TIDM0A40 TIDMENT
RNS Number : 8363O
ARK Investment Management LLC
12 October 2021
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1%
OR MORE
Rule 8.3 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Full name of discloser: ARK Investment Management LLC
(b) Owner or controller of interests and short positions N/A
disclosed, if different from 1(a):
The naming of nominee or vehicle companies is
insufficient. For a trust, the trustee(s),
settlor and beneficiaries must be named.
----------------------------------------------------------
(c) Name of offeror/offeree in relation to whose relevant DraftKings Inc
securities this form relates:
Use a separate form for each offeror/offeree
----------------------------------------------------------
(d) If an exempt fund manager connected with an N/A
offeror/offeree, state this and specify identity
of offeror/offeree:
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(e) Date position held/dealing undertaken: 4 October 2021. In addition, ARK Investment Management
For an opening position disclosure, state the latest LLC has dealt on previous dates during
practicable date prior to the disclosure the Offer Period as attached at the end of this form.
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(f) In addition to the company in 1(c) above, is the NO
discloser making disclosures in respect
of any other party to the offer?
If it is a cash offer or possible cash offer, state "N/A"
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2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
If there are positions or rights to subscribe to disclose in
more than one class of relevant securities of the offeror or
offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for
each additional class of relevant security.
(a) Interests and short positions in the relevant securities of
the offeror or offeree to which the disclosure relates following
the dealing (if any)
Class of relevant security: USD 0.0001 class A common
Interests Short positions
-------------------- ------------------
Number % Number %
------------- ------------- ---
(1) Relevant securities owned and/or controlled: 17,970,173 4.42 Nil -
------------- ----- ------------- ---
(2) Cash-settled derivatives: Nil - Nil -
------------- ----- ------------- ---
(3) Stock-settled derivatives (including options) and agreements to
purchase/sell: 8,500 0.01 Nil -
------------- ----- ------------- ---
TOTAL: 17,970,173 * 4.43 Nil -
------------- ----- ------------- ---
* During the offer period, 454,373 USD 0.0001 class A common
shares have been transferred in and 777,556 USD 0.0001 class A
common shares have been transferred out.
All interests and all short positions should be disclosed.
Details of any open stock-settled derivative positions
(including traded options), or agreements to purchase or sell
relevant securities, should be given on a Supplemental Form 8 (Open
Positions).
(b) Rights to subscribe for new securities (including directors' and other employee options)
Class of relevant security in relation to which subscription right exists: N/A
Details, including nature of the rights concerned and relevant percentages: N/A
----
3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE
Where there have been dealings in more than one class of
relevant securities of the offeror or offeree named in 1(c), copy
table 3(a), (b), (c) or (d) (as appropriate) for each additional
class of relevant security dealt in.
The currency of all prices and other monetary amounts should be
stated.
(a) Purchases and sales
Class of relevant security Purchase/sale Number of securities Price per unit
USD 0.0001 class A common Purchase 21 $48.67
--------------- --------------------- ---------------
USD 0.0001 class A common Purchase 50 $48.6763
--------------- --------------------- ---------------
USD 0.0001 class A common Purchase 11 48.7084
--------------- --------------------- ---------------
USD 0.0001 class A common Purchase 1,214 48.86
--------------- --------------------- ---------------
USD 0.0001 class A common Sale 1,641 $48.765
--------------- --------------------- ---------------
USD 0.0001 class A common Sale 350 $48.86
--------------- --------------------- ---------------
(b) Cash-settled derivative transactions
Class of relevant Product description Nature of dealing Number of reference Price per unit
security e.g. CFD e.g. opening/closing a securities
long/short position,
increasing/reducing a
long/short position
N/A N/A N/A N/A N/A
-------------------- ------------------------- ------------------------- ---------------
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of Product Writing, Number of Exercise Type Expiry date Option money
relevant description purchasing, securities price per e.g. paid/
security e.g. call selling, to which unit American, received per
option varying etc. option European unit
relates etc.
