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Livermore
Livermore
ZHEN

Simplex Trading, LLC

SEC CIK
0001488542
Latest filing
Aug 12, 2026

Holdings in Q4 2022

Holdings as of Dec 31, 2022, filed Feb 2, 2023. Long positions only; changes compare share counts with Q3 2022.

Institution overview
Positions
2,585
−197 vs. Q3 2022
Portfolio value
$2.09B
−$494.7M (−19.1%) vs. Q3 2022
Filed
Feb 2, 2023
SEC
Holdings of Simplex Trading, LLC in Q4 2022
SecurityClassSharesValue% of portfolioShare changeActionHistory
BOCBoston Omaha CorpStock6$00.0%+6NewHistory
LOANManhattan Bridge Capital, IncREIT99$00.0%+99NewHistory
ProShares Bitcoin ETF74347G440ETF30$00.0%00.0%Unchanged–
QBTSD-Wave Quantum Inc.Stock1$00.0%−85−98.8%ReducedHistory
PRIPrimerica, Inc.Stock2$00.0%+2NewHistory
GCTGigaCloud Technology IncStock165$00.0%−369−69.1%ReducedHistory
NBISNebius Group N.V.Stock28,587$00.0%+22,500+369.6%AddedHistory
Vanguard Morningstar Large-Cap ETF922908637ETF1$00.0%00.0%Unchanged–
RUMRUM Group Inc.Stock1$00.0%−819−99.9%ReducedHistory
PSFEPaysafe LtdSHS43$00.0%+1+1.2%AddedConverted for a 1-for-12 splitHistory
ACAArcosa, Inc.COM15$00.0%+15NewHistory
ANABAnaptysbio, IncCOM29$00.0%+29NewHistory
LFVNLifevantage CorpCOM NEW43$00.0%−308−87.7%ReducedHistory
CMPSCOMPASS Pathways plcSPONSORED ADS100$00.0%−11,920−99.2%ReducedHistory
Vanguard BD Index FDS921937793LONG TERM BOND3$00.0%00.0%Unchanged–
NGVCNatural Grocers by Vitamin Cottage, Inc.COM71$00.0%+71NewHistory
LINCLincoln Educational Services CorpCOM20$00.0%00.0%UnchangedHistory
CERTCertara, Inc.COM14$00.0%+14NewHistory
iShares Inc46434G863ESG AWR MSCI EM18$00.0%+18New–
CHCOCity Holding CoCOM2$00.0%+2NewHistory
Invesco Exchange Traded FD T46137V290S&P500 EQL REL6$00.0%−745−99.2%Reduced–
XHRXenia Hotels & Resorts, Inc.COM58$00.0%−142−71.0%ReducedHistory
SPDR Series Trust78464A722ST STR SP PHARMA10$00.0%+10New–
Global X FDS37954Y392VDEO GAM ESPRT6$00.0%−49−89.1%Reduced–
Goldman Sachs ETF Tr38149W812FUTURE TECH LEAD47$00.0%−400−89.5%Reduced–
BVBrightView Holdings, Inc.COM108$00.0%+108NewHistory
NTCTNetscout Systems IncCOM2$00.0%−1,343−99.9%ReducedHistory
STXSStereotaxis, Inc.COM NEW100$00.0%−25−20.0%ReducedHistory
RBBNRibbon Communications Inc.COM9$00.0%+9NewHistory
WLYJohn Wiley & Sons, Inc.CL A7$00.0%−100−93.5%ReducedHistory
CDXSCodexis, Inc.COM81$00.0%−2,212−96.5%ReducedHistory
NSITInsight Enterprises IncCOM6$00.0%+6NewHistory
ENICEnel Chile S.A.SPONSORED ADR164$00.0%−240−59.4%ReducedHistory
AFYAAfya LtdCL A COM58$00.0%+58NewHistory
J P Morgan Exchange Traded F46641Q191BETA EURO ET NE9$00.0%00.0%Unchanged–
ENSGEnsign Group, IncCOM1$00.0%+1NewHistory
KRNYKearny Financial Corp.COM90$00.0%+90NewHistory
iShares Tr46435U135CYBERSECURITY8$00.0%−113−93.4%Reduced–
WITWipro LtdSPON ADR 1 SH87$00.0%−720−89.2%ReducedHistory
BSBRBanco Santander (Brasil) S.A.ADS REP 1 UNIT89$00.0%−68−43.3%ReducedHistory
ACHVAchieve Life Sciences, Inc.COM69$00.0%+69NewHistory
ALXOAlx Oncology Holdings IncCOM57$00.0%+57NewHistory
AIPArteris, Inc.COM230$00.0%+230NewHistory
AWREAware IncCOM297$00.0%−125−29.6%ReducedHistory
AXTIAxt IncCOM179$00.0%+179NewHistory
BWMXBetterware de Mexico, S.A.P.I. de C.VSHS63$00.0%+63NewHistory
BLMNBloomin' Brands, Inc.COM36$00.0%−1,017−96.6%ReducedHistory
