NOVARTIS AG

Ticker: NVSEF CUSIP: H5820Q150 Class: COM

ARK Investment Management LLC's Holding History (CIK: 0001697748)

Note: Option positions (PUT/CALL) are excluded.

Q3 2021

Shares 3,621 Value ($000) $298 Avg Close $85.08 Range $75.02 - $90.05

Q2 2021

Shares 4,274,698 Value ($000) $389,457 Avg Close $83.86 Range $77.58 - $89.99

Q1 2021

Shares 7,219,265 Value ($000) $618,936 Avg Close $84.66 Range $77.84 - $92.23

Q4 2020

Shares 2,129,945 Value ($000) $201,778 Avg Close $82.81 Range $73.41 - $90.27

Period	Shares	Value ($000)	Average Close	Price Range
Q3 2021	3,621	$298	$85.08	$75.02 - $90.05
Q2 2021	4,274,698	$389,457	$83.86	$77.58 - $89.99
Q1 2021	7,219,265	$618,936	$84.66	$77.84 - $92.23
Q4 2020	2,129,945	$201,778	$82.81	$73.41 - $90.27