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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
NMGNouveau Monde Graphite Inc.Stock635$4.00K<0.1%+635NewHistory
Fidelity MSCI Financials Index ETF316092501ETF74$4.00K<0.1%+74New–
iShares Core S&P US Value ETF464287663ETF65$4.00K<0.1%−1,281−95.2%Reduced–
VanEck Digital Native Economy ETF92189F882ETF95$4.00K<0.1%−910−90.5%Reduced–
Global X FDS37954Y285TELMDC&DIG ETF251$4.00K<0.1%−527−67.7%Reduced–
LYFTLyft, Inc.CL A COM106$4.00K<0.1%+106NewHistory
CIFRCipher Digital Inc.COM966$4.00K<0.1%+966NewHistory
VanEck ETF Trust92189H201INTRMDT MUNI ETF95$4.00K<0.1%+95New–
CUZCousins Properties IncCOM NEW107$4.00K<0.1%+8+8.1%AddedHistory
CCBCoastal Financial CorpCOM NEW97$4.00K<0.1%+97NewHistory
First Tr Exchange-Traded FD33738D309SENIOR LN FD100$4.00K<0.1%+100New–
ALHCAlignment Healthcare, Inc.COM289$4.00K<0.1%+289NewHistory
PRSUPursuit Attractions & Hospitality, Inc.COM99$4.00K<0.1%−738−88.2%ReducedHistory
iShares Tr464287861EUROPE ETF86$4.00K<0.1%−601−87.5%Reduced–
OPTTOcean Power Technologies, Inc.COM NEW2,773$4.00K<0.1%+2,773NewHistory
MODModine Manufacturing CoCOM432$4.00K<0.1%−8,001−94.9%ReducedHistory
Invesco Exch Traded FD Tr II46138E800CHINA TECHNLGY78$4.00K<0.1%−69−46.9%Reduced–
iShares Tr464288562RESIDENTIAL MULT48$4.00K<0.1%−1,576−97.0%Reduced–
Principal Exchange Traded FD74255Y870US MEGA CP ETF100$4.00K<0.1%+100New–
NWNNorthwest Natural Holding CoCOM101$4.00K<0.1%−56−35.7%ReducedHistory
DLXDeluxe CorpCOM153$4.00K<0.1%+153NewHistory
DLTHDuluth Holdings Inc.COM CL B302$4.00K<0.1%−11,020−97.3%ReducedHistory
FCFranklin Covey CoCOM99$4.00K<0.1%−2,113−95.5%ReducedHistory
NBPNovaBridge BiosciencesSPONSORED ADS103$4.00K<0.1%−162−61.1%ReducedHistory
OMEXOdyssey Marine Exploration IncCOM NEW909$4.00K<0.1%+756+494.1%AddedHistory
OSPNOneSpan Inc.COM264$4.00K<0.1%−15,241−98.3%ReducedHistory
OSUROrasure Technologies IncCOM501$4.00K<0.1%−23,870−97.9%ReducedHistory
PKOHPark Ohio Holdings CorpCOM200$4.00K<0.1%+200NewHistory
SRTSSensus Healthcare, Inc.COM640$4.00K<0.1%+640NewHistory
SMMTSummit Therapeutics Inc.COM1,578$4.00K<0.1%−607−27.8%ReducedHistory
REAXReal REMAX Group Inc.COM NEW1,268$4.00K<0.1%+1,268NewHistory
WNCWabash National CorpCOM209$4.00K<0.1%−3,907−94.9%ReducedHistory
DKNGDraftKings Inc.COM CL A180$4.00K<0.1%−169,679−99.9%ReducedHistory
EXTNExterran CorpCOM1,433$4.00K<0.1%−781−35.3%ReducedHistory
FMTXForma Therapeutics Holdings, Inc.SHS301$4.00K<0.1%+301NewHistory
INTZIntrusion IncCOM NEW1,190$4.00K<0.1%+1,190NewHistory
JFINJiayin Group Inc.SPONSORED ADS2,139$4.00K<0.1%−161−7.0%ReducedHistory
MPXMarine Products Group, LLCCOM391$4.00K<0.1%+391NewHistory
NTUSNatus Medical IncCOM200$4.00K<0.1%+200NewHistory
AGSPlayAGS, Inc.COM672$4.00K<0.1%+85+14.5%AddedHistory
DTILPrecision Biosciences IncCOM570$4.00K<0.1%−4,915−89.6%ReducedHistory
TLISTalis Biomedical CorpCOM1,231$4.00K<0.1%+1,231NewHistory
VOCVOC Energy TrustTR UNIT922$4.00K<0.1%−1,644−64.1%ReducedHistory
VOLTVolt Information Sciences, Inc.COM1,612$4.00K<0.1%+1,527+1,796.5%AddedHistory
WKEYWisekey International Holding S.A.SPON ADS1,120$4.00K<0.1%−3,764−77.1%ReducedHistory
ADEAAdeia Inc.COM257$4.00K<0.1%+257NewHistory
ZEPPZepp Health CorpSPONSORED ADS879$4.00K<0.1%−23,887−96.5%ReducedHistory
SMRNuscale Power CorpCL A407$4.00K<0.1%+407NewHistory
Just Eat Takeaway Com N V48214T305SPONSORED ADS419$4.00K<0.1%00.0%Unchanged–