N/A N/A N/A N/A N/A N/A N/A N/A
------------- ------------- ------------- -------------- ------------- ------------ -------------
(ii) Exercise
Class of relevant Product description Exercising/ exercised Number of securities Exercise price per
security e.g. call option against unit
N/A N/A N/A N/A N/A
-------------------- ----------------------- --------------------- -----------------------
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
e.g. subscription, conversion
N/A N/A N/A N/A
------------------------------- -------- -------------------------------
4. OTHER INFORMATION
(a) Indemnity and other dealing arrangements
Details of any indemnity or option arrangement, or any agreement or understanding, formal
or informal, relating to relevant securities which may be an inducement to deal or refrain
from dealing entered into by the person making the disclosure and any party to the offer or
any person acting in concert with a party to the offer:
Irrevocable commitments and letters of intent should not be included. If there are no such
agreements, arrangements or understandings, state "none"
None
(b) Agreements, arrangements or understandings relating to options or derivatives
Details of any agreement, arrangement or understanding, formal or informal, between the person
making the disclosure and any other person relating to:
(i) the voting rights of any relevant securities under any option; or
(ii) the voting rights or future acquisition or disposal of any relevant securities to which
any derivative is referenced:
If there are no such agreements, arrangements or understandings, state "none"
None
(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? NO
Date of disclosure: 12 October 2021
Contact name: Harry Skirlis, Compliance Manager
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Telephone number*: +1 (315) 236 4271
----------------------------------
Public disclosures under Rule 8 of the Code must be made to a
Regulatory Information Service.
The Panel's Market Surveillance Unit is available for
consultation in relation to the Code's disclosure requirements on
+44 (0)20 7638 0129.
*If the discloser is a natural person, a telephone number does
not need to be included, provided contact information has been
provided to the Panel's Market Surveillance Unit.
The Code can be viewed on the Panel's website at
www.thetakeoverpanel.org.uk.
Dealing prior to 4 October 2021
Purchases and sales
Date Class of relevant security Purchase/sale Number of securities Price per unit
21 September 2021 USD 0.0001 class A common Purchase 4 $53.7795
---------------------------- --------------- --------------------- ---------------
21 September 2021 USD 0.0001 class A common Purchase 35 $53.7812
---------------------------- --------------- --------------------- ---------------
21 September 2021 USD 0.0001 class A common Purchase 107 $53.7838
---------------------------- --------------- --------------------- ---------------
21 September 2021 USD 0.0001 class A common Purchase 133 $53.4751
---------------------------- --------------- --------------------- ---------------
21 September 2021 USD 0.0001 class A common Purchase 2,855 $54.3092
---------------------------- --------------- --------------------- ---------------
21 September 2021 USD 0.0001 class A common Purchase 82,535 $54.316
---------------------------- --------------- --------------------- ---------------
21 September 2021 USD 0.0001 class A common Sale 34 $53.7668
---------------------------- --------------- --------------------- ---------------
21 September 2021 USD 0.0001 class A common Sale 186 $53.7653
---------------------------- --------------- --------------------- ---------------
21 September 2021 USD 0.0001 class A common Sale 1 $52.8337
---------------------------- --------------- --------------------- ---------------
21 September 2021 USD 0.0001 class A common Sale 144 $56.23
---------------------------- --------------- --------------------- ---------------
22 September 2021 USD 0.0001 class A common Purchase 61 $52.59
---------------------------- --------------- --------------------- ---------------
22 September 2021 USD 0.0001 class A common Purchase 678 $52.66
---------------------------- --------------- --------------------- ---------------
22 September 2021 USD 0.0001 class A common Purchase 19,226 $52.77
---------------------------- --------------- --------------------- ---------------
22 September 2021 USD 0.0001 class A common Purchase 6,400 $52.58
---------------------------- --------------- --------------------- ---------------
22 September 2021 USD 0.0001 class A common Purchase 159,851 $53.00
---------------------------- --------------- --------------------- ---------------
22 September 2021 USD 0.0001 class A common Purchase 73,200 $52.71
---------------------------- --------------- --------------------- ---------------
22 September 2021 USD 0.0001 class A common Purchase 250,000 $52.86
---------------------------- --------------- --------------------- ---------------
