV857
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 5
a. Full Name
Cantor Fitzgerald & Co.
b. SEC file number
008-00201
c. CRD number
000000134
d. LEI, if any
5493004J7H4GCPG6OB62
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 6
a. Full Name
Citadel Securities LLC
b. SEC file number
008-53574
c. CRD number
000116797
d. LEI, if any
12UUJYTN7D3SW8KCSG25
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 7
a. Full Name
Wells Fargo Securities, LLC
b. SEC file number
008-65876
c. CRD number
000126292
d. LEI, if any
VYVVCKR63DVZZN70PB21
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 8
a. Full Name
HRT FINANCIAL LLC
b. SEC file number
008-68430
c. CRD number
000152144
d. LEI, if any
21380037YFKONTT23854
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
13558578.17000000
Authorized Participants Record: 9
a. Full Name
RBC Capital Markets, LLC
b. SEC file number
008-45411
c. CRD number
000031194
d. LEI, if any
549300LCO2FLSSVFFR64
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 10
a. Full Name
Goldman Sachs & Co. LLC
b. SEC file number
008-00129
c. CRD number
000000361
d. LEI, if any
FOR8UP27PHTHYVLBNG30
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
64578209.58000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 11
a. Full Name
UBS Securities LLC
b. SEC file number
008-22651
c. CRD number
000007654
d. LEI, if any
T6FIZBDPKLYJKFCRVK44
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
51011835.21000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
39012676.17000000
Authorized Participants Record: 12
a. Full Name
Credit Suisse Securities (USA) LLC
b. SEC file number
008-00422
c. CRD number
000000816
d. LEI, if any
1V8Y6QCX6YMJ2OELII46
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
59870367.40000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
1940613.92000000
Authorized Participants Record: 13
a. Full Name
BNY Mellon Capital Markets, LLC
b. SEC file number
008-35255
c. CRD number
000017454
d. LEI, if any
VJW2DOOHGDT6PR0ZRO63
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 14
a. Full Name
BofA Securities, Inc.
b. SEC file number
008-69787
c. CRD number
000283942
d. LEI, if any
549300HN4UKV1E2R3U73
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
107421061.26000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 15
a. Full Name
BNP Paribas Securities Corp (FKA BNP Paribas Prime Brokerage)
b. SEC file number
008-32682
c. CRD number
000015794
d. LEI, if any
RCNB6OTYUAMMP879YW96
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 16
a. Full Name
Mizuho Securities USA LLC
b. SEC file number
008-37710
c. CRD number
000019647
d. LEI, if any
7TK5RJIZDFROZCA6XF66
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 17
a. Full Name
Virtu Americas LLC
b. SEC file number
008-68193
c. CRD number
000149823
d. LEI, if any
549300RA02N3BNSWBV74
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
6274862.13000000
Authorized Participants Record: 18
a. Full Name
Barclays Capital Inc.
b. SEC file number
008-41342
c. CRD number
000019714
d. LEI, if any
AC28XWWI3WIBK2824319
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 19
a. Full Name
Merrill Lynch Professional Clearing Corp.
b. SEC file number
008-33359
c. CRD number
000016139
d. LEI, if any
549300PMHS66E71I2D34
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 20
a. Full Name
Jefferies LLC
b. SEC file number
008-15074
c. CRD number
000002347
d. LEI, if any
58PU97L1C0WSRCWADL48
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in
connection with the purchase or redemption of Fund shares during the reporting period?
Radio button checked Yes Radio button not checked No

Item E.3. Creation units.

Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions.
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period:
25000.00000000
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
0.13000000 %
ii. The standard deviation of the percentage of that value composed of cash:
0.10000000 %
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
99.87000000 %
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
0.10000000 %
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
7.32000000 %
ii. The standard deviation of the percentage of that value composed of cash:
17.27000000 %
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
92.68000000 %
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
17.27000000 %
d. For creation units purchased by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
1000.00000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
1000.00000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
e. For creation units redeemed by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
1000.00000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
1000.00000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %

Item E.5. In-Kind ETF.

Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)?Radio button checked Yes Radio button not checked No

Exchange Record: 6


Fund Name
ARK Next Generation Internet ETF

Item E.1. Exchange.

Security Exchanges Record: 1
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed:
NYSE ARCA
b. Ticker. Provide the Fund's ticker symbol:
ARKW

Item E.2. Authorized participants.

Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund.
For each authorized participant of the Fund, provide the following information:

Authorized Participants Record: 1
a. Full Name
BNP Paribas Securities Corp (FKA BNP Paribas Prime Brokerage)
b. SEC file number
008-32682
c. CRD number
000015794
d. LEI, if any
RCNB6OTYUAMMP879YW96
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 2
a. Full Name
Wells Fargo Securities, LLC
b. SEC file number
008-65876
c. CRD number
000126292
d. LEI, if any
VYVVCKR63DVZZN70PB21
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 3
a. Full Name
BNY Mellon Capital Markets, LLC
b. SEC file number
008-35255
c. CRD number
000017454
d. LEI, if any
VJW2DOOHGDT6PR0ZRO63
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 4
a. Full Name
Credit Suisse Securities (USA) LLC
b. SEC file number
008-00422
c. CRD number
000000816
d. LEI, if any
1V8Y6QCX6YMJ2OELII46
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 5
a. Full Name
RBC Capital Markets, LLC
b. SEC file number
008-45411
c. CRD number
000031194
d. LEI, if any
549300LCO2FLSSVFFR64
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
547892469.05000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
144602047.64000000
Authorized Participants Record: 6
a. Full Name
Barclays Capital Inc.
b. SEC file number
008-41342
c. CRD number
000019714
d. LEI, if any
AC28XWWI3WIBK2824319
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 7
a. Full Name
Citadel Securities LLC
b. SEC file number
008-53574
c. CRD number
000116797
d. LEI, if any
12UUJYTN7D3SW8KCSG25
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
331069844.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
119516147.11000000
Authorized Participants Record: 8
a. Full Name
Cantor Fitzgerald & Co.
b. SEC file number
008-00201
c. CRD number
000000134
d. LEI, if any
5493004J7H4GCPG6OB62
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
5719849.60000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
12930280.58000000
Authorized Participants Record: 9
a. Full Name
Virtu Americas LLC
b. SEC file number
008-68193
c. CRD number
000149823
d. LEI, if any
549300RA02N3BNSWBV74
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
1375637482.76000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
741159688.10000000
Authorized Participants Record: 10
a. Full Name
UBS Securities LLC
b. SEC file number
008-22651
c. CRD number
000007654
d. LEI, if any
T6FIZBDPKLYJKFCRVK44
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 11
a. Full Name
Mizuho Securities USA LLC
b. SEC file number
008-37710
c. CRD number
000019647
d. LEI, if any
7TK5RJIZDFROZCA6XF66
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 12
a. Full Name
HRT FINANCIAL LLC
b. SEC file number
008-68430
c. CRD number
000152144
d. LEI, if any
21380037YFKONTT23854
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
1862791755.76000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
634641854.38000000
Authorized Participants Record: 13
a. Full Name
Merrill Lynch Professional Clearing Corp.
b. SEC file number
008-33359
c. CRD number
000016139
d. LEI, if any
549300PMHS66E71I2D34
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
1561670313.05000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
719709079.95000000
Authorized Participants Record: 14
a. Full Name
Jefferies LLC
b. SEC file number
008-15074
c. CRD number
000002347
d. LEI, if any
58PU97L1C0WSRCWADL48
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 15
a. Full Name
Goldman Sachs & Co. LLC
b. SEC file number
008-00129
c. CRD number
000000361
d. LEI, if any
FOR8UP27PHTHYVLBNG30
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
130398298.39000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
106719659.00000000
Authorized Participants Record: 16
a. Full Name
Morgan Stanley & Co. LLC
b. SEC file number
008-15869
c. CRD number
000008209
d. LEI, if any
9R7GPTSO7KV3UQJZQ078
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 17
a. Full Name
Jane Street Capital LLC
b. SEC file number
008-52275
c. CRD number
000103782
d. LEI, if any
549300ZM16HMPEPNV857
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 18
a. Full Name
ABN AMRO Clearing Chicago LLC
b. SEC file number
008-34354
c. CRD number
000014020
d. LEI, if any
549300U16G4LU3V6C598
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
195791565.80000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
318251307.35000000
Authorized Participants Record: 19
a. Full Name
J.P. Morgan Securities LLC
b. SEC file number
008-35008
c. CRD number
000000079
d. LEI, if any
ZBUT11V806EZRVTWT807
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
7797744.07000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
162444190.18000000
Authorized Participants Record: 20
a. Full Name
BofA Securities, Inc.
b. SEC file number
008-69787
c. CRD number
000283942
d. LEI, if any
549300HN4UKV1E2R3U73
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in
connection with the purchase or redemption of Fund shares during the reporting period?
Radio button checked Yes Radio button not checked No

