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Livermore
Livermore
ZHEN

Simplex Trading, LLC

SEC CIK
0001488542
Latest filing
Aug 12, 2026

Holdings in Q1 2023

Holdings as of Mar 31, 2023, filed Apr 27, 2023. Long positions only; changes compare share counts with Q4 2022.

Institution overview
Positions
2,369
−216 vs. Q4 2022
Portfolio value
$2.21B
+$122.1M (+5.8%) vs. Q4 2022
Filed
Apr 27, 2023
SEC
Holdings of Simplex Trading, LLC in Q1 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
Fidelity High Dividend ETF316092840ETF23$00.0%+23New–
GCTGigaCloud Technology IncStock117$00.0%−48−29.1%ReducedHistory
iShares MSCI Acwi Ex U.S. ETF464288240ETF6$00.0%−3,699−99.8%Reduced–
NBISNebius Group N.V.Stock14,487$00.0%−14,100−49.3%ReducedHistory
Siren Nexgen Economy ETF829658202ETF10$00.0%−1,931−99.5%Reduced–
Invesco Exch Traded FD Tr II46138E511PFD ETF84$00.0%+84New–
TIGOMillicom International Cellular SACOM STK49$00.0%−16,691−99.7%ReducedHistory
Global X FDS37954Y483NASDAQ 100 COVER50$00.0%−15,711−99.7%Reduced–
AMRXAmneal Pharmaceuticals, Inc.COM STK CL A485$00.0%+485NewHistory
MBOTMicrobot Medical Inc.COM NEW300$00.0%+300NewHistory
Direxion Shares ETF Trust25460E869DAILY 500 1X ETF32$00.0%−6,587−99.5%Reduced–
UFCSUnited Fire Group IncCOM19$00.0%−300−94.0%ReducedHistory
AORTArtivion, Inc.COM8$00.0%+8NewHistory
IDYAIDEAYA Biosciences, Inc.COM2$00.0%+2NewHistory
SPDR Series Trust78464A201ST STR SP600GRWO2$00.0%+2New–
Listed FDS Tr53656F623HORI KI INFL ETF32$00.0%+32New–
JOBYJoby Aviation, Inc.COMMON STOCK100$00.0%−452−81.9%ReducedHistory
UTIUniversal Technical Institute IncCOM100$00.0%−985−90.8%ReducedHistory
ALHCAlignment Healthcare, Inc.COM29$00.0%+29NewHistory
STESTERIS plcSHS USD5$00.0%−722−99.3%ReducedHistory
SPDR Index Shs FDS78463X509ST PORT MARK ETF21$00.0%+21New–
REALTheRealReal, Inc.COM58$00.0%−135,251−100.0%ReducedHistory
GOSSGossamer Bio, Inc.COM100$00.0%−60,245−99.8%ReducedHistory
ERASErasca, Inc.COM36$00.0%+36NewHistory
Global X FDS37954Y392VDEO GAM ESPRT6$00.0%00.0%Unchanged–
NMRNomura Holdings IncSPONSORED ADR174$00.0%−195−52.8%ReducedHistory
CCUUnited Breweries Co IncSPONSORED ADR1$00.0%+1NewHistory
LNSRLENSAR, Inc.COM89$00.0%+89NewHistory
CRBGCorebridge Financial, Inc.COM62$00.0%−1,514−96.1%ReducedHistory
KFYKorn FerryCOM NEW17$00.0%+17NewHistory
REXRRexford Industrial Realty, Inc.COM16$00.0%−169−91.4%ReducedHistory
ANGOAngiodynamics IncCOM6$00.0%+6NewHistory
WisdomTree Tr97717Y543ARTI INT INN FD35$00.0%+35New–
NXHNeighborhood Intelligence, Inc.COM30$00.0%−41,422−99.9%ReducedHistory
WITWipro LtdSPON ADR 1 SH76$00.0%−11−12.6%ReducedHistory
DIBS1stdibs.com, Inc.COM103$00.0%−31,307−99.7%ReducedHistory
ADCTADC Therapeutics SASHS165$00.0%−2,416−93.6%ReducedHistory
ASIXAdvanSix Inc.COM12$00.0%+12NewHistory
AIRGAirgain IncCOM179$00.0%−463−72.1%ReducedHistory
ARMPArmata Pharmaceuticals, Inc.COM200$00.0%+200NewHistory
AIPArteris, Inc.COM129$00.0%−101−43.9%ReducedHistory
AEYEAudioeye IncCOM NEW61$00.0%+61NewHistory
BNTXBioNTech SESPONSORED ADS7$00.0%−6,676−99.9%ReducedHistory
DCTHDelcath Systems, Inc.COM NEW1$00.0%−463−99.8%ReducedHistory
DHXDhi Group, Inc.COM158$00.0%+65+69.9%AddedHistory
DLTHDuluth Holdings Inc.COM CL B111$00.0%+111NewHistory
