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Livermore
Livermore
ZHEN

Simplex Trading, LLC

SEC CIK
0001488542
Latest filing
Aug 12, 2026

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Oct 28, 2021. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
2,763
−47 vs. Q2 2021
Portfolio value
$2.82B
+$45.9M (+1.7%) vs. Q2 2021
Filed
Oct 28, 2021
SEC
Holdings of Simplex Trading, LLC in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
State Street Communication Services Select Sector SPDR ETF81369Y852ETF2$00.0%00.0%Unchanged–
SXTSensient Technologies CorpCOM10$00.0%00.0%UnchangedHistory
MFGMizuho Financial Group IncSPONSORED ADR210$00.0%00.0%UnchangedHistory
EYENational Vision Holdings, Inc.COM15$00.0%00.0%UnchangedHistory
BCSFBain Capital Specialty Finance, Inc.COM STK40$00.0%00.0%UnchangedHistory
KRGKite Realty Group TrustCOM NEW39$00.0%00.0%UnchangedHistory
HWKNHawkins IncCOM30$00.0%00.0%UnchangedHistory
SCSCScansource, Inc.COM27$00.0%00.0%UnchangedHistory
OBDCBlue Owl Capital CorpCOM64$00.0%00.0%UnchangedHistory
ADCAgree Realty CorpCOM14$00.0%−2−12.5%ReducedHistory
PUKPrudential PLCADR12$00.0%00.0%UnchangedHistory
TRSTrimas CorpCOM NEW31$00.0%00.0%UnchangedHistory
BELFBBel Fuse IncCL B3$00.0%00.0%UnchangedHistory
NPKINPK International Inc.COM SHS100$00.0%00.0%UnchangedHistory
LMNRLimoneira COCOM13$00.0%+13NewHistory
ENICEnel Chile S.A.SPONSORED ADR281$00.0%00.0%UnchangedHistory
BCBPBCB Bancorp IncCOM1$00.0%00.0%UnchangedHistory
CLBKColumbia Financial, Inc.COM4$00.0%00.0%UnchangedHistory
CRVSCorvus Pharmaceuticals, Inc.COM199$00.0%00.0%UnchangedHistory
ELDNEledon Pharmaceuticals, Inc.COM35$00.0%00.0%UnchangedHistory
KTCCKey Tronic CorpCOM80$00.0%00.0%UnchangedHistory
MATWMatthews International CorpCL A15$00.0%00.0%UnchangedHistory
AVOMission Produce, Inc.COM5$00.0%00.0%UnchangedHistory
NEXANexa Resources S.A.COM100$00.0%00.0%UnchangedHistory
NFBKNorthfield Bancorp, Inc.COM36$00.0%00.0%UnchangedHistory
OMEXOdyssey Marine Exploration IncCOM NEW153$00.0%00.0%UnchangedHistory
SGCSuperior Group of Companies, Inc.COM36$00.0%−300−89.3%ReducedHistory
URGNUroGen Pharma Ltd.COM9$00.0%00.0%UnchangedHistory
WRLDWorld Acceptance CorpCOM6$00.0%00.0%UnchangedHistory
Aethlon Med Inc00808Y307COM146$00.0%00.0%Unchanged–
