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Livermore
Livermore
ZHEN

Simplex Trading, LLC

SEC CIK
0001488542
Latest filing
Aug 12, 2026

Holdings in Q4 2021

Holdings as of Dec 31, 2021, filed Feb 23, 2022. Long positions only; changes compare share counts with Q3 2021.

Institution overview
Positions
2,974
+211 vs. Q3 2021
Portfolio value
$3.05B
+$234.5M (+8.3%) vs. Q3 2021
Filed
Feb 23, 2022
AmendedSEC
Holdings of Simplex Trading, LLC in Q4 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
DCODucommun IncCOM32$1.00K<0.1%−1,268−97.5%ReducedHistory
IBCPIndependent Bank CorpCOM NEW64$1.00K<0.1%+64NewHistory
GMABGenmab A/SSPONSORED ADS38$1.00K<0.1%−1,964−98.1%ReducedHistory
ROADConstruction Partners, Inc.COM CL A68$1.00K<0.1%−17,871−99.6%ReducedHistory
KRGKite Realty Group TrustCOM NEW89$1.00K<0.1%+50+128.2%AddedHistory
CTOSCustom Truck One Source, Inc.COM CL A200$1.00K<0.1%+200NewHistory
Invesco Exch Traded FD Tr II46138G847GBL CLEAN ENRG67$1.00K<0.1%+67New–
DTMDT Midstream, Inc.COMMON STOCK34$1.00K<0.1%+34NewHistory
PUKPrudential PLCADR54$1.00K<0.1%+42+350.0%AddedHistory
XHRXenia Hotels & Resorts, Inc.COM92$1.00K<0.1%+92NewHistory
GEFGreif, IncCL A17$1.00K<0.1%+17NewHistory
iShares Tr464287630RUS 2000 VAL ETF7$1.00K<0.1%+7New–
WKCWorld Kinect CorpCOM52$1.00K<0.1%+52NewHistory
ADMAAdma Biologics, Inc.COM1,417$1.00K<0.1%−181,779−99.2%ReducedHistory
ADCTADC Therapeutics SASHS89$1.00K<0.1%+89NewHistory
APAmpco Pittsburgh CorpCOM224$1.00K<0.1%−826−78.7%ReducedHistory
CDZICadiz IncCOM NEW435$1.00K<0.1%−25,181−98.3%ReducedHistory
CMRCCommerce.com, Inc.COM SER 155$1.00K<0.1%−63,984−99.9%ReducedHistory
DHXDhi Group, Inc.COM205$1.00K<0.1%+205NewHistory
EGANEGAIN CorpCOM NEW143$1.00K<0.1%−8,915−98.4%ReducedHistory
IQiQIYI, Inc.SPONSORED ADS300$1.00K<0.1%−370,320−99.9%ReducedHistory
KWYKINGSWAY CorpCOM NEW344$1.00K<0.1%+344NewHistory
PEBOPeoples Bancorp IncCOM40$1.00K<0.1%+40NewHistory
RGNXREGENXBIO Inc.COM31$1.00K<0.1%+31NewHistory
URGNUroGen Pharma Ltd.COM199$1.00K<0.1%+190+2,111.1%AddedHistory
XBITXBiotech Inc.COM146$1.00K<0.1%−9,129−98.4%ReducedHistory
Alps ETF Tr00162Q478DISRUPTIVE TECH34$1.00K<0.1%+34New–
AGFSAgroFresh Solutions, Inc.COM785$1.00K<0.1%+417+113.3%AddedHistory
BMTCBryn Mawr Bank CorpCOM31$1.00K<0.1%+31NewHistory