TWKSThoughtworks Holding, Inc.COM180$4.00K<0.1%+180NewHistory
WKSPWorksport LtdCOM NEW1,895$4.00K<0.1%+1,895NewHistory
Alps Clean Energy ETF00162Q460ETF81$5.00K<0.1%+81New–
DJTTrump Media & Technology Group Corp.Stock100$5.00K<0.1%+100NewHistory
TWSTTwist Bioscience CorpCOM72$5.00K<0.1%−668−90.3%ReducedHistory
WTTRSelect Water Solutions, Inc.CL A COM897$5.00K<0.1%−1,349−60.1%ReducedHistory
Direxion Shares ETF Trust25460E869DAILY 500 1X ETF400$5.00K<0.1%−137−25.5%Reduced–
ICHRIchor Holdings, Ltd.SHS109$5.00K<0.1%−14,825−99.3%ReducedHistory
ARAYAccuray IncCOM1,197$5.00K<0.1%−2,555−68.1%ReducedHistory
THTarget Hospitality Corp.COM1,491$5.00K<0.1%+1,215+440.2%AddedHistory
iShares Inc464286327MSCI GLB SLV&MTL425$5.00K<0.1%+425New–
CVSACovista Inc.COM181$5.00K<0.1%+129+248.1%AddedHistory
iShares Tr464287796U.S. ENERGY ETF172$5.00K<0.1%−730−80.9%Reduced–
SSPE.W. Scripps CoCL A NEW304$5.00K<0.1%−809−72.7%ReducedHistory
iShares Tr464288638ISHS 5-10YR INVT100$5.00K<0.1%−200−66.7%Reduced–
ORNOrion Group Holdings IncCOM1,548$5.00K<0.1%+64+4.3%AddedHistory
REXRRexford Industrial Realty, Inc.COM72$5.00K<0.1%+19+35.8%AddedHistory
CVEOCiveo CorpCOM NEW312$5.00K<0.1%−2,287−88.0%ReducedHistory
CMCOColumbus McKinnon CorpCOM109$5.00K<0.1%+109NewHistory
ORGOOrganogenesis Holdings Inc.COM602$5.00K<0.1%+602NewHistory
RMRegional Management Corp.COM100$5.00K<0.1%+100NewHistory
TBRGTruBridge, Inc.COM196$5.00K<0.1%+196NewHistory
UAMYUnited States Antimony CorpCOM10,183$5.00K<0.1%+10,183NewHistory
WORWorthington Enterprises, Inc.COM92$5.00K<0.1%+92NewHistory
XNCRXencor IncCOM140$5.00K<0.1%−151−51.9%ReducedHistory
AGRXAgile Therapeutics IncCOM11,554$5.00K<0.1%−8,257−41.7%ReducedHistory
APRApria, Inc.COM164$5.00K<0.1%+164NewHistory
ELYSElys BMG Group, Inc.COM1,858$5.00K<0.1%+1,858NewHistory
LTHMLivent Corp.COM214$5.00K<0.1%−28,415−99.3%ReducedHistory
Lizhi Inc53933L104ADS3,210$5.00K<0.1%−2,756−46.2%Reduced–
NMRDNemaura Medical Inc.COM NEW1,283$5.00K<0.1%−20,046−94.0%ReducedHistory
PBPBPotbelly CorpCOM1,020$5.00K<0.1%−6,592−86.6%ReducedHistory
Tidal ETF Tr886364603RPAR RISK PARI201$5.00K<0.1%−1,362−87.1%Reduced–
VCNXVaccinex, Inc.COM5,655$5.00K<0.1%+3,330+143.2%AddedHistory
Virtus ETF Tr II92790A504VIRTUS US QLTY178$5.00K<0.1%+178New–
WisdomTree Tr97717X628FLOATNG RAT TREA200$5.00K<0.1%+200New–
XWELXWELL, Inc.COM2,600$5.00K<0.1%00.0%UnchangedHistory
NENoble Corp plcEquities240$5.00K<0.1%+240NewHistory
Sapiens Intl Corp N VG7T16G103SHS170$5.00K<0.1%−42,482−99.6%Reduced–
KNBEKnowBe4, Inc.CL A224$5.00K<0.1%+224NewHistory
LTCHLatch, Inc.COM783$5.00K<0.1%+783NewHistory
BASECouchbase, Inc.COM222$5.00K<0.1%+222NewHistory
JSPRJasper Therapeutics, Inc.COM700$5.00K<0.1%+700NewHistory
SHCOSoho House & Co Inc.COM CL A408$5.00K<0.1%+408NewHistory
VQSSFVIQ Solutions Inc.COM NEW2,245$5.00K<0.1%+2,245NewHistory
GSGoldman Sachs Group IncStock16$6.00K<0.1%+16NewHistory
CDPCopt Defense PropertiesREIT228$6.00K<0.1%+228NewHistory
NJRNew Jersey Resources CorpStock148$6.00K<0.1%+148NewHistory
CCAPCrescent Capital BDC, Inc.COM363$6.00K<0.1%+363NewHistory
SPDR Series Trust78464A656ST STR TIPS ETF200$6.00K<0.1%−1,079−84.4%Reduced–
ASTEAstec Industries IncCOM100$6.00K<0.1%−241−70.7%ReducedHistory

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
LOGCContextLogic Inc.COM CL A1,789,178$21.9M0.8%History
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