B. Riley Financial’s ARK Innovation ETF ARKK Stock Holding History

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Shares Change %	Capital Flow	Portfolio Weight	Portfolio Position
2018 Q3	–	Sell	-17,432	Closed	-$819K	–	189
2018 Q2	$819K	Buy	+17,432	New	+$819K	0.21%	87
2018 Q1	–	Sell	-15,135	Closed	-$561K	–	287
2017 Q4	$561K	Buy	+15,135	New	+$561K	0.15%	143