BFIBurgerFi International, Inc.COM270$1.00K<0.1%−17,290−98.5%ReducedHistory
CCLPCSI Compressco LPCOM UNIT1,143$1.00K<0.1%−2,779−70.9%ReducedHistory
CalAmp Corp.128126109COM152$1.00K<0.1%−388−71.9%Reduced–
Cambria ETF Tr132061821CANNABIS ETF157$1.00K<0.1%+157New–
CTXRCitius Pharmaceuticals, Inc.COM NEW794$1.00K<0.1%−23,111−96.7%ReducedHistory
Copel-ADR20441B605ADR310$1.00K<0.1%−77−19.9%Reduced–
CAPLCrossAmerica Partners LPUT LTD PTN INT87$1.00K<0.1%−878−91.0%ReducedHistory
CYBECyberoptics CorpCOM38$1.00K<0.1%−1,817−98.0%ReducedHistory
Direxion Shs ETF Tr25460E273DAILY LATIN AMER26$1.00K<0.1%+26New–
ROIIRiskOn International, Inc.Common Stock646$1.00K<0.1%+646NewHistory
CHRNChronoScale Holdings CorpCOM739$1.00K<0.1%−5,523−88.2%ReducedHistory
EVAXEvaxion A/SADS400$1.00K<0.1%+400NewHistory
EVOKEvoke Pharma IncCOM2,342$1.00K<0.1%+2,342NewHistory
DMRADamora Therapeutics, Inc.COM554$1.00K<0.1%+554NewHistory
Global X FDS37954Y228CLEANTECH ETF68$1.00K<0.1%−32−32.0%Reduced–
RPTRithm Property Trust Inc.COM121$1.00K<0.1%+121NewHistory
DNTHDianthus Therapeutics, Inc.COM337$1.00K<0.1%+337NewHistory
Managed Portfolio Series56167N720TORTOISE NRAM PI86$1.00K<0.1%+86New–
MTCRMetacrine, Inc.COM2,462$1.00K<0.1%+2,462NewHistory
ZEUSOlympic Steel IncCOM85$1.00K<0.1%−2,355−96.5%ReducedHistory
OPTNOptiNose, Inc.COM1,059$1.00K<0.1%+1,059NewHistory
VIVSVivoSim Labs, INC.COM NEW368$1.00K<0.1%+368NewHistory
PAMPampa Energy Inc.SPONS ADR LVL I68$1.00K<0.1%+68NewHistory
ProShares Tr74347X302MSCI EMRG ETF21$1.00K<0.1%−2,750−99.2%Reduced–
ProShares Tr74347X658SHT FTSE CHIN 50100$1.00K<0.1%+100New–
Puxin Ltd74704P108ADS3,574$1.00K<0.1%−25,118−87.5%Reduced–
SHYFShyft Group, Inc.COM38$1.00K<0.1%+38NewHistory
SGTXSigilon Therapeutics, Inc.COM554$1.00K<0.1%+554NewHistory
SYRSSyros Pharmaceuticals, Inc.COM385$1.00K<0.1%−44,732−99.1%ReducedHistory
TISITeam IncCOM1,007$1.00K<0.1%−1,676−62.5%ReducedHistory
VIRXViracta Therapeutics, Inc.COM474$1.00K<0.1%+474NewHistory
ZUOZuora IncCOM CL A100$1.00K<0.1%−3,900−97.5%ReducedHistory
BIOXBioceres Crop Solutions Corp.SHS129$1.00K<0.1%−15−10.4%ReducedHistory
SES AI CorpG4R87P114COM CL A198$1.00K<0.1%+198New–
Global X FDS37960A875BLOCKCHAIN & BIT100$1.00K<0.1%+100New–
Fidelity MSCI Energy Index ETF316092402ETF182$2.00K<0.1%+182New–