ELDNEledon Pharmaceuticals, Inc.COM69$00.0%+69NewHistory
DAVAEndava plcADS2$00.0%+2NewHistory
XGNExagen Inc.COM235$00.0%−312−57.0%ReducedHistory
GBTGGlobal Business Travel Group, Inc.COM CL A56$00.0%+56NewHistory
GSITGsi Technology IncCOM43$00.0%−709−94.3%ReducedHistory
INFUInfuSystem Holdings, IncCOM2$00.0%+2NewHistory
LRMRLarimar Therapeutics, Inc.COM161$00.0%+58+56.3%AddedHistory
LVWRLiveWire Group, Inc.COM1$00.0%−2,187−100.0%ReducedHistory
LUXELuxExperience B.V.SPONSORED ADS87$00.0%−302−77.6%ReducedHistory
NABLN-able, Inc.COMMON STOCK64$00.0%+64NewHistory
NHTCNatural Health Trends CorpCOM167$00.0%+167NewHistory
NFENew Fortress Energy Inc.COM CL A5$00.0%−21,388−100.0%ReducedHistory
NVAXNovavax IncCOM NEW100$00.0%−645−86.6%ReducedHistory
RBBRBB BancorpCOM4$00.0%+4NewHistory
TALKTalkspace, Inc.COM461$00.0%−21−4.4%ReducedHistory
REAXReal REMAX Group Inc.COM NEW129$00.0%−300−69.9%ReducedHistory
TZOOTravelzooCOM NEW2$00.0%−299−99.3%ReducedHistory
TRVITrevi Therapeutics, Inc.COM10$00.0%00.0%UnchangedHistory
UAMYUnited States Antimony CorpCOM200$00.0%−100−33.3%ReducedHistory
TIGRUP Fintech Holding LtdSPONSORED ADS165$00.0%+104+170.5%AddedHistory
WESTWestrock Coffee CoCOM1$00.0%−20,908−100.0%ReducedHistory
WHWKWhitehawk Therapeutics, Inc.COM100$00.0%+88+733.3%AddedHistory
WYYWidepoint CorpCOMMON189$00.0%−15−7.4%ReducedHistory
XBITXBiotech Inc.COM85$00.0%+85NewHistory
ABSTAbsolute Software CorpCOM57$00.0%+57NewHistory
Acuityads Hldgs Inc Com00510L106Stock175$00.0%−555−76.0%Reduced–
ADILAdial Pharmaceuticals, Inc.COM2,748$00.0%+2,706+6,442.9%AddedHistory
SYRESpyre Therapeutics, Inc.COM56$00.0%00.0%UnchangedHistory
ALEXAlexander & Baldwin, Inc.COM44$00.0%−5,470−99.2%ReducedHistory
ALPPAlpine 4 Holdings, Inc.COM259$00.0%−12,417−98.0%ReducedHistory
ATERAterian, Inc.Equity100$00.0%−42,734−99.8%ReducedHistory
APLTApplied Therapeutics, Inc.COM136$00.0%+136NewHistory
APTXAptinyx Inc.COM100$00.0%+100NewHistory
AAICArlington Asset Investment Corp.CL A NEW111$00.0%+100+909.1%AddedHistory
ASPUAspen Group, Inc.COM NEW3,100$00.0%+3,100NewHistory
JGAurora Mobile LtdADS100$00.0%−100−50.0%ReducedHistory
AVYAAvaya Holdings Corp.COM262,500$00.0%+220,090+519.0%AddedHistory
TECXTectonic Therapeutic, Inc.COM725$00.0%+725NewHistory
Better World Acquisition Cor08772B104COM1$00.0%00.0%Unchanged–
BKYIBio Key International IncCOM NEW107$00.0%00.0%UnchangedHistory
BIOCBiocept IncCOM475$00.0%−3,293−87.4%ReducedHistory
Breeze Holdings Acquisitn Co106762107COM1$00.0%−28,125−100.0%Reduced–
BSQRBsquare CorpCOM NEW644$00.0%−3,862−85.7%ReducedHistory
YCBDcbdMD, Inc.COM700$00.0%+700NewHistory
CVMCel Sci CorpCOM PAR NEW410$00.0%−13,662−97.1%ReducedHistory
CEMIChembio Diagnostics, Inc.COM NEW2,036$00.0%−15,800−88.6%ReducedHistory
Churchill Capital Corp V17144T107COM CL A1$00.0%00.0%Unchanged–
CODXCo-Diagnostics, Inc.COM117$00.0%−26,088−99.6%ReducedHistory
Compute Health Acquisitin Co204833107COM CL A1$00.0%00.0%Unchanged–
Bio Green Med Solution, Inc.23254L603COM936$00.0%−1,024−52.2%Reduced–
KRSAKorsana Biosciences, Inc.COM1,643$00.0%−195−10.6%ReducedHistory
DBTXDecibel Therapeutics, Inc.COM204$00.0%−507−71.3%ReducedHistory
Direxion Shs ETF Tr25460E257DAILY S&P BEAR140$00.0%−19,038−99.3%Reduced–
DSDrive Shack Inc.COM400$00.0%−54,968−99.3%ReducedHistory