22 September 2021 USD 0.0001 class A common Purchase 260,468 $52.69
---------------------------- --------------- --------------------- ---------------
22 September 2021 USD 0.0001 class A common Purchase 19,500 $52.83
---------------------------- --------------- --------------------- ---------------
22 September 2021 USD 0.0001 class A common Purchase 19,216 $52.67
---------------------------- --------------- --------------------- ---------------
22 September 2021 USD 0.0001 class A common Purchase 580 $52.72
---------------------------- --------------- --------------------- ---------------
22 September 2021 USD 0.0001 class A common Purchase 324 $52.44
---------------------------- --------------- --------------------- ---------------
22 September 2021 USD 0.0001 class A common Sale 105 $52.5711
---------------------------- --------------- --------------------- ---------------
22 September 2021 USD 0.0001 class A common Sale 36 $52.5703
---------------------------- --------------- --------------------- ---------------
22 September 2021 USD 0.0001 class A common Sale 34 $52.83
---------------------------- --------------- --------------------- ---------------
22 September 2021 USD 0.0001 class A common Sale 151 $52.77
---------------------------- --------------- --------------------- ---------------
23 September 2021 USD 0.0001 class A common Purchase 75 $52.5
---------------------------- --------------- --------------------- ---------------
23 September 2021 USD 0.0001 class A common Purchase 177 $52.4967
---------------------------- --------------- --------------------- ---------------
23 September 2021 USD 0.0001 class A common Purchase 34 $52.4971
---------------------------- --------------- --------------------- ---------------
23 September 2021 USD 0.0001 class A common Purchase 57 $52.53
---------------------------- --------------- --------------------- ---------------
23 September 2021 USD 0.0001 class A common Purchase 300 $53.1698
---------------------------- --------------- --------------------- ---------------
23 September 2021 USD 0.0001 class A common Purchase 2,322 $53.138
---------------------------- --------------- --------------------- ---------------
23 September 2021 USD 0.0001 class A common Purchase 956 $52.65
---------------------------- --------------- --------------------- ---------------
23 September 2021 USD 0.0001 class A common Purchase 950 $52.695
---------------------------- --------------- --------------------- ---------------
23 September 2021 USD 0.0001 class A common Purchase 11,478 $51.72
---------------------------- --------------- --------------------- ---------------
23 September 2021 USD 0.0001 class A common Sale 40 $52.4908
---------------------------- --------------- --------------------- ---------------
23 September 2021 USD 0.0001 class A common Sale 35 $51.96
---------------------------- --------------- --------------------- ---------------
23 September 2021 USD 0.0001 class A common Sale 121 $51.71
---------------------------- --------------- --------------------- ---------------
24 September 2021 USD 0.0001 class A common Purchase 7,919 $51.60807
---------------------------- --------------- --------------------- ---------------
24 September 2021 USD 0.0001 class A common Purchase 1 $51.4994
---------------------------- --------------- --------------------- ---------------
24 September 2021 USD 0.0001 class A common Purchase 57 $51.495
---------------------------- --------------- --------------------- ---------------
24 September 2021 USD 0.0001 class A common Purchase 37 $51.4989
---------------------------- --------------- --------------------- ---------------
24 September 2021 USD 0.0001 class A common Purchase 5,026 $51.18
---------------------------- --------------- --------------------- ---------------
24 September 2021 USD 0.0001 class A common Sale 2 $51.532
---------------------------- --------------- --------------------- ---------------
24 September 2021 USD 0.0001 class A common Sale 324 $52.09
---------------------------- --------------- --------------------- ---------------
27 September 2021 USD 0.0001 class A common Purchase 1 $50.9159
---------------------------- --------------- --------------------- ---------------
27 September 2021 USD 0.0001 class A common Purchase 59 $50.9226
---------------------------- --------------- --------------------- ---------------
27 September 2021 USD 0.0001 class A common Purchase 11 $50.9284
---------------------------- --------------- --------------------- ---------------
27 September 2021 USD 0.0001 class A common Purchase 91 $50.9259
---------------------------- --------------- --------------------- ---------------
27 September 2021 USD 0.0001 class A common Purchase 1,331 $51.53
---------------------------- --------------- --------------------- ---------------
27 September 2021 USD 0.0001 class A common Purchase 132,205 $51.41
---------------------------- --------------- --------------------- ---------------
