Skip to main content
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
Emx Rty Corp26873J107COM137$00.0%−100−42.2%Reduced–
CHRNChronoScale Holdings CorpCOM228$00.0%−3,870−94.4%ReducedHistory
WATTEnergous CorpCOM1,027$00.0%−10,016−90.7%ReducedHistory
ENGEnglobal CorpCOM230$00.0%+230NewHistory
EVLOEvelo Biosciences, Inc.COM1,469$00.0%+1,469NewHistory
FNCHFinch Therapeutics Group, Inc.COM461$00.0%−400−46.5%ReducedHistory
FRSXForesight Autonomous Holdings Ltd.SPONSORED ADS1,199$00.0%−348−22.5%ReducedHistory
DMRADamora Therapeutics, Inc.COM300$00.0%+300NewHistory
Genetic Technologies Ltd37185R307NEW SPONSRD ADR211$00.0%+211New–
GIFIGulf Island Fabrication IncCOM137$00.0%−205−59.9%ReducedHistory
GUREGulf Resources, Inc.COM200$00.0%+200NewHistory
HARPHarpoon Therapeutics, Inc.COM885$00.0%−4,512−83.6%ReducedHistory
HAYNHaynes International IncCOM NEW13$00.0%−186−93.5%ReducedHistory
HGENHumanigen, IncCOM NEW6,389$00.0%−66,059−91.2%ReducedHistory
HYREHC Liquidating, Inc.COM1,600$00.0%−1,121−41.2%ReducedHistory
ICADIcad IncCOM NEW748$00.0%−893−54.4%ReducedHistory
IVFINVO Fertility, Inc.COM585$00.0%+585NewHistory
IDEXIdeanomics, Inc.COM8,200$00.0%−100−1.2%ReducedHistory
IMBILegacy IMBDS, Inc.COM CL A534$00.0%+402+304.5%AddedHistory
IVCInvacare Holdings CorpCOM100$00.0%−21−17.4%ReducedHistory
INTZIntrusion IncCOM NEW153$00.0%−1,664−91.6%ReducedHistory
IZEAIZEA Worldwide, Inc.COM93$00.0%−167−64.2%ReducedHistory
Khosla Ventures Acquisition482504107CL A1$00.0%−200−99.5%Reduced–
STKHSteakholder Foods Ltd.SPONSORED ADS675$00.0%−514−43.2%ReducedHistory
MTEMMolecular Templates, Inc.COM157$00.0%+157NewHistory
MRCCMonroe Capital CorpCOM1$00.0%−525−99.8%ReducedHistory
CAFMorgan Stanley China A Share Fund, Inc.COM62$00.0%00.0%UnchangedHistory
MBIOMustang Bio, Inc.COM10$00.0%+10NewHistory
NBSENeuBase Therapeutics, Inc.COM1,725$00.0%+1,725NewHistory
NKLANikola CorpCOM500$00.0%−2,411−82.8%ReducedHistory
TURN180 Degree Capital Corp.COM NEW113$00.0%−110−49.3%ReducedHistory
PASGPassage BIO, Inc.COM318$00.0%+318NewHistory
PLXPPLx Pharma Winddown Corp.COM2,324$00.0%+2,150+1,235.6%AddedHistory
PRPOPrecipio, Inc.COM474$00.0%−791−62.5%ReducedHistory
Qiwi PLC74735M108SPON ADR REP B3,247$00.0%00.0%Unchanged–
RUBYRubius Therapeutics, Inc.COM3,856$00.0%+3,856NewHistory
SCWXSecureWorks CorpCL A42$00.0%−127−75.1%ReducedHistory
NTRPNextTrip, Inc.COM2,272$00.0%+1,061+87.6%AddedHistory
Signature BK New York N Y82669G104COM2,100$00.0%+2,100New–
SITCSITE Centers Corp.COM68$00.0%+68NewHistory
TCONTracon Pharmaceuticals, Inc.COM NEW447$00.0%+447NewHistory
UBAUrstadt Biddle Properties IncCL A42$00.0%−105−71.4%ReducedHistory
VBIVVBI Vaccines Inc/BCCOM NEW864$00.0%−63,389−98.7%ReducedHistory
VAPOVapotherm IncCOM1,232$00.0%+138+12.6%AddedHistory
VXRTVaxart, Inc.COM NEW156$00.0%−23,329−99.3%ReducedHistory
VVOSVivos Therapeutics, Inc.COM548$00.0%+548NewHistory
XBIOXenetic Biosciences, Inc.COM1,361$00.0%+1,361NewHistory
ZYNEZynerba Pharmaceuticals, Inc.COM2,274$00.0%−1,393−38.0%ReducedHistory
Bridgetown Holdings LtdG1355U113COM CL A1$00.0%−4,218−100.0%Reduced–
HZONHorizon Acquisition Corp IISHS CL A1$00.0%−2,336−100.0%ReducedHistory