Pacer Trendpilot 100 ETF69374H303ETF40$2.00K<0.1%+40New–
Vanguard Emerging Markets Government Bond ETF921946885ETF31$2.00K<0.1%+31New–
SGRYSurgery Partners, Inc.Stock50$2.00K<0.1%+50NewHistory
ANABAnaptysbio, IncCOM85$2.00K<0.1%−558−86.8%ReducedHistory
ARQTArcutis Biotherapeutics, Inc.COM142$2.00K<0.1%+142NewHistory
Townebank Portsmouth Va89214P109COM79$2.00K<0.1%+79New–
WisdomTree Tr97717W604US SMALLCAP DIVD89$2.00K<0.1%+89New–
WLDNWilldan Group, Inc.COM70$2.00K<0.1%+70NewHistory
SANMSanmina CorpCOM49$2.00K<0.1%+49NewHistory
NGVCNatural Grocers by Vitamin Cottage, Inc.COM143$2.00K<0.1%+143NewHistory
HRTGHeritage Insurance Holdings, Inc.COM506$2.00K<0.1%−33,036−98.5%ReducedHistory
MUFGMitsubishi Ufj Financial Group IncSPONSORED ADS531$2.00K<0.1%−3,369−86.4%ReducedHistory
WHDCactus, Inc.CL A73$2.00K<0.1%−40−35.4%ReducedHistory
HCKTHackett Group, Inc.COM105$2.00K<0.1%+105NewHistory
EOSEEos Energy Enterprises, Inc.COM CL A342$2.00K<0.1%−6,026−94.6%ReducedHistory
VPGVishay Precision Group, Inc.COM71$2.00K<0.1%+71NewHistory
UGPUltrapar Holdings IncSP ADR REP COM812$2.00K<0.1%−32,908−97.6%ReducedHistory
Fidelity Comwlth Tr315912808NASDAQ COMPSIT34$2.00K<0.1%−166−83.0%Reduced–
First Tr Exchange-Traded FD33734X838INDXX NAT RE ETF165$2.00K<0.1%−379−69.7%Reduced–
CUBICustomers Bancorp, Inc.COM40$2.00K<0.1%−12−23.1%ReducedHistory
iShares Tr46435G243ESG AWRE 1 5 YR90$2.00K<0.1%+90New–
ACHVAchieve Life Sciences, Inc.COM341$2.00K<0.1%+341NewHistory
AEYEAudioeye IncCOM NEW321$2.00K<0.1%+321NewHistory
AWREAware IncCOM714$2.00K<0.1%−665−48.2%ReducedHistory
GWRSGlobal Water Resources, Inc.COM160$2.00K<0.1%+160NewHistory
IVVDInvivyd, Inc.COM315$2.00K<0.1%+315NewHistory
SWIMLatham Group, Inc.COM105$2.00K<0.1%−404−79.4%ReducedHistory
RCMTRCM Technologies, Inc.COM NEW282$2.00K<0.1%−4,977−94.6%ReducedHistory
TRAKReposiTrak, Inc.COM NEW435$2.00K<0.1%−2,314−84.2%ReducedHistory
WABCWestamerica BancorporationCOM46$2.00K<0.1%−1,343−96.7%ReducedHistory
WHWKWhitehawk Therapeutics, Inc.COM100$2.00K<0.1%+100NewHistory
APTOAptose Biosciences Inc.COM NEW1,776$2.00K<0.1%−18,956−91.4%ReducedHistory
Arrow ETF Tr04273H104ARROW DJ GLB YLD200$2.00K<0.1%+200New–
Avidity Biosciences, Inc.05370A108COM88$2.00K<0.1%+88New–
GRNBarclays Bank PLCETN 4965$2.00K<0.1%+65NewHistory