CCCCC4 Therapeutics, Inc.COM STK44$00.0%−2,145−98.0%ReducedHistory
CRSRCorsair Gaming, Inc.COM50$00.0%00.0%UnchangedHistory
CPIXCumberland Pharmaceuticals IncCOM97$00.0%+97NewHistory
DHXDhi Group, Inc.COM93$00.0%−3,502−97.4%ReducedHistory
EXFYExpensify, Inc.COM CL A113$00.0%+113NewHistory
FHTXFoghorn Therapeutics Inc.COM66$00.0%+66NewHistory
HGTYHagerty, Inc.CL A COM38$00.0%−673−94.7%ReducedHistory
INVEINVE Technologies, Inc.COM NEW55$00.0%−100−64.5%ReducedHistory
IGCIGC Pharma, Inc.COM NEW1,000$00.0%00.0%UnchangedHistory
KRMDKORU Medical Systems, Inc.COM110$00.0%−73−39.9%ReducedHistory
LRMRLarimar Therapeutics, Inc.COM103$00.0%−203−66.3%ReducedHistory
SWIMLatham Group, Inc.COM63$00.0%−315−83.3%ReducedHistory
LTBRLIGHTBRIDGE CorpCOM129$00.0%+129NewHistory
MRVIMaravai Lifesciences Holdings, Inc.COM CL A25$00.0%−15,373−99.8%ReducedHistory
NATRNatures Sunshine Products IncCOM51$00.0%00.0%UnchangedHistory
NEWTNewtekOne, Inc.COM NEW31$00.0%+31NewHistory
NFBKNorthfield Bancorp, Inc.COM45$00.0%−55−55.0%ReducedHistory
OMEXOdyssey Marine Exploration IncCOM NEW149$00.0%−4,363−96.7%ReducedHistory
RFILR F Industries LtdCOM PAR $0.01100$00.0%−246−71.1%ReducedHistory
SSTKShutterstock, Inc.COM18$00.0%−19,976−99.9%ReducedHistory
TALKTalkspace, Inc.COM482$00.0%+482NewHistory
TLPHTalphera, Inc.COM NEW62$00.0%−65−51.3%ReducedConverted for a 1-for-20 splitHistory
REAXReal REMAX Group Inc.COM NEW429$00.0%−471−52.3%ReducedHistory
TRVITrevi Therapeutics, Inc.COM10$00.0%+10NewHistory
UAMYUnited States Antimony CorpCOM300$00.0%+100+50.0%AddedHistory
TIGRUP Fintech Holding LtdSPONSORED ADS61$00.0%−104−63.0%ReducedHistory
VRAVera Bradley, Inc.COM209$00.0%+209NewHistory
VTEXVtexSHS CL A178$00.0%−405−69.5%ReducedHistory
WHWKWhitehawk Therapeutics, Inc.COM12$00.0%−80−87.0%ReducedHistory
WYYWidepoint CorpCOMMON204$00.0%+68+50.0%AddedHistory
XNCRXencor IncCOM6$00.0%−2,162−99.7%ReducedHistory
DMKDMK Pharmaceuticals CorpCOM NEW2,460$00.0%−2,928−54.3%ReducedHistory
ADILAdial Pharmaceuticals, Inc.COM42$00.0%−8,599−99.5%ReducedHistory
SYRESpyre Therapeutics, Inc.COM56$00.0%−13,065−99.6%ReducedHistory
ADVAdvantage Solutions Inc.COM CL A148$00.0%+148NewHistory
RKDAArcadia Biosciences, Inc.COM NEW255$00.0%+255NewHistory
AAICArlington Asset Investment Corp.CL A NEW11$00.0%00.0%UnchangedHistory
ATNXAthenex, Inc.COM40$00.0%−4,881−99.2%ReducedHistory
AUDAudacy, Inc.COM607$00.0%−3,200−84.1%ReducedHistory
JGAurora Mobile LtdADS200$00.0%−1,846−90.2%ReducedHistory
AYTUAytu Biopharma, IncCOM NEW91$00.0%−4,106−97.8%ReducedHistory
Better World Acquisition Cor08772B104COM1$00.0%00.0%Unchanged–
BPTHBio-Path Holdings, Inc.COM23$00.0%+23NewHistory
BKYIBio Key International IncCOM NEW107$00.0%+50+87.7%AddedHistory
BLRXBioLineRx Ltd.SPONSORED ADS106$00.0%−100−48.5%ReducedHistory
Ci Finl Corp125491100COM56$00.0%00.0%Unchanged–
Cambria ETF Tr132061821CANNABIS ETF100$00.0%+100New–
Churchill Capital Corp V17144T107COM CL A1$00.0%00.0%Unchanged–
CDAKCodiak BioSciences, Inc.COM152$00.0%+152NewHistory
Compute Health Acquisitin Co204833107COM CL A1$00.0%−1,700−99.9%Reduced–
COMSCOMSovereign Holding Corp.COM NEW4,081$00.0%+3,056+298.1%AddedHistory
CNTBConnect Biopharma Holdings LtdADS994$00.0%+91+10.1%AddedHistory
CONXCONX Corp.COM CL A1$00.0%00.0%UnchangedHistory