27 September 2021 USD 0.0001 class A common Sale 34 $50.9116
---------------------------- --------------- --------------------- ---------------
27 September 2021 USD 0.0001 class A common Sale 3 $51.06
---------------------------- --------------- --------------------- ---------------
27 September 2021 USD 0.0001 class A common Sale 3791 $51.32
---------------------------- --------------- --------------------- ---------------
28 September 2021 USD 0.0001 class A common Purchase 47 $49.8867
---------------------------- --------------- --------------------- ---------------
28 September 2021 USD 0.0001 class A common Purchase 131 $49.89
---------------------------- --------------- --------------------- ---------------
28 September 2021 USD 0.0001 class A common Purchase 13 $49.8943
---------------------------- --------------- --------------------- ---------------
28 September 2021 USD 0.0001 class A common Purchase 43 $49.88
---------------------------- --------------- --------------------- ---------------
28 September 2021 USD 0.0001 class A common Purchase 6 $49.8284
---------------------------- --------------- --------------------- ---------------
28 September 2021 USD 0.0001 class A common Purchase 582 $49.5382
---------------------------- --------------- --------------------- ---------------
28 September 2021 USD 0.0001 class A common Purchase 17 $49.92
---------------------------- --------------- --------------------- ---------------
28 September 2021 USD 0.0001 class A common Purchase 41 $49.79
---------------------------- --------------- --------------------- ---------------
28 September 2021 USD 0.0001 class A common Purchase 8,014 $50.61
---------------------------- --------------- --------------------- ---------------
28 September 2021 USD 0.0001 class A common Purchase 39,163 $50.09
---------------------------- --------------- --------------------- ---------------
28 September 2021 USD 0.0001 class A common Purchase 388,050 $50.15
---------------------------- --------------- --------------------- ---------------
28 September 2021 USD 0.0001 class A common Purchase 5,000 $50.59
---------------------------- --------------- --------------------- ---------------
28 September 2021 USD 0.0001 class A common Purchase 18,993 $49.82
---------------------------- --------------- --------------------- ---------------
28 September 2021 USD 0.0001 class A common Purchase 627 $49.86
---------------------------- --------------- --------------------- ---------------
28 September 2021 USD 0.0001 class A common Purchase 330 $49.73
---------------------------- --------------- --------------------- ---------------
28 September 2021 USD 0.0001 class A common Sale 1,531 $49.8833
---------------------------- --------------- --------------------- ---------------
28 September 2021 USD 0.0001 class A common Sale 92 $49.65
---------------------------- --------------- --------------------- ---------------
28 September 2021 USD 0.0001 class A common Sale 264 $49.78
---------------------------- --------------- --------------------- ---------------
28 September 2021 USD 0.0001 class A common Sale 12 $49.76
---------------------------- --------------- --------------------- ---------------
28 September 2021 USD 0.0001 class A common Sale 1,266 $49.87
---------------------------- --------------- --------------------- ---------------
29 September 2021 USD 0.0001 class A common Purchase 5 $48.2292
---------------------------- --------------- --------------------- ---------------
29 September 2021 USD 0.0001 class A common Purchase 70 $48.2269
---------------------------- --------------- --------------------- ---------------
29 September 2021 USD 0.0001 class A common Purchase 7,068 $48.29
---------------------------- --------------- --------------------- ---------------
29 September 2021 USD 0.0001 class A common Purchase 1,722 $48.25
---------------------------- --------------- --------------------- ---------------
29 September 2021 USD 0.0001 class A common Purchase 1,908 $48.224
---------------------------- --------------- --------------------- ---------------
29 September 2021 USD 0.0001 class A common Purchase 922 $49.609
---------------------------- --------------- --------------------- ---------------
29 September 2021 USD 0.0001 class A common Purchase 4,141 $48.74
---------------------------- --------------- --------------------- ---------------
29 September 2021 USD 0.0001 class A common Purchase 158,095 $49.46
---------------------------- --------------- --------------------- ---------------
29 September 2021 USD 0.0001 class A common Purchase 184,805 $49.84
---------------------------- --------------- --------------------- ---------------
29 September 2021 USD 0.0001 class A common Sale 36 $48.22
---------------------------- --------------- --------------------- ---------------
29 September 2021 USD 0.0001 class A common Sale 6 $48.2237
---------------------------- --------------- --------------------- ---------------
29 September 2021 USD 0.0001 class A common Sale 4 $48.475