Options (6,690)

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 6,690 by value.

Option positions of Simplex Trading, LLC in Q1 2023
SecurityClassPutsCalls
SPDR S&P 500 ETF Tr78462F953PUT$12.2B–
SPDR S&P 500 ETF Tr78462F903CALL–$7.77B
Invesco QQQ Tr46090E953PUT$5.83B–
iShares Tr464287957PUT$3.99B–
Invesco QQQ Tr46090E903UNIT SER 1–$3.28B
Tesla Inc88160R901CALL–$2.62B
iShares Tr464287907CALL–$2.26B
Tesla Inc88160R951PUT$2.25B–
Amazon Com Inc023135906CALL–$1.50B
Apple Inc037833900CALL–$1.50B
Apple Inc037833950PUT$1.47B–
Facebook Inc30303M902CALL–$1.46B
Alphabet Inc02079K905CALL–$1.37B
Microsoft Corp594918904CALL–$1.35B
Select Sector SPDR Tr81369Y956PUT$1.34B–
NVIDIA Corporation67066G954PUT$1.33B–
NVIDIA Corporation67066G904CALL–$1.19B
SPDR Gold Tr78463V907CALL–$1.09B
Microsoft Corp594918954PUT$923.2M–
Select Sector SPDR Tr81369Y906CALL–$881.9M
Facebook Inc30303M952PUT$864.2M–
Alphabet Inc02079K955PUT$796.3M–
SPDR Gold Tr78463V957GOLD SHS$762.8M–
Netflix Inc64110L956PUT$725.1M–
Alibaba Group Hldg Ltd01609W902CALL–$629.1M
SPDR Dow Jones Indl Average78467X959PUT$621.7M–
Netflix Inc64110L906CALL–$605.2M
Amazon Com Inc023135956PUT$572.9M–
VanEck Vectors ETF Tr92189F902CALL–$544.9M
VanEck Vectors ETF Tr92189F952PUT$481.5M–
SPDR Ser Tr78464A958PUT$458.8M–
JPMorgan Chase & Co46625H905CALL–$448.6M
Advanced Micro Devices Inc007903957PUT$432.6M–
Advanced Micro Devices Inc007903907CALL–$410.8M
JPMorgan Chase & Co46625H955PUT$357.7M–
Salesforce Com Inc79466L952PUT$343.5M–
Home Depot Inc437076902CALL–$329.6M
Alibaba Group Hldg Ltd01609W952PUT$328.5M–
Salesforce Com Inc79466L902CALL–$322.7M
SPDR Dow Jones Indl Average78467X909CALL–$320.1M
iShares Silver Tr46428Q909CALL–$303.6M
SPDR Ser Tr78464A908CALL–$293.5M
Goldman Sachs Group Inc38141G954PUT$278.5M–
iShares Tr464288955PUT$278.0M–
Broadcom Inc11135F951PUT$264.6M–
Goldman Sachs Group Inc38141G904CALL–$250.8M
First Solar Inc336433957PUT$242.8M–
Home Depot Inc437076952PUT$241.2M–
Boeing Co097023905COM–$239.4M
Walmart Inc931142903CALL–$221.7M