Options (6,682)

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 6,682 by value.

Option positions of Simplex Trading, LLC in Q4 2022
SecurityClassPutsCalls
SPDR S&P 500 ETF Tr78462F953PUT$8.66B–
SPDR S&P 500 ETF Tr78462F903CALL–$6.29B
iShares Tr464287957PUT$3.22B–
Invesco QQQ Tr46090E953PUT$2.65B–
Invesco QQQ Tr46090E903UNIT SER 1–$2.26B
Apple Inc037833900CALL–$1.75B
iShares Tr464287907CALL–$1.72B
Select Sector SPDR Tr81369Y956PUT$1.61B–
Tesla Inc88160R901CALL–$1.59B
Amazon Com Inc023135906CALL–$1.59B
Tesla Inc88160R951PUT$1.57B–
Apple Inc037833950PUT$1.14B–
Select Sector SPDR Tr81369Y906CALL–$900.9M
Microsoft Corp594918904CALL–$881.0M
Facebook Inc30303M902CALL–$858.7M
Alphabet Inc02079K905CALL–$840.3M
Netflix Inc64110L956PUT$739.8M–
SPDR Gold Tr78463V907CALL–$730.9M
Amazon Com Inc023135956PUT$709.5M–
Microsoft Corp594918954PUT$676.4M–
NVIDIA Corporation67066G954PUT$642.7M–
Netflix Inc64110L906CALL–$625.2M
Alphabet Inc02079K955PUT$551.8M–
NVIDIA Corporation67066G904CALL–$526.9M
SPDR Dow Jones Indl Average78467X909CALL–$505.1M
SPDR Dow Jones Indl Average78467X959PUT$481.4M–
Alibaba Group Hldg Ltd01609W902CALL–$399.5M
Facebook Inc30303M952PUT$398.1M–
SPDR Gold Tr78463V957GOLD SHS$365.1M–
VanEck Vectors ETF Tr92189F902CALL–$362.1M
JPMorgan Chase & Co46625H905CALL–$312.2M
SPDR Ser Tr78464A958PUT$311.9M–
Advanced Micro Devices Inc007903907CALL–$308.0M
iShares Tr464288955PUT$286.5M–
Boeing Co097023905COM–$277.0M
Advanced Micro Devices Inc007903957PUT$265.7M–
JPMorgan Chase & Co46625H955PUT$262.3M–
VanEck Vectors ETF Tr92189F952PUT$253.2M–
PayPal Hldgs Inc70450Y903CALL–$247.3M
Caterpillar Inc149123951PUT$244.9M–
iShares Silver Tr46428Q909CALL–$233.3M
Goldman Sachs Group Inc38141G954PUT$228.3M–
UnitedHealth Group Inc91324P902COM–$226.2M
Home Depot Inc437076952PUT$223.0M–
Nike Inc654106953PUT$220.4M–
Broadcom Inc11135F951PUT$213.4M–
SPDR Ser Tr78464A908CALL–$209.8M
Alibaba Group Hldg Ltd01609W952PUT$207.6M–
Adobe Systems Incorporated00724F901CALL–$206.3M
UnitedHealth Group Inc91324P952PUT$203.8M–