AGFSAgroFresh Solutions, Inc.COM368$00.0%00.0%UnchangedHistory
BXRXBaudax Bio, Inc.COM100$00.0%00.0%UnchangedHistory
BCLIBrainstorm Cell Therapeutics Inc.COM NEW200$00.0%00.0%UnchangedHistory
HONEHarborOne Bancorp, Inc.COM NEW11$00.0%00.0%UnchangedHistory
Hexo Corp428304307COM NEW65$00.0%00.0%Unchanged–
IBIOiBio, Inc.COM NEW402$00.0%−1,100−73.2%ReducedHistory
Liquid Media Group Ltd New53634Q204COM NEW548$00.0%00.0%Unchanged–
Listed FD Tr53656F458ROUNDHILL MVP14$00.0%00.0%Unchanged–
LHDXLucira Health, Inc.COM43$00.0%00.0%UnchangedHistory
MFAMfa Financial, Inc.COM50$00.0%00.0%UnchangedHistory
MRCCMonroe Capital CorpCOM26$00.0%00.0%UnchangedHistory
NMTR9 Meters Biopharma, Inc.COM400$00.0%00.0%UnchangedHistory
PZNPzena Investment Management, Inc.CLASS A87$00.0%00.0%UnchangedHistory
TLSATiziana Life Sciences LtdSPONSORED ADS363$00.0%00.0%UnchangedHistory
TRVNTrevena IncCOM100$00.0%00.0%UnchangedHistory
VOLTVolt Information Sciences, Inc.COM85$00.0%00.0%UnchangedHistory
WNS Hldgs Ltd92932M101SPON ADR6$00.0%00.0%Unchanged–
XFORX4 Pharmaceuticals, IncCOM53$00.0%00.0%UnchangedHistory
KAKineta, Inc.COM43$00.0%+43NewHistory
ProShares Tr74347G556ULTSHT REAL EST29$00.0%00.0%Unchanged–
SNTSenstar Technologies CorpORD3$00.0%+3NewHistory
Pacer US Cash Cows 100 ETF69374H881ETF27$1.00K<0.1%00.0%Unchanged–
State Street SPDR Portfolio Long Term Corporate Bond ETF78464A367ETF40$1.00K<0.1%00.0%Unchanged–
EPACEnerpac Tool Group CorpCL A COM48$1.00K<0.1%00.0%UnchangedHistory
Global X FDS37954Y806ALTERNATIVE INCM100$1.00K<0.1%00.0%Unchanged–
Flexshares Tr33939L837INTL QLTDV IDX63$1.00K<0.1%00.0%Unchanged–
THTarget Hospitality Corp.COM276$1.00K<0.1%−150−35.2%ReducedHistory
CVSACovista Inc.COM52$1.00K<0.1%00.0%UnchangedHistory
TBBKBancorp, Inc.COM85$1.00K<0.1%00.0%UnchangedHistory
UBSIUnited Bankshares IncCOM48$1.00K<0.1%00.0%UnchangedHistory
iShares Tr464287150CORE S&P TTL STK20$1.00K<0.1%00.0%Unchanged–
TTEKTetra Tech IncCOM13$1.00K<0.1%00.0%UnchangedHistory
MBWMMercantile Bank CorpCOM60$1.00K<0.1%00.0%UnchangedHistory
LEALear CorpCOM NEW8$1.00K<0.1%00.0%UnchangedHistory
ITTItt Inc.COM19$1.00K<0.1%00.0%UnchangedHistory
CRWSCrown Crafts IncCOM135$1.00K<0.1%00.0%UnchangedHistory