Exxon Mobil Corp30231G902CALL–$219.6M
Adobe Systems Incorporated00724F951PUT$218.5M–
Boeing Co097023955PUT$212.7M–
Lululemon Athletica Inc550021959PUT$204.6M–
Costco WHSL Corp New22160K905CALL–$201.9M
Nike Inc654106953PUT$201.5M–
Broadcom Inc11135F901CALL–$200.1M
Visa Inc92826C959PUT$191.6M–
Disney Walt Co254687956PUT$188.5M–
Costco WHSL Corp New22160K955PUT$187.4M–
Exxon Mobil Corp30231G952PUT$184.1M–
BK of America Corp060505904CALL–$183.7M
SPDR Ser Tr78468R957PUT$183.1M–
Johnson & Johnson478160904CALL–$182.3M
Intuit461202903CALL–$181.2M
Chevron Corp New166764950PUT$181.0M–
BK of America Corp060505954PUT$180.4M–
Mastercard Incorporated57636Q904CALL–$180.0M
Lululemon Athletica Inc550021909CALL–$177.5M
UnitedHealth Group Inc91324P952PUT$175.5M–
Square Inc852234953PUT$169.5M–
Citigroup Inc172967954PUT$167.3M–
Intel Corp458140900CALL–$166.5M
Adobe Systems Incorporated00724F901CALL–$165.0M
Coinbase Global Inc19260Q957PUT$163.4M–
Union Pac Corp907818908CALL–$162.6M
Berkshire Hathaway Inc Del084670902CALL–$162.5M
Procter and Gamble Co742718909CALL–$161.7M
Snowflake Inc833445909CALL–$161.2M
Taiwan Semiconductor Mfg Ltd874039900CALL–$160.7M
Palo Alto Networks Inc697435955PUT$160.6M–
UnitedHealth Group Inc91324P902COM–$160.1M
FedEx Corp31428X956PUT$158.5M–
PayPal Hldgs Inc70450Y953PUT$157.1M–
iShares Tr464288905CALL–$156.7M
Mastercard Incorporated57636Q954PUT$156.0M–
PayPal Hldgs Inc70450Y903CALL–$156.0M
Coinbase Global Inc19260Q907CALL–$155.6M
Cisco Sys Inc17275R902CALL–$155.5M
PepsiCo Inc713448958PUT$154.6M–
Visa Inc92826C909CALL–$153.7M
Disney Walt Co254687906CALL–$152.8M
Vanguard Index FDS922908959PUT$152.7M–
Square Inc852234903CALL–$152.1M
Nike Inc654106903CALL–$151.7M
Moderna Inc60770K907CALL–$150.9M
Walmart Inc931142953PUT$150.6M–
Chevron Corp New166764900CALL–$150.2M
Taiwan Semiconductor Mfg Ltd874039950PUT$147.7M–
Citigroup Inc172967904CALL–$146.7M

Sold out since Q4 2022 (1,065)

Positions held at the end of Q4 2022 that are gone from this filing.