Disney Walt Co254687906CALL–$196.9M
Costco WHSL Corp New22160K905CALL–$190.0M
Berkshire Hathaway Inc Del084670902CALL–$189.8M
Procter and Gamble Co742718909CALL–$189.3M
Visa Inc92826C909CALL–$189.1M
Nike Inc654106903CALL–$185.3M
Exxon Mobil Corp30231G952PUT$185.0M–
Citigroup Inc172967904CALL–$184.8M
Exxon Mobil Corp30231G902CALL–$184.8M
Salesforce Com Inc79466L952PUT$182.6M–
Goldman Sachs Group Inc38141G904CALL–$182.6M
Boeing Co097023955PUT$180.2M–
Chevron Corp New166764950PUT$178.5M–
Cisco Sys Inc17275R902CALL–$173.7M
First Solar Inc336433957PUT$172.5M–
Kraneshares Tr500767906CALL–$165.4M
Booking Holdings Inc09857L958PUT$165.3M–
iShares Tr464288905CALL–$165.2M
Walmart Inc931142903CALL–$163.9M
PayPal Hldgs Inc70450Y953PUT$162.6M–
Qualcomm Inc747525903CALL–$161.3M
Pfizer Inc717081903CALL–$160.0M
Home Depot Inc437076902CALL–$159.7M
VanEck Vectors ETF Tr92189H950PUT$159.5M–
AbbVie Inc00287Y959PUT$158.6M–
Procter and Gamble Co742718959PUT$156.1M–
Intel Corp458140900CALL–$155.8M
Mastercard Incorporated57636Q904CALL–$151.6M
Occidental Pete Corp674599955PUT$150.6M–
SPDR Ser Tr78468R957PUT$150.1M–
Micron Technology Inc595112953PUT$149.7M–
Vanguard Index FDS922908959PUT$149.7M–
BK of America Corp060505954PUT$149.5M–
Berkshire Hathaway Inc Del084670952PUT$148.9M–
Coca Cola Co191216950PUT$146.8M–
Broadcom Inc11135F901CALL–$146.6M
Disney Walt Co254687956PUT$141.0M–
Moderna Inc60770K957PUT$140.8M–
Adobe Systems Incorporated00724F951PUT$140.0M–
Walmart Inc931142953PUT$139.3M–
Qualcomm Inc747525953PUT$137.4M–
Coca Cola Co191216900CALL–$136.6M
Salesforce Com Inc79466L902CALL–$136.3M
Johnson & Johnson478160904CALL–$135.2M
Mastercard Incorporated57636Q954PUT$135.0M–
Occidental Pete Corp674599905CALL–$133.5M
Pfizer Inc717081953PUT$133.3M–
BK of America Corp060505904CALL–$131.8M
Citigroup Inc172967954PUT$131.7M–
Costco WHSL Corp New22160K955PUT$131.4M–

Sold out since Q3 2022 (1,010)

Positions held at the end of Q3 2022 that are gone from this filing.

The largest 100 of 1,010 by value last quarter.