Item E.3. Creation units.

Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions.
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period:
50000.00000000
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
7.12000000 %
ii. The standard deviation of the percentage of that value composed of cash:
3.55000000 %
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
92.88000000 %
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
3.55000000 %
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
0.12000000 %
ii. The standard deviation of the percentage of that value composed of cash:
0.16000000 %
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
99.88000000 %
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
0.16000000 %
d. For creation units purchased by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
503.23000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
503.23000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
e. For creation units redeemed by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.00000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.00000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %

Item E.5. In-Kind ETF.

Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)?Radio button checked Yes Radio button not checked No

Exchange Record: 7


Fund Name
ARK Genomic Revolution ETF

Item E.1. Exchange.

Security Exchanges Record: 1
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed:
CHICAGO BOARD OPTIONS EXCHANGE
b. Ticker. Provide the Fund's ticker symbol:
ARKG

Item E.2. Authorized participants.

Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund.
For each authorized participant of the Fund, provide the following information:

Authorized Participants Record: 1
a. Full Name
Jane Street Capital LLC
b. SEC file number
008-52275
c. CRD number
000103782
d. LEI, if any
549300ZM16HMPEPNV857
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 2
a. Full Name
RBC Capital Markets, LLC
b. SEC file number
008-45411
c. CRD number
000031194
d. LEI, if any
549300LCO2FLSSVFFR64
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
110184513.84000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
35569941.59000000
Authorized Participants Record: 3
a. Full Name
BNP Paribas Securities Corp (FKA BNP Paribas Prime Brokerage)
b. SEC file number
008-32682
c. CRD number
000015794
d. LEI, if any
RCNB6OTYUAMMP879YW96
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
8512539.82000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 4
a. Full Name
UBS Securities LLC
b. SEC file number
008-22651
c. CRD number
000007654
d. LEI, if any
T6FIZBDPKLYJKFCRVK44
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 5
a. Full Name
J.P. Morgan Securities LLC
b. SEC file number
008-35008
c. CRD number
000000079
d. LEI, if any
ZBUT11V806EZRVTWT807
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
23839637.84000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
59221199.18000000
Authorized Participants Record: 6
a. Full Name
Virtu Americas LLC
b. SEC file number
008-68193
c. CRD number
000149823
d. LEI, if any
549300RA02N3BNSWBV74
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
2311473522.46000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
974569142.77000000
Authorized Participants Record: 7
a. Full Name
Merrill Lynch Professional Clearing Corp.
b. SEC file number
008-33359
c. CRD number
000016139
d. LEI, if any
549300PMHS66E71I2D34
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
3672926717.78000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
824594117.65000000
Authorized Participants Record: 8
a. Full Name
Jefferies LLC
b. SEC file number
008-15074
c. CRD number
000002347
d. LEI, if any
58PU97L1C0WSRCWADL48
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 9
a. Full Name
Credit Suisse Securities (USA) LLC
b. SEC file number
008-00422
c. CRD number
000000816
d. LEI, if any
1V8Y6QCX6YMJ2OELII46
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
17732051.53000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
8955673.19000000
Authorized Participants Record: 10
a. Full Name
BofA Securities, Inc.
b. SEC file number
008-69787
c. CRD number
000283942
d. LEI, if any
549300HN4UKV1E2R3U73
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 11
a. Full Name
Barclays Capital Inc.
b. SEC file number
