Terms & Conditions
As published: October 31, 2021
Reservation of Rights
Use of Content
The Content (as defined below) of this Site is available for informational purposes only. The posting of Content and access to this Site does not constitute, either explicitly or implicitly, any provision of services or products by ARK.
Copyright and Trademarks
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No Offer or Advice
Nothing contained herein constitutes an offer, solicitation or recommendation regarding any investment management product or service, or the offer to sell or the solicitation of an offer to buy any security; nor shall any such services be provided, or securities be offered or sold, in any jurisdiction in which such an offer, solicitation, provision or sale would be unlawful. All Site Content is subject to applicable statutes and regulations. This Site is published in the United States for residents of the United States. Investors outside of the United States are subject to securities and tax regulations within their applicable jurisdictions that are not addressed on this Site. U.S. investors are advised that not all investments or services described on this Site are available for sale in all states. Any potential investor should satisfy himself that an investment in an ARK product is permissible under the rules and regulations of his or her domicile. The Site is not directed to any person in any jurisdiction where (by reason of that person’s nationality, residence or otherwise) the publication or availability of the Site is prohibited. Persons in respect of whom such prohibitions apply must not access the Site.
The information provided is for informational purposes only. It does not constitute any form of advice or recommendation to buy or sell any securities or adopt any investment strategy mentioned. It is intended only to provide observations and views of the author(s) at the time of writing, both of which are subject to change at any time without prior notice. The information provided does not have regard to the specific investment objectives, financial situation or particular needs of any specific person who may read it, and investors should determine for themselves whether a particular service or product is suitable for their investment needs or should seek such professional advice for their particular situation. Please refer to offering documents for further information concerning specific products.
Any reference to a particular company or security is not an endorsement by ARK of that company or security or a recommendation by ARK to purchase or sell such security. For a list of all purchases and sales made by ARK for client accounts during the past year that could be considered by the SEC as recommendations, please contact ARK at email@example.com. It should not be assumed that recommendations made in the future will be profitable or will equal the performance of the securities in this list.
Certain of the statements contained herein may be statements of future expectations, opinions, and other forward-looking statements that are based on ARK’s current views and assumptions and involve known and unknown risks and uncertainties that could cause actual results, performance or events to differ materially from those expressed or implied in such statements. In addition to statements which are forward-looking by reason of context, the words “may, will, should, expects, plans, intends, anticipates, believes, estimates, predicts, potential, or continue” and similar expressions identify forward-looking statements.
The matters discussed herein may also involve risks and uncertainties described from time to time in ARK’s filings with the U.S. Securities and Exchange Commission. The company assumes no obligation to update any forward-looking information contained herein.
As a thematic investor, ARK and its related persons uses online activity as part of its investment research process. As a result, ARK and clients as well as its related persons may (but do not necessarily) have financial interests in securities or issuers that we discuss. However, any discussion of securities or issuers by ARK in such conversations is not a recommendation to buy, sell or hold any particular security.
Past performance is no guarantee of future results. Equities may decline in value due to both real and perceived general market, economic, and industry conditions. The value of investments, and the income from them, can go down as well as up, and you may not recover the amount of your original investment. Any tax benefits referred to on this Site are subject to change and their availability and value will depend on your individual circumstance. Such investments are not deposits or obligations of, or guaranteed or endorsed by, any bank, and are not federally insured or guaranteed by the U.S. government, the FDIC, the Federal Reserve Board or any other agency. Some ARK products may not be available in or appropriate for a retirement savings plan. Please contact your financial adviser about any investment restrictions associated with your particular plan.
Although ARK has taken reasonable care to ensure that the information contained within this Site is accurate, no representation or warranty (including liability towards third parties), expressed or implied, is made as to its accuracy, reliability or completeness by ARK or their contractual partners. Opinions and any other Content are provided by ARK for personal use and informational purposes only and are subject to change without notice. Nothing contained on this Site constitutes investment, legal, tax or other advice and is not to be relied on in making an investment or other decision.
The information and opinions contained on this Site, including hyperlinks or references to other sites, are provided ‘as is’ without any warranty of any kind, either expressed or implied, to the fullest extent permissible pursuant to applicable law. You are responsible for evaluating the adequacy, accuracy, reliability, merchantability, non-infringement, completeness of any information or the content available on the Site or fitness for any particular purpose with respect to the Site or any of its Content. ARK further assumes no responsibility for, and makes no warranties that, functions contained on this Site will be uninterrupted or error-free, that defects will be corrected, or that this Site or the servers that make it available will be free of viruses or other harmful components.
Neither ARK nor any of their respective affiliates, directors, officers, registered representatives or employees, nor any third party vendor, will be liable or have any liability, whether in contract, tort, strict liability or otherwise, for any direct, indirect, incidental, consequential, punitive or special damages arising out of or in any way connected with your access or use or inability to access or use the Site or reliance on the Content, or any failure of performance, interruption, defect, delay in transmission, computer viruses or other harmful components, or line or system failure associated with the site, regardless of our knowledge thereof.