Positions of Simplex Trading, LLC sold out since Q3 2022
SecurityClassShares in Q3 2022Value in Q3 2022% of portfolio in Q3 2022History
JPMJPMorgan Chase & CoStock538,019$56.2M2.2%History
BRK.BBerkshire Hathaway IncStock171,339$45.8M1.8%History
GLDSPDR Gold TrustETF287,272$44.4M1.7%History
State Street SPDR S&P Regional Banking ETF78464A698ETF526,601$31.0M1.2%–
UNPUnion Pacific CorpStock127,150$24.8M1.0%History
TXNTexas Instruments IncStock153,940$23.8M0.9%History
State Street Financial Select Sector SPDR ETF81369Y605ETF688,487$20.9M0.8%–
MELIMercadolibre IncCOM18,860$15.6M0.6%History
LINLinde PLCSHS57,291$15.4M0.6%History
CCJCameco CorpStock579,462$15.4M0.6%History
SPDR Series Trust78468R556SP O&G EXPL PRO122,331$15.3M0.6%–
CVXChevron CorpStock98,045$14.1M0.5%History
AALAmerican Airlines Group Inc.Stock1,154,032$13.9M0.5%History
State Street Consumer Discretionary Select Sector SPDR ETF81369Y407ETF84,336$12.0M0.5%–
SPDR Series Trust78468R622ST BLOO HIGH ETF130,355$11.5M0.4%–
COPConocoPhillipsStock102,559$10.5M0.4%History
LVSLas Vegas Sands CorpCOM272,569$10.2M0.4%History
BPBP PLCADR354,469$10.1M0.4%History
MUMicron Technology IncStock181,130$9.07M0.4%History
COSTCostco Wholesale CorpStock16,879$7.97M0.3%History
TSNTyson Foods, Inc.Stock118,168$7.79M0.3%History
ASMLASML Holding NVADR18,373$7.63M0.3%History
VanEck ETF Trust92189F791JUNIOR GOLD MINE252,237$7.43M0.3%–
RHRHCOM28,564$7.03M0.3%History
NOCNorthrop Grumman CorpStock14,411$6.78M0.3%History
NCLHNorwegian Cruise Line Holdings Ltd.SHS589,474$6.70M0.3%History
BROSDutch Bros Inc.CL A213,575$6.65M0.3%History
MSMorgan StanleyStock76,477$6.04M0.2%History
CATCaterpillar IncStock32,345$5.31M0.2%History
SBUXStarbucks CorpStock61,916$5.22M0.2%History
MARMarriott International IncStock36,477$5.11M0.2%History
PLDPrologis, Inc.REIT49,794$5.06M0.2%History
LRCXLam Research CorpCOM13,653$5.00M0.2%History
MRNAModerna, Inc.Stock42,209$4.99M0.2%History
iShares Inc464286509MSCI CDA ETF153,920$4.73M0.2%–
iShares Inc46434G822MSCI JAPAN ETF95,440$4.66M0.2%–
JDJD.com, Inc.SPON ADS CL A86,960$4.37M0.2%History
RRyder System IncCOM57,334$4.33M0.2%History
WBAWalgreens Boots Alliance, Inc.COM134,749$4.23M0.2%History
VVisa Inc.Stock23,651$4.20M0.2%History
iShares Tr464288257MSCI ACWI ETF52,870$4.11M0.2%–
CLXClorox CoStock31,874$4.09M0.2%History
iShares Tr464287630RUS 2000 VAL ETF30,692$3.96M0.2%–
HDBHDFC Bank LtdSPONSORED ADS65,759$3.84M0.1%History
ZSZscaler, Inc.Stock23,214$3.81M0.1%History
UVXYProShares Trust IIULTRA VIX SHORT296,763$3.81M0.1%History
SAPSAP SEADR46,915$3.81M0.1%History
ULTAUlta Beauty, Inc.Stock9,439$3.79M0.1%History
STXSeagate Technology Holdings plcORD SHS63,482$3.38M0.1%History
FICOFair Isaac CorpCOM8,182$3.37M0.1%History