DLHCDLH Holdings Corp.COM106$1.00K<0.1%00.0%UnchangedHistory
FENCFennec Pharmaceuticals Inc.COM241$1.00K<0.1%00.0%UnchangedHistory
FSPFranklin Street Properties CorpCOM361$1.00K<0.1%00.0%UnchangedHistory
IMNMImmunome Inc.COM100$1.00K<0.1%00.0%UnchangedHistory
LRMRLarimar Therapeutics, Inc.COM157$1.00K<0.1%00.0%UnchangedHistory
LCUTLifetime Brands, IncCOM85$1.00K<0.1%00.0%UnchangedHistory
NLNli Holdings, Inc.COM NEW226$1.00K<0.1%00.0%UnchangedHistory
AAUAFAlmaden Minerals LtdCOM CL B2,200$1.00K<0.1%+500+29.4%AddedHistory
AIRCApartment Income REIT Corp.COM25$1.00K<0.1%00.0%UnchangedHistory
BMAMacro Bank Inc.SPON ADR B100$1.00K<0.1%00.0%UnchangedHistory
Banco Santander Mexico SA05969B103SPONSORED ADS B310$1.00K<0.1%00.0%Unchanged–
BOCHBank of Commerce HoldingsCOM85$1.00K<0.1%00.0%UnchangedHistory
China XD Plastics Co Ltd16948F107COM1,700$1.00K<0.1%00.0%Unchanged–
DSPGDSP Group IncCOM100$1.00K<0.1%00.0%UnchangedHistory
ENGEnglobal CorpCOM426$1.00K<0.1%00.0%UnchangedHistory
EVLOEvelo Biosciences, Inc.COM84$1.00K<0.1%00.0%UnchangedHistory
FFICFlushing Financial CorpCOM60$1.00K<0.1%00.0%UnchangedHistory
GPXGP Strategies CorpCOM111$1.00K<0.1%00.0%UnchangedHistory
GTBPGT Biopharma, Inc.COM NEW67$1.00K<0.1%00.0%UnchangedHistory
AUMNGolden Minerals CoCOM2,100$1.00K<0.1%00.0%UnchangedHistory
HMTVHemisphere Media Group, Inc.CL A100$1.00K<0.1%00.0%UnchangedHistory
HTBKHeritage Commerce CorpCOM107$1.00K<0.1%00.0%UnchangedHistory
LVOLiveOne, Inc.COM NEW261$1.00K<0.1%+261NewHistory
Maverix Metals Inc57776F405COM NEW279$1.00K<0.1%00.0%Unchanged–
PHASPhaseBio Pharmaceuticals IncCOM417$1.00K<0.1%−100−19.3%ReducedHistory
PSTXPoseida Therapeutics, Inc.COM181$1.00K<0.1%+100+123.5%AddedHistory
ProShares Tr74347G739ULTSHRT QQQ68$1.00K<0.1%00.0%Unchanged–
Rise Ed Cayman Ltd76761L102SPONSORED ADR684$1.00K<0.1%00.0%Unchanged–
FLOWSPX FLOW, Inc.COM25$1.00K<0.1%00.0%UnchangedHistory
SGLYSingularity Future Technology Ltd.COM NEW307$1.00K<0.1%00.0%UnchangedHistory
TPTXTurning Point Therapeutics, Inc.COM16$1.00K<0.1%00.0%UnchangedHistory
DSEYDiversey Holdings, Ltd.ORD SHS64$1.00K<0.1%00.0%UnchangedHistory
ASAASA Gold & Precious Metals LtdSHS54$1.00K<0.1%00.0%UnchangedHistory
JRVRJames River Group Holdings, Inc.COM45$1.00K<0.1%00.0%UnchangedHistory