The largest 100 of 1,065 by value last quarter.

Positions of Simplex Trading, LLC sold out since Q4 2022
SecurityClassShares in Q4 2022Value in Q4 2022% of portfolio in Q4 2022History
AMZNAmazon Com IncStock1,956,696$164.4M7.9%History
Invesco QQQ Trust Series I46090E103ETF417,448$111.2M5.3%–
NVDANVIDIA CorpStock531,614$77.7M3.7%History
PGProcter & Gamble CoStock256,289$38.8M1.9%History
TSLATesla, Inc.Stock297,832$36.7M1.8%History
GOOGAlphabet Inc.Stock217,128$19.3M0.9%History
BMYBristol Myers Squibb CoStock210,946$15.2M0.7%History
COUPCoupa Software IncCOM159,522$12.6M0.6%History
UBERUber Technologies, IncStock498,532$12.3M0.6%History
CLColgate Palmolive CoStock144,413$11.4M0.5%History
FSLRFirst Solar, Inc.Stock74,516$11.2M0.5%History
VFCV F CorpStock398,358$11.0M0.5%History
ELEstee Lauder Companies IncCL A43,556$10.8M0.5%History
NVSNovartis AGADR111,100$10.1M0.5%History
SLBSLB LimitedStock183,048$9.79M0.5%History
MSFTMicrosoft CorpStock39,221$9.40M0.5%History
HDHome Depot, Inc.Stock28,341$8.95M0.4%History
VLOValero Energy CorpStock61,639$7.82M0.4%History
ProShares Ultrashort S&P 50074347G416ETF169,453$7.79M0.4%–
PEverpure, Inc.CL A279,503$7.48M0.4%History
LMTLockheed Martin CorpStock15,162$7.38M0.4%History
GMGeneral Motors CoCOM195,072$6.56M0.3%History
KLACKLA CorpCOM NEW16,440$6.20M0.3%History
WPMWheaton Precious Metals Corp.COM158,248$6.18M0.3%History
TEAMAtlassian CorpCL A45,339$5.83M0.3%History
HALHalliburton CoStock142,626$5.61M0.3%History
MAMastercard IncStock14,979$5.21M0.2%History
MAXRMaxar Technologies Inc.COM100,435$5.20M0.2%History
PXDPioneer Natural Resources CoCOM21,007$4.80M0.2%History
Invesco Exchange Traded FD T46137V357S&P500 EQL WGT33,923$4.79M0.2%–
iShares Tr464287739U.S. REAL ES ETF54,226$4.57M0.2%–
SWKSSkyworks Solutions, Inc.Stock42,495$3.87M0.2%History
MSGSMadison Square Garden Sports Corp.CL A20,608$3.78M0.2%History
HASHasbro, Inc.COM61,731$3.77M0.2%History
ALTAltimmune, Inc.COM NEW226,629$3.73M0.2%History
AZNAstraZeneca PLCSPONSORED ADR54,679$3.71M0.2%History
KHCKraft Heinz CoStock90,951$3.70M0.2%History
iShares Russell 1000 Value ETF464287598ETF24,104$3.65M0.2%–
PNCPNC Financial Services Group, Inc.Stock22,654$3.58M0.2%History
SPGSimon Property Group Inc.REIT29,589$3.48M0.2%History
IPIIntrepid Potash, Inc.COM116,970$3.38M0.2%History
COFCapital One Financial CorpStock34,484$3.21M0.2%History
BKNGBooking Holdings Inc.Stock1,575$3.17M0.2%History
CLFCleveland-Cliffs Inc.COM194,142$3.13M0.1%History
EPDEnterprise Products Partners L.P.Stock129,623$3.13M0.1%History
SNAPSnap IncStock346,497$3.10M0.1%History
SWAVShockwave Medical, Inc.COM15,029$3.09M0.1%History
CTRACoterra Energy Inc.Stock122,027$3.00M0.1%History
VALEVale S.A.SPONSORED ADS176,250$2.99M0.1%History
