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SEC Filings

SC 13G
ARK INVESTMENT MANAGEMENT LLC filed this Form SC 13G on 02/14/2018
Entire Document
 

 

 

CUSIP No.  68620A104 13G Page 4 of 5 Pages 

 

(i) ¨ A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 ( 15 U.S.C. 80a-3);

 

(j) ¨ A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);

 

(k) ¨ Group, in accordance with § 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ____

 

Item 4. Ownership

 

The percentages used herein are calculated based upon the shares issued and outstanding as of February 1, 2018 as reported in the Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on February 8, 2018.

 

(a)          Amount beneficially owned:

 

5,891,552

 

(b)          Percent of class:

 

5.32%

 

(c)          Number of shares as to which such person has:

 

(i)  Sole power to vote or to direct the vote:  5,829,850

 

(ii) Shared power to vote or to direct the vote:  61,702

 

(iii) Sole power to dispose or to direct the disposition of:  5,829,850

 

(iv) Shared power to dispose or to direct the disposition of:  61,702

 

Item 5. Ownership of 5 Percent or Less of a Class.

 

Not applicable.

  

Item 6. Ownership of More than 5 Percent on Behalf of Another Person.

 

Not applicable.

 

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.

 

Not applicable.

 

Item 8. Identification and Classification of Members of the Group.

 

Not applicable.

 

Item 9. Notice of Dissolution of Group.

 

Not applicable.