008-41342
c. CRD number
000019714
d. LEI, if any
AC28XWWI3WIBK2824319
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
9287804.63000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 12
a. Full Name
Morgan Stanley & Co. LLC
b. SEC file number
008-15869
c. CRD number
000008209
d. LEI, if any
9R7GPTSO7KV3UQJZQ078
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 13
a. Full Name
BNY Mellon Capital Markets, LLC
b. SEC file number
008-35255
c. CRD number
000017454
d. LEI, if any
VJW2DOOHGDT6PR0ZRO63
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 14
a. Full Name
HRT FINANCIAL LLC
b. SEC file number
008-68430
c. CRD number
000152144
d. LEI, if any
21380037YFKONTT23854
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
1943933098.63000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
623593913.79000000
Authorized Participants Record: 15
a. Full Name
Citadel Securities LLC
b. SEC file number
008-53574
c. CRD number
000116797
d. LEI, if any
12UUJYTN7D3SW8KCSG25
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
424419730.21000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
39812933.47000000
Authorized Participants Record: 16
a. Full Name
Wells Fargo Securities, LLC
b. SEC file number
008-65876
c. CRD number
000126292
d. LEI, if any
VYVVCKR63DVZZN70PB21
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 17
a. Full Name
Mizuho Securities USA LLC
b. SEC file number
008-37710
c. CRD number
000019647
d. LEI, if any
7TK5RJIZDFROZCA6XF66
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 18
a. Full Name
Cantor Fitzgerald & Co.
b. SEC file number
008-00201
c. CRD number
000000134
d. LEI, if any
5493004J7H4GCPG6OB62
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
50185926.87000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 19
a. Full Name
Goldman Sachs & Co. LLC
b. SEC file number
008-00129
c. CRD number
000000361
d. LEI, if any
FOR8UP27PHTHYVLBNG30
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
320609025.73000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
341649633.73000000
Authorized Participants Record: 20
a. Full Name
ABN AMRO Clearing Chicago LLC
b. SEC file number
008-34354
c. CRD number
000014020
d. LEI, if any
549300U16G4LU3V6C598
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
1712332902.08000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
645954297.77000000
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in
connection with the purchase or redemption of Fund shares during the reporting period?
Radio button checked Yes Radio button not checked No

Item E.3. Creation units.

Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions.
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period:
50000.00000000
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
29.13000000 %
ii. The standard deviation of the percentage of that value composed of cash:
10.10000000 %
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
70.87000000 %
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
10.10000000 %
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
0.53000000 %
ii. The standard deviation of the percentage of that value composed of cash:
1.19000000 %
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
99.47000000 %
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
1.19000000 %
d. For creation units purchased by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
501.48000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
501.48000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
e. For creation units redeemed by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.25000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.25000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %

Item E.5. In-Kind ETF.

Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)?Radio button checked Yes Radio button not checked No

Exchange Record: 8


Fund Name
ARK Fintech Innovation ETF

Item E.1. Exchange.

Security Exchanges Record: 1
a. Exchange where listed. Provide the name of the national securities exchange on which the Fund’s shares are listed:
NYSE ARCA
b. Ticker. Provide the Fund's ticker symbol:
ARKF

Item E.2. Authorized participants.

Instructions: The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund.
For each authorized participant of the Fund, provide the following information:

