Amended Statement of Ownership (sc 13g/a)
October 09 2020 - 01:43PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
__________
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. 1)*
CERUS CORPORATION
(Name of Issuer)
Common
stock
(Title of Class of Securities)
157085101
(CUSIP Number)
April 30, 2020
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which
this Schedule is filed:
x Rule
13d-1(b)
¨ Rule
13d-1(c)
¨ Rule
13d-1(d)
* The remainder of this cover page shall be filled out for a
reporting person’s initial filing on this form with respect to the
subject class of securities, and for any subsequent amendment
containing information which would alter disclosures provided in a
prior cover page.
The information required in the remainder of this cover page shall
not be deemed to be “filed” for the purpose of Section 18 of the
Securities Exchange Act of 1934 (“Act”) or otherwise subject to the
liabilities of that section of the Act but shall be subject to all
other provisions of the Act (however, see the Notes).
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CUSIP
No. 157085101 |
13G |
Page 2 of 5
Pages |
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1. |
NAMES OF REPORTING
PERSONS |
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ARK Investment Management
LLC |
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2. |
CHECK THE APPROPRIATE BOX IF A
MEMBER OF A GROUP |
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(a)☐ |
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(b)☐ |
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3. |
SEC USE ONLY |
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4. |
CITIZENSHIP OR PLACE OF
ORGANIZATION |
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Delaware, United
States |
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NUMBER OF SHARES BENEFICIALLY
OWNED BY EACH REPORTING PERSON WITH |
5. |
SOLE VOTING POWER |
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27,609,324 |
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6. |
SHARED VOTING
POWER |
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616,222 |
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7. |
SOLE DISPOSITIVE
POWER |
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30,000,071 |
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8. |
SHARED DISPOSITIVE
POWER |
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0 |
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9. |
AGGREGATE AMOUNT BENEFICIALLY
OWNED BY EACH REPORTING PERSON |
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30,000,071 |
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10. |
CHECK IF THE AGGREGATE AMOUNT IN
ROW (9) EXCLUDES CERTAIN SHARES |
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☐ |
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11. |
PERCENT OF CLASS REPRESENTED BY
AMOUNT IN ROW (9) |
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18.05% |
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12. |
TYPE OF REPORTING
PERSON |
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IA |
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CUSIP
No. 157085101 |
13G |
Page 3 of 5
Pages |
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Item 1(a) |
Name of issuer: |
Cerus Corporation
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Item 1(b) |
Address of issuer's
principal executive offices: |
1220 Concord Avenue
Concord, CA 94520
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Item 2(a) |
Name of person filing: |
ARK Investment Management LLC
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Item 2(b) |
Address or principal business
office or, if none, residence: |
ARK Investment Management LLC
3 East 28th Street, 7th Floor
New York, NY 10016
Delaware, United States
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Item 2(d) |
Title of class of
securities: |
Common stock
157085101
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Item 3. |
If this statement is filed pursuant to §§ 240.13d-1(b) or
240.13d-2(b) or (c), check whether the person filing is
a: |
(a) [ ] Broker or dealer registered under section 15 of the Act (15
U.S.C. 78o);
(b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C.
78c);
(c) [ ] Insurance company as defined in section 3(a)(19) of the Act
(15 U.S.C. 78c);
(d) [ ] Investment company registered under section 8 of the
Investment Company Act of 1940 (15 U.S.C 80a-8);
(e) [X] An investment adviser in accordance with §
240.13d-1(b)(1)(ii)(E);
(f) [ ] An employee benefit plan or endowment fund in accordance
with § 240.13d-1(b)(1)(ii)(F);
(g) [ ] A parent holding company or control person in accordance
with § 240.13d-1(b)(1)(ii)(G);
(h) [ ] A savings associations as defined in Section 3(b) of the
Federal Deposit Insurance Act (12 U.S.C. 1813);
CUSIP No.
157085101 |
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:
____
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(a) |
Amount beneficially owned: |
18.05%
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(c) |
Number of shares as to which such
person has: |
(i) Sole power to vote or to direct the
vote: 27,609,324
(ii) Shared power to vote or to direct the
vote: 616,222
(iii) Sole power to dispose or to direct the disposition
of: 30,000,071
(iv) Shared power to dispose or to direct the disposition
of: 0
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Item 5. |
Ownership of 5 Percent or Less
of a Class. |
Not applicable.
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Item 6. |
Ownership of More than 5 Percent on Behalf of Another
Person. |
Not applicable.
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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.
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Item 8. |
Identification and Classification of Members of the
Group. |
Not applicable.
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Item 9. |
Notice of Dissolution of Group. |
Not applicable.
CUSIP
No. 157085101 |
13G |
Page 5 of 5
Pages |
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were acquired and are held
in the ordinary course of business and were not acquired and are
not held for the purpose of or with the effect of changing or
influencing the control of the issuer of the securities and were
not acquired and are not held in connection with or as a
participant in any transaction having that purpose or effect, other
than activities solely in connection with a nomination under §
240.14a-11.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this statement
is true, complete and correct.
The reporting persons agree that this statement is filed on behalf
of each of them.
Dated: October 9, 2020
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ARK Investment Management LLC
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By: |
/s/ Kellen Carter |
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Name: Kellen Carter |
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Title: Chief
Compliance Officer |
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