Options (7,026)

Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.

The largest 100 of 7,026 by value.

Option positions of Simplex Trading, LLC in Q3 2021
SecurityClassPutsCalls
SPDR S&P 500 ETF Tr78462F953PUT$12.7B–
SPDR S&P 500 ETF Tr78462F903CALL–$5.55B
Tesla Inc88160R951PUT$5.35B–
Invesco QQQ Tr46090E953PUT$3.86B–
iShares Tr464287957PUT$3.58B–
Tesla Inc88160R901CALL–$3.29B
Amazon Com Inc023135956PUT$2.44B–
Invesco QQQ Tr46090E903UNIT SER 1–$2.40B
Amazon Com Inc023135906CALL–$2.24B
Apple Inc037833900CALL–$2.00B
Apple Inc037833950PUT$1.75B–
iShares Tr464287907CALL–$1.65B
Select Sector SPDR Tr81369Y956PUT$1.00B–
NVIDIA Corporation67066G954PUT$985.7M–
Select Sector SPDR Tr81369Y906CALL–$941.0M
Alibaba Group Hldg Ltd01609W902CALL–$867.5M
Facebook Inc30303M952PUT$860.4M–
GameStop Corp New36467W959PUT$858.2M–
Facebook Inc30303M902CALL–$813.4M
NVIDIA Corporation67066G904CALL–$804.1M
Alphabet Inc02079K955PUT$788.6M–
AMC Entmt Hldgs Inc00165C954PUT$785.7M–
SPDR Gold Tr78463V957GOLD SHS$709.8M–
Microsoft Corp594918954PUT$683.6M–
SPDR Gold Tr78463V907CALL–$646.6M
Alibaba Group Hldg Ltd01609W952PUT$644.6M–
Alphabet Inc02079K905CALL–$611.3M
Microsoft Corp594918904CALL–$571.1M
Netflix Inc64110L956PUT$509.7M–
Netflix Inc64110L906CALL–$449.1M
Advanced Micro Devices Inc007903957PUT$420.4M–
Boeing Co097023905COM–$414.7M
Advanced Micro Devices Inc007903907CALL–$388.1M
SPDR Dow Jones Indl Average78467X909CALL–$328.6M
Salesforce Com Inc79466L902CALL–$323.8M
iShares Silver Tr46428Q909CALL–$316.9M
Salesforce Com Inc79466L952PUT$314.0M–
Square Inc852234953PUT$304.5M–
Boeing Co097023955PUT$304.2M–
Baidu Inc056752908CALL–$265.4M
VanEck Vectors ETF Tr92189F902CALL–$262.8M
SPDR Dow Jones Indl Average78467X959PUT$261.5M–
VanEck Vectors ETF Tr92189F952PUT$259.4M–
Disney Walt Co254687956PUT$258.6M–
AMC Entmt Hldgs Inc00165C904CALL–$249.4M
Micron Technology Inc595112903CALL–$248.5M
NIO Inc62914V956PUT$245.1M–
Baidu Inc056752958PUT$243.6M–
Square Inc852234903CALL–$242.4M
Disney Walt Co254687906CALL–$239.0M
Snap Inc83304A956PUT$238.4M–
ARK ETF Tr00214Q957PUT$226.9M–
Micron Technology Inc595112953PUT$224.7M–
PayPal Hldgs Inc70450Y953PUT$216.3M–
JPMorgan Chase & Co46625H955PUT$215.2M–
Adobe Systems Incorporated00724F951PUT$213.2M–
Shopify Inc82509L957PUT$210.7M–
Citigroup Inc172967954PUT$208.7M–
Intel Corp458140900CALL–$206.7M
Visa Inc92826C909CALL–$206.6M
PayPal Hldgs Inc70450Y903CALL–$204.8M
Roku Inc77543R952PUT$201.8M–
Qualcomm Inc747525953PUT$201.5M–
GameStop Corp New36467W909CALL–$199.8M
Roku Inc77543R902CALL–$194.5M
JPMorgan Chase & Co46625H905CALL–$193.4M
Mastercard Incorporated57636Q904CALL–$189.5M
Shopify Inc82509L907CALL–$189.0M
Zoom Video Communications IN98980L951PUT$183.2M–
ProShares Tr74347X900CALL–$180.0M
Airbnb Inc009066901CALL–$179.5M
Visa Inc92826C959PUT$178.4M–
FedEx Corp31428X906CALL–$176.0M
Walmart Inc931142903CALL–$175.3M
Mastercard Incorporated57636Q954PUT$173.0M–
NIO Inc62914V906CALL–$172.9M
SPDR Ser Tr78464A958PUT$169.9M–
Citigroup Inc172967904CALL–$166.3M
Viacomcbs Inc92556H906CALL–$165.6M
FedEx Corp31428X956PUT$164.5M–
Goldman Sachs Group Inc38141G954PUT$163.3M–
iShares Tr464288955PUT$161.9M–
Nike Inc654106903CALL–$160.6M
Jd.com Inc47215P906CALL–$160.1M
BK of America Corp060505954PUT$159.0M–
Walmart Inc931142953PUT$156.8M–
iShares Inc464286951PUT$156.6M–
Intel Corp458140950PUT$155.3M–
Chipotle Mexican Grill Inc169656955PUT$153.4M–
Qualcomm Inc747525903CALL–$153.1M
ProShares Tr74347X950PUT$150.3M–
Moderna Inc60770K957PUT$143.7M–
Adobe Systems Incorporated00724F901CALL–$143.0M
Zoom Video Communications IN98980L901CALL–$140.9M
Costco WHSL Corp New22160K905CALL–$140.9M
Broadcom Inc11135F951PUT$140.6M–
Airbnb Inc009066951PUT$140.0M–
Coinbase Global Inc19260Q957PUT$137.4M–
Twitter Inc90184L902CALL–$135.2M
Target Corp87612E956PUT$131.7M–

Sold out since Q2 2021 (108)

Positions held at the end of Q2 2021 that are gone from this filing.

The largest 100 of 108 by value last quarter.