Authorized Participants Record: 1
a. Full Name
Morgan Stanley & Co. LLC
b. SEC file number
008-15869
c. CRD number
000008209
d. LEI, if any
9R7GPTSO7KV3UQJZQ078
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 2
a. Full Name
HRT FINANCIAL LLC
b. SEC file number
008-68430
c. CRD number
000152144
d. LEI, if any
21380037YFKONTT23854
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
358161102.67000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
126144730.60000000
Authorized Participants Record: 3
a. Full Name
Jefferies LLC
b. SEC file number
008-15074
c. CRD number
000002347
d. LEI, if any
58PU97L1C0WSRCWADL48
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 4
a. Full Name
UBS Securities LLC
b. SEC file number
008-22651
c. CRD number
000007654
d. LEI, if any
T6FIZBDPKLYJKFCRVK44
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
229991826.28000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
72214970.42000000
Authorized Participants Record: 5
a. Full Name
BofA Securities, Inc.
b. SEC file number
008-69787
c. CRD number
000283942
d. LEI, if any
549300HN4UKV1E2R3U73
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
1683503210.63000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
306115876.22000000
Authorized Participants Record: 6
a. Full Name
Goldman Sachs & Co. LLC
b. SEC file number
008-00129
c. CRD number
000000361
d. LEI, if any
FOR8UP27PHTHYVLBNG30
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
306929916.11000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
49926193.51000000
Authorized Participants Record: 7
a. Full Name
Merrill Lynch Professional Clearing Corp.
b. SEC file number
008-33359
c. CRD number
000016139
d. LEI, if any
549300PMHS66E71I2D34
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 8
a. Full Name
Wells Fargo Securities, LLC
b. SEC file number
008-65876
c. CRD number
000126292
d. LEI, if any
VYVVCKR63DVZZN70PB21
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 9
a. Full Name
Virtu Americas LLC
b. SEC file number
008-68193
c. CRD number
000149823
d. LEI, if any
549300RA02N3BNSWBV74
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
11384099.35000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 10
a. Full Name
Cantor Fitzgerald & Co.
b. SEC file number
008-00201
c. CRD number
000000134
d. LEI, if any
5493004J7H4GCPG6OB62
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 11
a. Full Name
RBC Capital Markets, LLC
b. SEC file number
008-45411
c. CRD number
000031194
d. LEI, if any
549300LCO2FLSSVFFR64
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 12
a. Full Name
BNP Paribas Securities Corp (FKA BNP Paribas Prime Brokerage)
b. SEC file number
008-32682
c. CRD number
000015794
d. LEI, if any
RCNB6OTYUAMMP879YW96
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 13
a. Full Name
Citadel Securities LLC
b. SEC file number
008-53574
c. CRD number
000116797
d. LEI, if any
12UUJYTN7D3SW8KCSG25
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 14
a. Full Name
Jane Street Capital LLC
b. SEC file number
008-52275
c. CRD number
000103782
d. LEI, if any
549300ZM16HMPEPNV857
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 15
a. Full Name
ABN AMRO Clearing Chicago LLC
b. SEC file number
008-34354
c. CRD number
000014020
d. LEI, if any
549300U16G4LU3V6C598
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 16
a. Full Name
BNY Mellon Capital Markets, LLC
b. SEC file number
008-35255
c. CRD number
000017454
d. LEI, if any
VJW2DOOHGDT6PR0ZRO63
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 17
a. Full Name
Mizuho Securities USA LLC
b. SEC file number
008-37710
c. CRD number
000019647
d. LEI, if any
7TK5RJIZDFROZCA6XF66
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 18
a. Full Name
Credit Suisse Securities (USA) LLC
b. SEC file number
008-00422
c. CRD number
000000816
d. LEI, if any
1V8Y6QCX6YMJ2OELII46
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
28175232.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 19
a. Full Name
Barclays Capital Inc.
b. SEC file number
008-41342
c. CRD number
000019714
d. LEI, if any
AC28XWWI3WIBK2824319
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
0.00000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
0.00000000
Authorized Participants Record: 20
a. Full Name
J.P. Morgan Securities LLC
b. SEC file number
008-35008
c. CRD number
000000079
d. LEI, if any
ZBUT11V806EZRVTWT807
e. The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period:
1675001738.08000000
f. The dollar value of the Fund shares the authorized participant redeemed during the reporting period:
446539749.57000000
g. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in
connection with the purchase or redemption of Fund shares during the reporting period?
Radio button checked Yes Radio button not checked No

Item E.3. Creation units.

Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions.
a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period:
50000.00000000
b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
7.45000000 %
ii. The standard deviation of the percentage of that value composed of cash:
5.88000000 %
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
92.55000000 %
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
5.88000000 %
c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide:
i. The average percentage of that value composed of cash:
6.55000000 %
ii. The standard deviation of the percentage of that value composed of cash:
6.78000000 %
iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
93.45000000 %
iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis:
6.78000000 %
d. For creation units purchased by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.00000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.00000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
e. For creation units redeemed by authorized participants during the reporting period, provide:
i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.00000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %
ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as:
1. Dollars per creation unit, if charged on that basis:
0.00000000
2. Dollars for one or more creation units purchased on the same day, if charged on that basis:
500.00000000
3. A percentage of the value of each creation unit, if charged on that basis:
0.00000000 %

Item E.5. In-Kind ETF.

Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)?Radio button checked Yes Radio button not checked No

N-CEN:Part G: Attachments

Item G.1a. Attachments.

Attachments applicable to all Registrants. All Registrants shall file the following attachments, as applicable, with the current report. Indicate the attachments filed with the current report by checking the applicable items below: Checkbox not checked i. Legal proceedings
Checkbox not checked ii. Provision of financial support
Checkbox checked iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only)
Checkbox not checked iv. Change in accounting principles and practices
Checkbox not checked v. Information required to be filed pursuant to exemptive orders
Checkbox not checked vi. Other information required to be included as an attachment pursuant to Commission rules and regulations

Instructions.

1. Item G.1.a.i. Legal proceedings.

(a) If the Registrant responded "YES" to Item B.11.a., provide a brief description of the proceedings. As part of the description, provide the case or docket number (if any), and the full names of the principal parties to the proceeding.
(b) If the Registrant responded "YES" to Item B.11.b., identify the proceeding and give its date of termination.

2. Item G.1.a.ii. Provision of financial support. If the Registrant responded "YES" to Item B.14., provide the following information (unless the Registrant is a Money Market Fund): (a) Description of nature of support.

(b) Person providing support.

(c) Brief description of relationship between the person providing support and the Registrant.

(d) Date support provided.

(e) Amount of support.

(f) Security supported (if applicable). Disclose the full name of the issuer, the title of the issue (including coupon or yield, if applicable) and at least two identifiers, if available (e.g., CIK, CUSIP, ISIN, LEI).
(g) Value of security supported on date support was initiated (if applicable).

(h) Brief description of reason for support.

(i) Term of support.

(j) Brief description of any contractual restrictions relating to support.

3. Item G.1.a.iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only). Each management investment company shall furnish a report of its independent public accountant on the company's system of internal accounting controls. The accountant's report shall be based on the review, study and evaluation of the accounting system, internal accounting controls, and procedures for safeguarding securities made during the audit of the financial statements for the reporting period. The report should disclose any material weaknesses in: (a) the accounting system; (b) system of internal accounting control; or (c) procedures for safeguarding securities which exist as of the end of the Registrant's fiscal year.

The accountant's report shall be furnished as an exhibit to the form and shall: (1) be addressed to the Registrant's shareholders and board of directors; (2) be dated; (3) be signed manually; and (4) indicate the city and state where issued.

Attachments that include a report that discloses a material weakness should include an indication by the Registrant of any corrective action taken or proposed.

The fact that an accountant's report is attached to this form shall not be regarded as acknowledging any review of this form by the independent public accountant.

4. Item G.1.a.iv. Change in accounting principles and practices. If the Registrant responded "YES" to Item B.21, provide an attachment that describes the change in accounting principles or practices, or the change in the method of applying any such accounting principles or practices. State the date of the change and the reasons therefor. A letter from the Registrant's independent accountants, approving or otherwise commenting on the change, shall accompany the description.

5. Item G.1.a.v. Information required to be filed pursuant to exemptive orders. File as an attachment any information required to be reported on Form N-CEN or any predecessor form to Form N-CEN (e.g., Form N-SAR) pursuant to exemptive orders issued by the Commission and relied on by the Registrant.

6. Item G.1.a.vi. Other information required to be included as an attachment pursuant to Commission rules and regulations. File as an attachment any other information required to be included as an attachment pursuant to Commission rules and regulations.

N-CEN: Signature

Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Registrant
ARK ETF Trust
Date
2021-10-06
Signature
William C. Cox
Title
Treasurer and Chief Financial Officer