Do ARK ETFs use negative screens (SRI)?

Currently, ARK's ETFs do not use negative screens (SRI). In seeking to deliver positive investment outcomes for our clients by providing exposure to disruptive innovation, ARK is committed to maintaining an investment approach that incorporates environmental, social, and corporate governance (“ESG”) in a comprehensive manner. ARK believes that its existing investment philosophy and process inherently considers sustainable investment principles that align with the United Nations Sustainable Development Goals ("SDGs").

Our Investment Process Integration is as follows.

Top-Down Research: From a top-down research perspective, among other factors, ARK aims to analyze how environmental and social considerations enunciated in the seventeen UN SDGs are being addressed by the identified innovation platforms and underlying technologies.

Bottom-Up Research: ARK considers relevant ESG principles in its six-metric scoring system. The first scoring metric, “Company, People, and Culture” addresses Governance, while the fourth and sixth scoring metric, “Product and Service Leadership” and “Thesis Risk”, include Environmental and Social factors. These metrics applied to each of the companies in our universe integrate ESG principles and guide our investment decisions.