Positions of Simplex Trading, LLC sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
AMZNAmazon Com IncStock2,761$9.50M0.3%History
SPYSPDR S&P 500 ETF TrustETF20,467$8.76M0.3%History
Moxian Inc624697306COM337,513$7.52M0.3%–
WORKSlack Technologies, Inc.COM CL A116,357$5.15M0.2%History
ALXNAlexion Pharmaceuticals, Inc.COM18,712$3.44M0.1%History
Tuscan Hldgs Corp90069K104COM209,614$2.86M0.1%–
iShares Tr464287234MSCI EMG MKT ETF51,112$2.82M0.1%–
Lightspeed Pos Inc53227R106SUB VTG SHS20,588$1.72M0.1%–
AHTAshford Hospitality Trust IncCOM SHS344,776$1.57M0.1%History
PEPPepsiCo IncStock10,526$1.56M0.1%History
Tortoise Acquisition Corp IIG89554102COM CL A145,590$1.46M0.1%–
Apex Technology Acquisition03768F102COM CL A118,738$1.45M0.1%–
Decarbonization Plus Acqu Co242797108COM CL A114,594$1.18M<0.1%–
BBWIBath & Body Works, Inc.COM14,522$1.05M<0.1%History
ETNEaton Corp plcStock6,109$905.0K<0.1%History
HOMEAt Home Group Inc.COM23,998$884.0K<0.1%History
CRWDCrowdStrike Holdings, Inc.Stock2,535$637.0K<0.1%History
BNSBank of Nova ScotiaCOM9,755$634.0K<0.1%History
Software Acquisitn Grup Inc83407F101COM CL A55,994$557.0K<0.1%–
Churchill Capital Corp IV171439102CL A19,079$549.0K<0.1%–
PQ Group Hldgs Inc73943T103COM34,117$524.0K<0.1%–
Qell Acquisition CorpG7307X105CL A50,612$503.0K<0.1%–
STZConstellation Brands, Inc.Stock1,559$364.0K<0.1%History
OneG7000X105COM CL A34,538$344.0K<0.1%–
Holicity Inc435063102COM CL A27,491$339.0K<0.1%–
BFHBread Financial Holdings, Inc.COM3,119$324.0K<0.1%History
PDACPeridot Acquisition Corp.SHS CL A21,491$261.0K<0.1%History
Rice Acquisition Corp762594109COM CL A14,050$253.0K<0.1%–
Stable RD Acquisition Corp85236Q109COM CL A17,832$249.0K<0.1%–
TWC Tech Hldgs II Corp90117G105COM24,936$247.0K<0.1%–
DBCInvesco DB Commodity Index Tracking FundUNIT12,154$233.0K<0.1%History
Climate Change Crisis Real I18716C100CL A COM13,140$197.0K<0.1%–
HASHasbro, Inc.COM1,948$184.0K<0.1%History
Capitol Investment Corp V14064F100COM CL A16,507$164.0K<0.1%–
LMNXLuminex CorpCOM4,227$155.0K<0.1%History
MSG Network Inc553573106CL A10,316$150.0K<0.1%–
SWISolarWinds CorpCOM8,782$148.0K<0.1%History
KNLKnoll IncCOM NEW5,109$132.0K<0.1%History
WRIWeingarten Realty InvestorsSH BEN INT4,018$128.0K<0.1%History
UPWheels Up Experience Inc.COM12,636$126.0K<0.1%History
LPROOpen Lending CorpCOM2,859$123.0K<0.1%History
PRAHPRA Health Sciences, Inc.COM705$116.0K<0.1%History
OPFIOppFi Inc.COM10,428$106.0K<0.1%History
KPLTKatapult Holdings, Inc.COM9,498$102.0K<0.1%History
HRLHormel Foods CorpCOM2,047$97.0K<0.1%History
RNGRingCentral, Inc.CL A304$88.0K<0.1%History
Brookfield Ppty REIT Inc11282X103CL A4,594$86.0K<0.1%–
CM Life Sciences Inc18978W109COM CL A6,018$84.0K<0.1%–
RMDResmed IncCOM330$81.0K<0.1%History