---------------------------- --------------- --------------------- ---------------
29 September 2021 USD 0.0001 class A common Sale 389 $48.62
---------------------------- --------------- --------------------- ---------------
30 September 2021 USD 0.0001 class A common Purchase 48 $48.1091
---------------------------- --------------- --------------------- ---------------
30 September 2021 USD 0.0001 class A common Purchase 200 $48.09
---------------------------- --------------- --------------------- ---------------
30 September 2021 USD 0.0001 class A common Purchase 2 $48.59
---------------------------- --------------- --------------------- ---------------
30 September 2021 USD 0.0001 class A common Purchase 54,266 $48.878
---------------------------- --------------- --------------------- ---------------
30 September 2021 USD 0.0001 class A common Sale 82 $48.0106
---------------------------- --------------- --------------------- ---------------
30 September 2021 USD 0.0001 class A common Sale 79 $48.01
---------------------------- --------------- --------------------- ---------------
30 September 2021 USD 0.0001 class A common Sale 450 $48.27
---------------------------- --------------- --------------------- ---------------
1 October 2021 USD 0.0001 class A common Purchase 13 $50.5885
---------------------------- --------------- --------------------- ---------------
1 October 2021 USD 0.0001 class A common Purchase 33 $50.5846
---------------------------- --------------- --------------------- ---------------
1 October 2021 USD 0.0001 class A common Purchase 71 $50.5848
---------------------------- --------------- --------------------- ---------------
1 October 2021 USD 0.0001 class A common Purchase 23 $50.58
---------------------------- --------------- --------------------- ---------------
1 October 2021 USD 0.0001 class A common Purchase 184 $50.5862
---------------------------- --------------- --------------------- ---------------
1 October 2021 USD 0.0001 class A common Purchase 330 $50.659
---------------------------- --------------- --------------------- ---------------
1 October 2021 USD 0.0001 class A common Purchase 5 $50.639
---------------------------- --------------- --------------------- ---------------
1 October 2021 USD 0.0001 class A common Purchase 2,962 $50.73
---------------------------- --------------- --------------------- ---------------
1 October 2021 USD 0.0001 class A common Sale 32 $50.5716
---------------------------- --------------- --------------------- ---------------
1 October 2021 USD 0.0001 class A common Sale 94 $50.57
---------------------------- --------------- --------------------- ---------------
1 October 2021 USD 0.0001 class A common Sale 8 $50.655
---------------------------- --------------- --------------------- ---------------
1 October 2021 USD 0.0001 class A common Sale 161 $50.69
---------------------------- --------------- --------------------- ---------------
Stock-settled derivative transactions (including options) -
Writing, selling, purchasing or varying
Date Class of Product Writing, Number of Exercise Type Expiry Option
relevant description purchasing, securities price per e.g. date money
security e.g. call selling, to which unit American, paid/
option varying etc. option European received
relates etc. per unit
29/09/2021 DKNG Call Option Purchased 1500 105 American 02/01/2023 $1.66
----------- ------------- ------------- ----------- ----------- ---------- ----------- ----------
SUPPLEMENTAL FORM 8 (OPEN POSITIONS)
DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION)
POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.
Note 5(i) on Rule 8 of the Takeover Code (the "Code")
1. KEY INFORMATION
Full name of person making disclosure: ARK Investment Management LLC
Name of offeror/offeree in relation to whose relevant securities the disclosure DraftKings Inc
relates:
------------------------------
2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
Class of Product Written or Number of Exercise price Type Expiry date
relevant description purchased securities to per unit e.g. American,
security e.g. call which option European etc.
option or derivative
relates
DKNG Call Option Purchased 8500 105 American 02/01/2023
---------------- ----------------- --------------- --------------- --------------- ------------
3. AGREEMENTS TO PURCHASE OR SELL ETC.
Full details should be given so that the nature of the
interest or position can be fully understood:
It is not necessary to provide details on a Supplemental Form
(Open Positions) with regard to cash-settled derivatives.
The currency of all prices and other monetary amounts should be
stated.
The Panel's Market Surveillance Unit is available for
consultation in relation to the Code's disclosure requirements on
+44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at
www.thetakeoverpanel.org.uk .
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END
RETUUOORAUURAAA
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