SRLScully Royalty Ltd.COM SHS22$00.0%+22NewHistory
OBSVObsEva SACOM1,489$00.0%−68,371−97.9%ReducedHistory
EVGNEvogene Ltd.SHS675$00.0%−9−1.3%ReducedHistory
MNDOMind Cti LtdORD158$00.0%+158NewHistory
NTBLNotable Labs, Ltd.COM100$00.0%−104,119−99.9%ReducedHistory
ATIPATI Physical Therapy, Inc.COM CL A239$00.0%−2,112−89.8%ReducedHistory
NEUENeueHealth, Inc.COM2,247$00.0%−5,800−72.1%ReducedHistory
EGLXFEnthusiast Gaming Holdings Inc. / CanadaCOM61$00.0%−1,943−97.0%ReducedHistory
NSPRInspireMD, Inc.COM56$00.0%00.0%UnchangedHistory
PWCMPowercompute, Inc.COM826$00.0%−3,772−82.0%ReducedHistory
LYELLyell Immunopharma, Inc.COM18$00.0%+18NewHistory
NMTCNeuroone Medical Technologies CorpCOM NEW324$00.0%+54+20.0%AddedHistory
NOVNNVN Liquidation, Inc.COM NEW341$00.0%+341NewHistory
ProShares Tr74347G564ULTSHT HLTHCRE31$00.0%−7−18.4%Reduced–
OMICSingular Genomics Systems, Inc.COM81$00.0%−953−92.2%ReducedHistory
SKILSkillsoft Corp.CL A191$00.0%−1,390−87.9%ReducedHistory
Social Leverage Acquisn Corp83363K102COM CL A1$00.0%00.0%Unchanged–
INCRIntercure Ltd.Common Stock100$00.0%+100NewHistory
CELUCelularity IncCOM CL A975$00.0%−2,229−69.6%ReducedHistory
FFAIFaraday Future Intelligent Electric Inc.COM2,200$00.0%−3,800−63.3%ReducedHistory
Vicinity Motor Corp925654105COM188$00.0%00.0%Unchanged–
OTMOOtonomo Technologies Ltd.ORDINARY SHARES808$00.0%−574−41.5%ReducedHistory
Hyperscale Data, Inc.09175M101COM1,270$00.0%−400−24.0%Reduced–
HRTHireRight Holdings CorpCOM5$00.0%+5NewHistory
AIFFFirefly Neuroscience, Inc.COM281$00.0%−14,427−98.1%ReducedHistory
Kraneshares Tr500767553CALIFORNIA CARB36$00.0%+36New–
LFLYLeafly Holdings, Inc.COMMON STOCK397$00.0%−23,646−98.3%ReducedHistory
NXT-Id Inc67091J404COM NEW3,673$00.0%+813+28.4%Added–
PEARPear Therapeutics, Inc.CLASS A COM30$00.0%−221−88.0%ReducedHistory
TDCX Inc87190U100ADS100$00.0%+100New–
CISOCISO Global, Inc.COM1,517$00.0%−15,239−90.9%ReducedHistory
SATLSatellogic Inc.CLASS A ORD SHS11$00.0%−28,702−100.0%ReducedHistory
APGNApexigen, Inc.Equity1,028$00.0%+1,028NewHistory
XELAExela Technologies, Inc.COM NEW5,343$00.0%+5,343NewHistory
ProShares Tr74347G283ULT MSCI BR CAPP33$00.0%−1,163−97.2%Reduced–
TRXTRX GOLD CorpCOM100$00.0%00.0%UnchangedHistory
GGRGogoro Inc.ORDINARY SHARES130$00.0%−957−88.0%ReducedHistory
AKLIAkili, Inc.COMMON STOCK1$00.0%−1,563−99.9%ReducedHistory
RBTCRubicon Technologies, Inc.CL A COM1$00.0%00.0%UnchangedHistory
SYRSSyros Pharmaceuticals, Inc.COM NEW196$00.0%−1,093−84.8%ReducedHistory
TRVNTrevena IncCOM NEW8$00.0%00.0%UnchangedHistory
Aslan Pharmaceuticals Ltd04522R200SPON ADS NEW309$00.0%+309New–
RAASYCloopen Group Holding LtdADS437$00.0%+437NewHistory
Strategy Shares Nasdaq 7HANDL Index ETF86280R506ETF95$1.00K<0.1%−59−38.3%Reduced–
iShares Future AI & Tech ETF46435U556ETF32$1.00K<0.1%+32New–
BF.BBrown Forman CorpStock31$1.00K<0.1%+31NewHistory
AOUTAmerican Outdoor Brands, Inc.COM163$1.00K<0.1%+163NewHistory
TGSGas Transporter of the South IncSPONSORED ADS B162$1.00K<0.1%+162NewHistory
NWPXNWPX Infrastructure, Inc.COM41$1.00K<0.1%−465−91.9%ReducedHistory
ECHOEchoStar CORPCL A94$1.00K<0.1%+94NewHistory

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