Where applicable law does not permit the limitation of liability, implied warranties or the exclusion or limitation of certain damages set forth above, the aggregate liability of ARK shall not exceed one hundred dollars ($100).
Events Beyond ARK’s Control
You expressly absolve and release ARK and all of its officers, directors, employees, registered representatives, shareholders, legal representatives, attorneys, agents, successors and assigns, from any claim of harm resulting from a cause beyond its control including, but not limited to, the failure of electronic or mechanical equipment or communication lines, telephone or other interconnect problems, computer viruses or software failures, unauthorized access, theft, operator errors, severe weather, earthquakes, or natural disasters, strikes or other labor problems, wars, acts of domestic or foreign terrorism or governmental restrictions. ARK does not warrant that this Site will be available at any time or that your access to this Site will be uninterrupted, timely or free from viruses or other harmful components. [ARK reserves the right to cease operating this website or to terminate your access and use of any part of this Site at any time without notice and for any reason.
Certain hyperlinks or referenced websites on the Site may for your convenience forward you to third parties’ websites, which generally are recognized by their top level domain name. Any descriptions of, references to, or links to other products, publications or services do not constitute an endorsement, authorization, sponsorship by or affiliation with ARK with respect to any linked site or its sponsor, unless expressly stated by ARK. Any such information, products or sites have not necessarily been reviewed by ARK and are provided or maintained by third parties over whom ARK exercises no control. ARK expressly disclaims any responsibility for the content, the accuracy of the information, and/or quality of products or services provided by or advertised on these third-party sites. ARK reserves the right to terminate any hyperlink or hyperlinking program at any time.
Information Submitted By You
In the event that any provision of these terms is held unenforceable, the validity or enforceability of the remaining provisions will not be affected, and the unenforceable provision will be replaced with an enforceable provision that comes close to the intention underlying the unenforceable provision.
Social Media Disclosure
ARK’s social media accounts are run by individual analysts or other ARK team members. Social media posts are not necessarily the opinion of ARK Invest as a whole. As a thematic investor, ARK and its related persons (including Cathie D. Wood), use conversations via social media as part of its investment research process. As a result, ARK and clients as well as its related persons such as Cathie D. Wood may (but do not necessarily) have financial interests in securities or issuers that we discuss. However, any discussion of securities or issuers by ARK or Cathie D. Wood in such conversations is not a recommendation to buy, sell or hold any particular security. For a list of all purchases and sales made by ARK for client accounts during the past year that could be considered by the SEC as recommendations, please contact ARK at firstname.lastname@example.org. It should not be assumed that recommendations made in the future will be profitable or will equal the performance of the securities in this list.
The Adviser did not pay a fee to be considered for or granted the awards. The Adviser did not pay any fee to the grantor of the awards for the right to promote the Adviser’s receipt of the awards nor was the Adviser required to be a member of an organization to be eligible for the awards. See ARK’s full Award Disclosure below. Past performance is not indicative of future performance.
“Women In Finance, Outstanding Contribution” 2016: Number of Nominees: Unknown. Ranking Entity: Markets Media; Length of the period: 12 Months | Criteria on which the ranking is based: Markets Media’s editorial team identifies candidates via online submissions from market participants, including those across the institutional buy side and sell side. Award Page: marketsmedia.com/announcing-the-2016-markets-choice-award-winners/.
Bloomberg 50, 2018: Bloomberg 50, 2018: Bloomberg Businessweek (“Bloomberg”) has published this “Bloomberg 50” list since 2017. According to Bloomberg, the Bloomberg 50 list is based on a survey of Bloomberg’s reporters’ and editors’ recommendations and assessments in the United States and internationally. The criteria for the Bloomberg 50 list is that the individual had to have a major accomplishment in 2018 based on quantitative data. The Bloomberg 50 list is available at: https://www.bloomberg.com/features/2018-bloomberg-50/.
“Fortune’s Investor Roundtable”, 2018: A roundtable of experts selected by the Fortune editorial team in the annual “Fortune Investors Guide: The Best Investing Advice for 2019 From Fortune’s Experts.” http://fortune.com/longform/best-stocks-2019-investorroundtable/.
The Forbes Finance & Investing Person of the Year, 2020: To help select its first annual Forbes Finance & Investing Awards, Forbes consulted David T. Frank, founder of Stonehaven LLC. The Forbes Awards is available here: https://www.forbes.com/sites/antoinegara/2021/12/28/forbes-finance–investing-awards-2020-here-comes-the-biden-bullmarket/?sh=3c18c1605475.
Bloomberg’s Best Stock Picker of 2020: Based on data gathered by Bloomberg and its editorial team. The full article can be found here: https://www.bloomberg.com/opinion/articles/2020-12-31/ark-s-cathie-wood-bets-on-dna-innovators.
“CEO of the Year” by Markets Media 2021. Number of Nominees: Unknown. Ranking Entity: Markets Media; Length of the period: 12 Months | Criteria on which the ranking is based: Markets Media’s editorial team identifies candidates via online submissions from market participants, including those across the institutional buy side and sell side. Award Page: https://www.marketsmedia.com/2021-markets-choice-award-winners-announced/