VSTOVista Outdoor Inc.COM135,203$3.29M0.1%History
HSYHershey CoCOM14,649$3.23M0.1%History
CCKCrown Holdings, Inc.COM39,455$3.20M0.1%History
State Street Energy Select Sector SPDR ETF81369Y506ETF44,269$3.19M0.1%–
FSRFisker Inc.CL A COM STK396,427$2.99M0.1%History
SPDR Index Shs FDS78463X202ST STR EU 50 ETF97,024$2.98M0.1%–
RLRalph Lauren CorpCL A34,309$2.91M0.1%History
DHRDanaher CorpStock11,167$2.88M0.1%History
USBUS Bancorp DECOM NEW69,171$2.79M0.1%History
AMTAmerican Tower CorpREIT12,402$2.66M0.1%History
EXEExpand Energy CorpCOM26,677$2.51M0.1%History
DLTRDollar Tree, Inc.COM16,724$2.28M0.1%History
State Street Real Estate Select Sector SPDR ETF81369Y860ETF63,063$2.27M0.1%–
iShares Core S&P Small Cap ETF464287804ETF25,977$2.26M0.1%–
PANWPalo Alto Networks IncStock13,458$2.20M0.1%History
Direxion Shs ETF Tr25460E521DAILY FTSE CHINA93,834$2.13M0.1%–
CCICrown Castle Inc.REIT14,348$2.07M0.1%History
AEPAmerican Electric Power Co IncStock23,948$2.07M0.1%History
JKSJinkoSolar Holding Co., Ltd.SPONSORED ADR37,271$2.06M0.1%History
XUnited States Steel CorpCOM112,674$2.04M0.1%History
APLSApellis Pharmaceuticals, Inc.COM29,627$2.02M0.1%History
PLAYDave & Buster's Entertainment, Inc.COM65,005$2.02M0.1%History
TTWOTake Two Interactive Software IncCOM18,428$2.01M0.1%History
BOOTBoot Barn Holdings, Inc.COM34,024$1.99M0.1%History
DELLDell Technologies Inc.Stock55,414$1.89M0.1%History
ENPHEnphase Energy, Inc.Stock6,706$1.86M0.1%History
IIPRInnovative Industrial Properties IncCOM21,010$1.86M0.1%History
USFDUS Foods Holding Corp.COM69,169$1.83M0.1%History
PTONPeloton Interactive, Inc.CL A COM240,367$1.67M0.1%History
CWSTCasella Waste Systems IncCL A21,793$1.66M0.1%History
PECOPhillips Edison & Company, Inc.COMMON STOCK58,701$1.65M0.1%History
SYKStryker CorpStock8,115$1.64M0.1%History
NUSNu Skin Enterprises, Inc.CL A47,362$1.58M0.1%History
AMHAmerican Homes 4 RentCL A47,883$1.57M0.1%History
AMBAAmbarella IncSHS27,188$1.53M0.1%History
Atlas CorpY0436Q109SHARES106,904$1.49M0.1%–
Direxion Shs ETF Tr25460E232DAILY SM CP BEAR32,046$1.47M0.1%–
URIUnited Rentals, Inc.COM5,419$1.46M0.1%History
CHNGChange Healthcare Inc.COM52,419$1.44M0.1%History
PRTAProthena Corp Public Ltd CoSHS23,666$1.43M0.1%History
ProShares Tr74347X823ULTRPRO DOW3034,307$1.32M0.1%–
JAZZJazz Pharmaceuticals plcSHS USD9,807$1.31M0.1%History
IFFInternational Flavors & Fragrances IncCOM14,025$1.27M<0.1%History
PHParker-Hannifin CorpStock5,214$1.26M<0.1%History
NVONovo Nordisk A SADR12,651$1.26M<0.1%History
Direxion Shs ETF Tr25460G716DAILY S&P BIOTEC52,093$1.25M<0.1%–
BILIBilibili Inc.SPONS ADS REP Z81,321$1.25M<0.1%History
SIVBSVB Financial GroupCOM3,671$1.23M<0.1%History
CTVACorteva, Inc.Stock21,135$1.21M<0.1%History
PENNPENN Entertainment, Inc.COM43,889$1.21M<0.1%History