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Livermore
Livermore
ZHEN

Simplex Trading, LLC

SEC CIK
0001488542
Latest filing
Aug 12, 2026

Holdings in Q3 2023

Holdings as of Sep 30, 2023, filed Nov 1, 2023. Long positions only; changes compare share counts with Q2 2023.

Institution overview
Positions
2,310
−121 vs. Q2 2023
Portfolio value
$2.73B
+$372.1M (+15.8%) vs. Q2 2023
Filed
Nov 1, 2023
SEC
Holdings of Simplex Trading, LLC in Q3 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
ONLOrion Properties Inc.REIT81$00.0%−120−59.7%ReducedHistory
EMBCEmbecta Corp.Stock58$00.0%−6,207−99.1%ReducedHistory
Fidelity MSCI Materials Index ETF316092881ETF5$00.0%+5New–
ICFIICF International, Inc.Stock1$00.0%+1NewHistory
LINDLindblad Expeditions Holdings, Inc.Stock87$00.0%+87NewHistory
NBISNebius Group N.V.Stock25,787$00.0%00.0%UnchangedHistory
RCATRed Cat Holdings, Inc.Stock853$00.0%−7,490−89.8%ReducedHistory
AOUTAmerican Outdoor Brands, Inc.COM57$00.0%+57NewHistory
SEICSEI Investments CoCOM1$00.0%+1NewHistory
Global X FDS37954Y285TELMDC&DIG ETF89$00.0%+89New–
LODEComstock Inc.COM NEW80$00.0%+80NewHistory
CTOCTO Realty Growth, Inc.COM4$00.0%−560−99.3%ReducedHistory
GLGlobe Life Inc.COM2$00.0%+2NewHistory
Townebank Portsmouth Va89214P109COM16$00.0%−235−93.6%Reduced–
SPDR Series Trust78464A656ST STR TIPS ETF30$00.0%−569−95.0%Reduced–
IBEXIBEX LtdSHS NEW14$00.0%+14NewHistory
Invesco Exchange Traded FD T46137V787BIOTECHNOLOGY2$00.0%−398−99.5%Reduced–
MCRIMonarch Casino & Resort IncCOM13$00.0%+13NewHistory
NGVCNatural Grocers by Vitamin Cottage, Inc.COM70$00.0%+66+1,650.0%AddedHistory
OSWOnespaworld Holdings LtdCOM10$00.0%+10NewHistory
Invesco India Exchange-Trade46137R109INDIA ETF24$00.0%+24New–
NPKINPK International Inc.COM SHS44$00.0%+44NewHistory
CELCCelcuity Inc.COM75$00.0%−43−36.4%ReducedHistory
GTYGetty Realty CorpCOM17$00.0%−155−90.1%ReducedHistory
VIAVViavi Solutions Inc.COM46$00.0%+46NewHistory
iShares Tr46428865310-20 YR TRS ETF1$00.0%+1New–
ENICEnel Chile S.A.SPONSORED ADR154$00.0%+13+9.2%AddedHistory
AATAmerican Assets Trust, Inc.COM2$00.0%+2NewHistory
ANGOAngiodynamics IncCOM66$00.0%−60−47.6%ReducedHistory
NWBINorthwest Bancshares, Inc.COM62$00.0%+62NewHistory
Dimensional ETF Trust25434V666US LARG VALU ETF23$00.0%+23New–
HOPEHope Bancorp IncCOM90$00.0%+90NewHistory
DIBS1stdibs.com, Inc.COM51$00.0%+51NewHistory
PINEAlpine Income Property Trust, Inc.COM14$00.0%+14NewHistory
AUDCAudiocodes LtdORD49$00.0%−536−91.6%ReducedHistory
CMCLCaledonia Mining Corp PlcSHS NEW61$00.0%+61NewHistory
CZNCCitizens & Northern CorpCOM56$00.0%+56NewHistory