CASHPathward Financial, Inc.COM1,606$81.0K<0.1%History
Property Solutions Acquisiti74348Q108COM4,928$76.0K<0.1%–
DGXQuest Diagnostics IncCOM561$74.0K<0.1%History
BMBLBumble Inc.COM CL A1,285$74.0K<0.1%History
AVTXAvalo Therapeutics, Inc.COM21,471$70.0K<0.1%History
ALTAltimmune, Inc.COM NEW6,985$68.0K<0.1%History
HIBBHibbett IncCOM732$65.0K<0.1%History
Soaring Eagle Acquisition CoG8354H126CL A SHS6,221$61.0K<0.1%–
ALCAlcon IncStock859$60.0K<0.1%History
Via Renewables, Inc.846511103CL A COM4,726$53.0K<0.1%–
VEONVEON Ltd.SPONSORED ADR29,317$53.0K<0.1%History
Auris Medical Holding LtdG07025201SHS13,373$47.0K<0.1%–
D8 Holdings CorpG2614K110SHS CL A3,657$36.0K<0.1%–
NVVENuvve Holding Corp.COM2,541$35.0K<0.1%History
Brookfield Property Partrs LG16249107UNIT LTD PARTN1,851$35.0K<0.1%–
QVCGAOld QVC Group, Inc.COM SER A2,506$32.0K<0.1%History
JAZZJazz Pharmaceuticals plcSHS USD177$31.0K<0.1%History
ETDEthan Allen Interiors IncCOM1,090$30.0K<0.1%History
SPRTSupport.com, Inc.COM NEW7,880$30.0K<0.1%History
NOGNorthern Oil & Gas, Inc.COM1,425$29.0K<0.1%History
GPRKGeoPark LtdUSD SHS2,339$29.0K<0.1%History
HPEHewlett Packard Enterprise CoCOM1,660$24.0K<0.1%History
GTT Communications, Inc.362393100COM9,272$22.0K<0.1%–
DBRGDigitalBridge Group, Inc.CL A COM2,789$22.0K<0.1%History
CDRCedar Realty Trust, Inc.COM NEW1,272$21.0K<0.1%History
DKLDelek Logistics Partners, LPCOM UNT RP INT479$20.0K<0.1%History
CPLGCorePoint Lodging Inc.COM1,594$17.0K<0.1%History
Altimeter Growth Corp 2G0371B109COM CL A1,753$17.0K<0.1%–
ETREntergy CorpCOM154$15.0K<0.1%History
NGLNGL Energy Partners LPCOM UNIT REPST6,049$14.0K<0.1%History
CORECore-Mark Holding Company, LLCCOM293$13.0K<0.1%History
HOMBHome Bancshares IncCOM490$12.0K<0.1%History
Diamond S Shipping Inc.Y20676105COM1,202$11.0K<0.1%–
ACGLArch Capital Group Ltd.Stock278$10.0K<0.1%History
FRGIFiesta Restaurant Group, Inc.COM804$10.0K<0.1%History
LTCHLatch, Inc.COM824$10.0K<0.1%History
BRXBrixmor Property Group Inc.COM380$8.00K<0.1%History
MMLPMartin Midstream Partners L.P.UNIT L P INT2,684$8.00K<0.1%History
WMGWarner Music Group Corp.COM CL A217$7.00K<0.1%History
AMCXAMC Global Media Inc.CL A115$7.00K<0.1%History
SPROSpero Therapeutics, Inc.COM507$7.00K<0.1%History
Petrochina Co Ltd71646E100SPONSORED ADR158$7.00K<0.1%–
Portman Ridge Fin Corp73688F102COM3,256$7.00K<0.1%–
DANDANA IncCOM258$6.00K<0.1%History
Rodgers Silicon Valley Aq Co774873103COM221$5.00K<0.1%–
TALKTalkspace, Inc.COM500$4.00K<0.1%History
PCSBPCSB Financial CorpCOM211$3.00K<0.1%History
KPTIKaryopharm Therapeutics Inc.COM284$2.00K<0.1%History
New Sr Invt Group Inc648691103COM334$2.00K<0.1%–
IBCPIndependent Bank CorpCOM NEW73$1.00K<0.1%History
Catabasis Pharmaceuticals IN14875P206COM NEW474$1.00K<0.1%–