Options (7,464)

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 7,464 by value.

Option positions of Simplex Trading, LLC in Q4 2021
SecurityClassPutsCalls
SPDR S&P 500 ETF Tr78462F953PUT$6.86B–
Tesla Inc88160R901CALL–$4.30B
SPDR S&P 500 ETF Tr78462F903CALL–$3.81B
Tesla Inc88160R951PUT$3.79B–
iShares Tr464287957PUT$2.95B–
Invesco QQQ Tr46090E953PUT$2.81B–
Amazon Com Inc023135956PUT$2.21B–
Invesco QQQ Tr46090E903UNIT SER 1–$2.12B
Apple Inc037833900CALL–$1.99B
Apple Inc037833950PUT$1.95B–
iShares Tr464287907CALL–$1.93B
Amazon Com Inc023135906CALL–$1.80B
Select Sector SPDR Tr81369Y956PUT$1.50B–
NVIDIA Corporation67066G954PUT$1.04B–
Facebook Inc30303M902CALL–$940.8M
Facebook Inc30303M952PUT$889.2M–
NVIDIA Corporation67066G904CALL–$817.9M
Select Sector SPDR Tr81369Y906CALL–$801.6M
Alphabet Inc02079K955PUT$770.3M–
Microsoft Corp594918954PUT$764.8M–
Alphabet Inc02079K905CALL–$692.1M
Microsoft Corp594918904CALL–$648.7M
Advanced Micro Devices Inc007903957PUT$635.5M–
Netflix Inc64110L956PUT$545.2M–
Alibaba Group Hldg Ltd01609W902CALL–$500.9M
Advanced Micro Devices Inc007903907CALL–$488.6M
SPDR Gold Tr78463V957GOLD SHS$446.9M–
PayPal Hldgs Inc70450Y903CALL–$407.9M
SPDR Gold Tr78463V907CALL–$389.7M
Boeing Co097023905COM–$374.5M
Chipotle Mexican Grill Inc169656955PUT$363.5M–
Alibaba Group Hldg Ltd01609W952PUT$353.9M–
SPDR Dow Jones Indl Average78467X959PUT$309.9M–
Netflix Inc64110L906CALL–$296.7M
Salesforce Com Inc79466L952PUT$295.0M–
VanEck Vectors ETF Tr92189F902CALL–$294.6M
Vanguard Index FDS922908959PUT$293.4M–
GameStop Corp New36467W959PUT$292.8M–
JPMorgan Chase & Co46625H955PUT$288.4M–
Micron Technology Inc595112953PUT$287.6M–
iShares Tr464288955PUT$285.6M–
Boeing Co097023955PUT$283.0M–
Qualcomm Inc747525953PUT$278.3M–
PayPal Hldgs Inc70450Y953PUT$277.4M–
AutoZone Inc053332952PUT$277.4M–
Square Inc852234953PUT$277.2M–
Pfizer Inc717081903CALL–$274.7M
Adobe Systems Incorporated00724F951PUT$274.6M–
Disney Walt Co254687906CALL–$270.9M
SPDR Ser Tr78464A958PUT$267.7M–
Citigroup Inc172967904CALL–$256.8M
VanEck Vectors ETF Tr92189F952PUT$255.5M–
Disney Walt Co254687956PUT$253.9M–
ProShares Tr74347X950PUT$253.6M–
SPDR Dow Jones Indl Average78467X909CALL–$252.2M
Broadcom Inc11135F951PUT$246.2M–
Salesforce Com Inc79466L902CALL–$246.2M
JPMorgan Chase & Co46625H905CALL–$235.7M
Visa Inc92826C909CALL–$234.1M
Home Depot Inc437076952PUT$229.3M–
Moderna Inc60770K907CALL–$226.6M
Walmart Inc931142903CALL–$224.4M
Shopify Inc82509L957PUT$221.9M–
BK of America Corp060505954PUT$213.1M–
Costco WHSL Corp New22160K905CALL–$211.0M
SPDR Ser Tr78464A908CALL–$208.5M
Micron Technology Inc595112903CALL–$207.6M
Citigroup Inc172967954PUT$202.2M–
Berkshire Hathaway Inc Del084670952PUT$198.0M–
Taiwan Semiconductor Mfg Ltd874039950PUT$196.8M–
Visa Inc92826C959PUT$196.6M–
Pfizer Inc717081953PUT$196.1M–
Chipotle Mexican Grill Inc169656905CALL–$195.6M
Goldman Sachs Group Inc38141G954PUT$194.4M–
Intel Corp458140900CALL–$192.5M
Airbnb Inc009066951PUT$190.7M–
Goldman Sachs Group Inc38141G904CALL–$187.4M
BK of America Corp060505904CALL–$184.9M
Cisco Sys Inc17275R902CALL–$183.0M
iShares Silver Tr46428Q909CALL–$181.8M
Nike Inc654106953PUT$172.7M–
Ford MTR Co Del345370950PUT$171.0M–
Merck & Co. Inc58933Y905CALL–$170.2M
AT&T Inc00206R902CALL–$169.9M
Uber Technologies Inc90353T900CALL–$165.0M
Coinbase Global Inc19260Q907CALL–$163.6M
Square Inc852234903CALL–$163.1M
Target Corp87612E956PUT$162.8M–
Costco WHSL Corp New22160K955PUT$160.8M–
Intuit461202953PUT$160.4M–
Coinbase Global Inc19260Q957PUT$159.0M–
Applied Matls Inc038222955PUT$156.3M–
Procter and Gamble Co742718959PUT$154.1M–
Mercadolibre Inc58733R902CALL–$153.7M
ProShares Tr74347X900CALL–$153.7M
UnitedHealth Group Inc91324P952PUT$153.5M–
Adobe Systems Incorporated00724F901CALL–$152.8M
Qualcomm Inc747525903CALL–$152.2M
Morgan Stanley617446958PUT$151.3M–
Mastercard Incorporated57636Q954PUT$151.3M–

Sold out since Q3 2021 (983)

Positions held at the end of Q3 2021 that are gone from this filing.