CHKPCheck Point Software Technologies LtdORD23,376$2.95M0.1%History
CXWCoreCivic, Inc.COM249,629$2.88M0.1%History
IEPIcahn Enterprises L.P.DEPOSITARY UNIT56,138$2.84M0.1%History
OCOwens CorningStock33,070$2.82M0.1%History
Vanguard Dividend Appreciation ETF921908844ETF18,396$2.79M0.1%–
MCKMcKesson CorpStock7,116$2.67M0.1%History
STTState Street CorpCOM33,384$2.59M0.1%History
Vanguard S&P 500 ETF922908363ETF7,332$2.58M0.1%–
iShares Tr464288281JPMORGAN USD EMG30,219$2.56M0.1%–
LNGCheniere Energy, Inc.COM NEW16,056$2.41M0.1%History
APPAppLovin CorpCOM CL A226,796$2.39M0.1%History
SPDR Series Trust78464A755ST STR SP METAL47,824$2.38M0.1%–
WFCWells Fargo & CompanyStock56,601$2.34M0.1%History
CELHCelsius Holdings, Inc.COM NEW21,769$2.26M0.1%History
TPRTapestry, Inc.COM58,149$2.21M0.1%History
HLTHilton Worldwide Holdings Inc.COM17,257$2.18M0.1%History
LENLennar CorpCL A23,924$2.17M0.1%History
HOGHarley-Davidson, Inc.COM51,878$2.16M0.1%History
iShares Tr464288752US HOME CONS ETF33,887$2.05M0.1%–
FUTUFutu Holdings LtdSPON ADS CL A49,828$2.02M0.1%History
SMGScotts Miracle-Gro CoStock41,454$2.01M0.1%History
ISRGIntuitive Surgical IncCOM NEW7,513$1.99M0.1%History
SONSonoco Products CoCOM32,323$1.96M0.1%History
EMBJEmbraer S.A.ADR175,629$1.92M0.1%History
QTRXQuanterix CorpCOM137,836$1.91M0.1%History
AXONAxon Enterprise, Inc.COM11,423$1.90M0.1%History
FMXMexican Economic Development IncSPON ADR UNITS24,242$1.89M0.1%History
WYNNWynn Resorts LtdCOM22,835$1.88M0.1%History
DVAXDynavax Technologies CorpCOM NEW175,776$1.87M0.1%History
VRNAVerona Pharma plcSPONSORED ADS71,332$1.86M0.1%History
SONYSony Group CorpSPONSORED ADR24,058$1.83M0.1%History
FLEXFlex Ltd.Stock83,860$1.80M0.1%History
FXBInvesco CurrencyShares British Pound Sterling TrustBRIT POUN STRL15,228$1.77M0.1%History
iShares Core S&P 500 ETF464287200ETF4,521$1.74M0.1%–
HPEHewlett Packard Enterprise CoCOM106,521$1.70M0.1%History
NTNXNutanix, Inc.Stock64,641$1.68M0.1%History
KKellanovaStock22,793$1.62M0.1%History
IRMIron Mountain IncCOM31,638$1.58M0.1%History
UDNInvesco DB US Dollar Index Bearish FundBEARISH FD84,069$1.55M0.1%History
ROKRockwell Automation, IncStock6,009$1.55M0.1%History
AZOAutoZone IncCOM613$1.51M0.1%History
SWNSouthwestern Energy CoCOM254,796$1.49M0.1%History
APTVAptiv PLCSHS15,916$1.48M0.1%History
CBOECboe Global Markets, Inc.COM11,803$1.48M0.1%History
LAZLazard, Inc.SHS A42,541$1.47M0.1%History
BACBank of America CorpStock44,502$1.47M0.1%History
KRTXKaruna Therapeutics, Inc.COM7,232$1.42M0.1%History
LUMNLumen Technologies, Inc.Stock272,180$1.42M0.1%History
GFLGFL Environmental Inc.SUB VTG SHS48,571$1.42M0.1%History
SJMJ M SMUCKER CoStock8,690$1.38M0.1%History
UNFIUnited Natural Foods IncCOM34,819$1.35M0.1%History