Response to Office Action

PTO Form 1957 (Rev 9/2005)

OMB No. 0651-0050 (Exp. 07/31/2017)

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PTO Form 1957 (Rev 9/2005)

OMB No. 0651-0050 (Exp. 07/31/2017)

Response to Office Action

To the Commissioner for Trademarks:

Application serial no. 86214944 ARK ETF TRUST(Standard Characters, see http://uspto.report/TM/86214944/mark.png) has been amended as follows:

CLASSIFICATION AND LISTING OF GOODS/SERVICES
Applicant proposes to amend the following class of goods/services in the application:
Current: Class 036 for investment advisory and investment management services; operation and management of investment funds, exchange-traded funds, and separately managed accounts for others
Original Filing Basis:
Filing Basis: Section 1(b), Intent to Use: For a trademark or service mark application: As of the application filing date, the applicant had a bona fide intention, and was entitled, to use the mark in commerce on or in connection with the identified goods/services in the application. For a collective trademark, collective service mark, or collective membership mark application: As of the application filing date, the applicant had a bona fide intention, and was entitled, to exercise legitimate control over the use of the mark in commerce by members on or in connection with the identified goods/services/collective membership organization. For a certification mark application: As of the application filing date, the applicant had a bona fide intention, and was entitled, to exercise legitimate control over the use of the mark in commerce by authorized users in connection with the identified goods/services, and the applicant will not engage in the production or marketing of the goods/services to which the mark is applied, except to advertise or promote recognition of the certification program or of the goods/services that meet the certification standards of the applicant.

Proposed:
Tracked Text Description: investment advisory and investment management services; operation and management of investment funds, exchange-traded funds, and separately managed accounts for others; operation and management of investment funds, exchange-traded funds, and separately managed investment accounts for othersClass 036 for investment advisory and investment management services; operation and management of investment funds, exchange-traded funds, and separately managed investment accounts for others
Filing Basis: Section 1(b), Intent to Use: For a trademark or service mark application: As of the application filing date, the applicant had a bona fide intention, and was entitled, to use the mark in commerce on or in connection with the identified goods/services in the application. For a collective trademark, collective service mark, or collective membership mark application: As of the application filing date, the applicant had a bona fide intention, and was entitled, to exercise legitimate control over the use of the mark in commerce by members on or in connection with the identified goods/services/collective membership organization. For a certification mark application: As of the application filing date, the applicant had a bona fide intention, and was entitled, to exercise legitimate control over the use of the mark in commerce by authorized users in connection with the identified goods/services, and the applicant will not engage in the production or marketing of the goods/services to which the mark is applied, except to advertise or promote recognition of the certification program or of the goods/services that meet the certification standards of the applicant.

ADDITIONAL STATEMENTS
Disclaimer
No claim is made to the exclusive right to use ETF Trust apart from the mark as shown.


SIGNATURE(S)
Declaration Signature
Original PDF file:
HS_2041552263-154449461_._ARK_ETF_Trust___signed_declaration.pdf
Converted PDF file(s) (1 page)
Signature File1
Signatory's Name: Catherine D. Wood
Signatory's Position: Chief Executive Officer

Response Signature
Signature: /Jacob Bishop/     Date: 12/16/2014
Signatory's Name: Jacob Bishop
Signatory's Position: Attorney of record, Pennsylvania bar member

The signatory has confirmed that he/she is an attorney who is a member in good standing of the bar of the highest court of a U.S. state, which includes the District of Columbia, Puerto Rico, and other federal territories and possessions; and he/she is currently the applicant's attorney or an associate thereof; and to the best of his/her knowledge, if prior to his/her appointment another U.S. attorney or a Canadian attorney/agent not currently associated with his/her company/firm previously represented the applicant in this matter: (1) the applicant has filed or is concurrently filing a signed revocation of or substitute power of attorney with the USPTO; (2) the USPTO has granted the request of the prior representative to withdraw; (3) the applicant has filed a power of attorney appointing him/her in this matter; or (4) the applicant's appointed U.S. attorney or Canadian attorney/agent has filed a power of attorney appointing him/her as an associate attorney in this matter.

        
Serial Number: 86214944
Internet Transmission Date: Tue Dec 16 15:46:22 EST 2014
TEAS Stamp: USPTO/ROA-XXX.XXX.XXX.X-2014121615462231
5231-86214944-50043777ffe4a62f9634d4035b
561c9064f51e3657791ce833ac169dbeb759fd1-
N/A-N/A-20141216154449461692