The largest 100 of 983 by value last quarter.

Positions of Simplex Trading, LLC sold out since Q3 2021
SecurityClassShares in Q3 2021Value in Q3 2021% of portfolio in Q3 2021History
CCLCarnival Corp Ltd.UNIT 99/99/99991,428,103$37.6M1.3%History
ContextLogic Inc.21077C107COM CL A1,789,178$21.9M0.8%–
MSTRStrategy IncStock28,179$18.3M0.7%History
iShares MSCI Eafe ETF464287465ETF180,666$14.3M0.5%–
WYNNWynn Resorts LtdCOM98,719$12.1M0.4%History
EXPEExpedia Group, Inc.Stock53,062$8.86M0.3%History
MSMorgan StanleyStock95,934$8.83M0.3%History
iShares Tr464287739U.S. REAL ES ETF81,007$8.29M0.3%–
DDOGDatadog, Inc.CL A COM77,946$8.15M0.3%History
SPDR Series Trust78468R556SP O&G EXPL PRO82,177$8.13M0.3%–
VVisa Inc.Stock34,291$8.06M0.3%History
MOAltria Group, Inc.Stock162,316$7.76M0.3%History
AONAon plcCL A31,923$7.62M0.3%History
ABTSAbits Group IncORDINARY SHARES338,761$7.53M0.3%History
iShares Tr464288513IBOXX HI YD ETF84,844$7.46M0.3%–
WMTWalmart Inc.Stock52,635$7.33M0.3%History
CSCOCisco Systems, Inc.Stock129,467$6.92M0.2%History
KOCoca Cola CoStock122,431$6.61M0.2%History
AAAlcoa CorpStock177,578$6.56M0.2%History
Direxion Shs ETF Tr25459W847DLY SMCAP BULL3X64,011$6.43M0.2%–
iShares Tr464287515EXPANDED TECH16,169$6.31M0.2%–
CATCaterpillar IncStock24,701$5.35M0.2%History
NRGNRG Energy, Inc.Stock127,329$5.16M0.2%History
ALGNAlign Technology IncCOM8,159$5.05M0.2%History
CBOECboe Global Markets, Inc.COM39,143$4.64M0.2%History
State Street SPDR S&P Biotech ETF78464A870ETF33,018$4.57M0.2%–
VXXBarclays Bank PLCETF152,213$4.41M0.2%History
MRSHMarsh & McLennan Companies, Inc.Stock30,377$4.32M0.2%History
NETCloudflare, Inc.CL A COM40,516$4.23M0.2%History
TIGRUP Fintech Holding LtdSPONSORED ADS159,985$4.19M0.1%History
FICOFair Isaac CorpCOM8,097$4.05M0.1%History
TJXTJX Companies IncStock56,490$3.83M0.1%History
FANGDiamondback Energy, Inc.Stock38,355$3.82M0.1%History
UNPUnion Pacific CorpStock17,084$3.82M0.1%History
BRK.BBerkshire Hathaway IncStock11,976$3.35M0.1%History
RLRalph Lauren CorpCL A27,849$3.29M0.1%History
DVDoubleVerify Holdings, Inc.COM78,178$3.24M0.1%History
MVISMicrovision, Inc.COM NEW189,368$3.10M0.1%History
ETF Managers Tr26924G102PRIME JUNIR SLVR203,698$3.08M0.1%–
CVSCVS Health CorpStock37,397$3.07M0.1%History
PHParker-Hannifin CorpStock9,920$3.04M0.1%History
State Street Consumer Staples Select Sector SPDR ETF81369Y308ETF39,541$2.76M0.1%–
ALNYAlnylam Pharmaceuticals, Inc.COM15,991$2.71M0.1%History
USFDUS Foods Holding Corp.COM71,115$2.71M0.1%History
RACEFerrari N.V.COM12,992$2.64M0.1%History
CVNACarvana Co.CL A8,425$2.59M0.1%History
HIMXHimax Technologies, Inc.SPONSORED ADR162,171$2.58M0.1%History
MLCOMelco Resorts & Entertainment LTDADR152,827$2.56M0.1%History
FTAIFTAI Aviation Ltd.COM REP LTD LIAB76,626$2.56M0.1%History
AUAngloGold Ashanti PLCSPONSORED ADR136,253$2.54M0.1%History
CMICummins IncStock10,347$2.50M0.1%History
DXCMDexcom IncCOM5,733$2.45M0.1%History
Tata MTRS Ltd876568502SPONSORED ADR106,522$2.45M0.1%–
CRSRCorsair Gaming, Inc.COM73,586$2.41M0.1%History
BALLBALL CorpCOM28,250$2.33M0.1%History
PSAPublic StorageCOM7,588$2.28M0.1%History
DIASPDR Dow Jones Industrial Average ETF TrustUT SER 16,579$2.28M0.1%History
BNYBank of New York Mellon CorpStock42,272$2.17M0.1%History
JNJJohnson & JohnsonStock12,937$2.15M0.1%History
UAAUnder Armour, Inc.Stock98,611$2.10M0.1%History
DXCDXC Technology CoStock51,234$2.07M0.1%History
WSMWilliams Sonoma IncCOM12,462$2.00M0.1%History
PNCPNC Financial Services Group, Inc.Stock10,095$1.94M0.1%History
LINLinde PLCSHS6,528$1.90M0.1%History
INOVInovalon Holdings, Inc.COM CL A55,427$1.88M0.1%History
DVNDevon Energy CorpStock61,135$1.83M0.1%History
Renaissance Cap Greenwich FD759937204IPO ETF27,471$1.79M0.1%–
MTDMettler Toledo International IncCOM1,277$1.76M0.1%History
MOMOHello Group Inc.ADS114,286$1.75M0.1%History
VRMVroom, Inc.COM40,845$1.74M0.1%History
HOGHarley-Davidson, Inc.COM36,725$1.73M0.1%History
NXSTNexstar Media Group, Inc.COMMON STOCK11,374$1.72M0.1%History
DBXDropbox, Inc.CL A55,779$1.69M0.1%History
PLNTPlanet Fitness, Inc.CL A22,306$1.68M0.1%History
DPZDominos Pizza IncCOM3,575$1.67M0.1%History
ChemoCentryx, Inc.16383L106COM124,407$1.64M0.1%–
GBXGreenbrier Companies IncStock37,396$1.62M0.1%History
REGNRegeneron Pharmaceuticals, Inc.COM2,801$1.61M0.1%History
EGHT8X8 IncCOM57,257$1.58M0.1%History
CICigna GroupStock6,612$1.57M0.1%History
Invesco Exch Traded FD Tr II46138G508SR LN ETF70,408$1.56M0.1%–
Vanguard Dividend Appreciation ETF921908844ETF9,644$1.50M0.1%–
RJFRaymond James Financial IncCOM11,374$1.50M0.1%History
WBWEIBO CorpSPONSORED ADR27,863$1.47M0.1%History
FIGSFIGS, Inc.CL A31,662$1.45M0.1%History
iShares Tr464288281JPMORGAN USD EMG12,878$1.44M0.1%–
NXPINXP Semiconductors N.V.COM7,136$1.44M0.1%History
SVXYProShares Trust IISHT VIX ST TRM25,649$1.44M0.1%History
LNCLincoln National CorpCOM21,895$1.41M<0.1%History
Arrival GroupL0423Q108SHS90,371$1.41M<0.1%–
TELTE Connectivity plcREG SHS10,262$1.40M<0.1%History
PFPTProofpoint IncCOM8,047$1.40M<0.1%History
DARDarling Ingredients Inc.COM20,590$1.39M<0.1%History
UNVRUnivar Solutions Inc.COM56,149$1.38M<0.1%History
iShares Tr46429B671MSCI CHINA ETF16,716$1.37M<0.1%–
PFSIPennyMac Financial Services, Inc.COM22,476$1.35M<0.1%History
DISWalt Disney CoStock7,585$1.34M<0.1%History
PRTYParty City Holdco Inc.COM139,971$1.34M<0.1%History
GS Acquisition Hldgs Corp II36258Q105COM CL A127,909$1.32M<0.1%–
ERICEricsson LM Telephone CoADR B SEK 10103,083$1.31M<0.1%History