CLPRClipper Realty Inc.COM39$00.0%−244−86.2%ReducedHistory
CVUCpi Aerostructures IncCOM NEW50$00.0%+50NewHistory
DHDefinitive Healthcare Corp.CLASS A COM57$00.0%−1,735−96.8%ReducedHistory
DSGNDesign Therapeutics, Inc.COM265$00.0%−117−30.6%ReducedHistory
FATEFate Therapeutics IncCOM319$00.0%−9,122−96.6%ReducedHistory
GNSSGenasys Inc.COM311$00.0%+311NewHistory
HGTYHagerty, Inc.CL A COM104$00.0%−9,928−99.0%ReducedHistory
HFWAHeritage Financial CorpCOM25$00.0%+25NewHistory
HYPRHyperfine, Inc.COM CL A486$00.0%+486NewHistory
INTTIntest CorpCOM11$00.0%+11NewHistory
IVVDInvivyd, Inc.COM198$00.0%+95+92.2%AddedHistory
KINSKingstone Companies, Inc.COM400$00.0%+400NewHistory
KODKodiak Sciences Inc.COM202$00.0%−101,261−99.8%ReducedHistory
MLSSMilestone Scientific Inc.COM NEW91$00.0%−397−81.4%ReducedHistory
NHTCNatural Health Trends CorpCOM97$00.0%+2+2.1%AddedHistory
STIMNeuronetics, Inc.COM122$00.0%+122NewHistory
NXDRNextdoor Holdings, Inc.COM CL A113$00.0%+113NewHistory
OSSOne Stop Systems, Inc.COM5$00.0%−9,462−99.9%ReducedHistory
PRLDPrelude Therapeutics IncCOM31$00.0%+31NewHistory
REFRResearch Frontiers IncCOM95$00.0%−5−5.0%ReducedHistory
RFILR F Industries LtdCOM PAR $0.0192$00.0%−2,331−96.2%ReducedHistory
STTKShattuck Labs, Inc.COM152$00.0%−133−46.7%ReducedHistory
SKYXSKYX Platforms Corp.COM606$00.0%−62,690−99.0%ReducedHistory
SLDBSolid Biosciences Inc.COM NEW27$00.0%+27NewHistory
TUYATuya Inc.SPONSERED ADS388$00.0%+304+361.9%AddedHistory
VERIVeritone, Inc.COM178$00.0%+178NewHistory
VMDViemed Healthcare, Inc.COM37$00.0%+37NewHistory
XBITXBiotech Inc.COM164$00.0%−309−65.3%ReducedHistory
XWELXWELL, Inc.COM NEW66$00.0%−897−93.1%ReducedConverted for a 1-for-20 splitHistory
Aethlon Med Inc00808Y307COM1,171$00.0%+203+21.0%Added–
APPHAppHarvest, Inc.COM2,800$00.0%−121,381−97.7%ReducedHistory
AMTIApplied Molecular Transport Inc.COM427$00.0%+427NewHistory
STEXStreamex Corp.COM NEW786$00.0%+786NewHistory
BDSXBiodesix IncCOM95$00.0%00.0%UnchangedHistory
BKCCBlackRock Capital Investment CorpCOM128$00.0%+128NewHistory
CMCTCreative Media & Community Trust CorpCOM NEW174$00.0%+174NewHistory
CASACasa Systems IncCOM681$00.0%−72−9.6%ReducedHistory
CSSEChicken Soup for the Soul Entertainment, Inc.CL A2,233$00.0%−4,743−68.0%ReducedHistory
CORRCorEnergy Infrastructure Trust, Inc.COM NEW500$00.0%+500NewHistory
Bio Green Med Solution, Inc.23254L603COM17$00.0%00.0%Unchanged–
DBX ETF Tr233051754XTRACK CSI 500 A2$00.0%+2New–
DRIODarioHealth Corp.COM NEW24$00.0%−633−96.3%ReducedHistory
Direxion Shs ETF Tr25460E711DLY UTLTIES 3X11$00.0%+11New–
Direxion Shs ETF Tr25460G815RETAIL BULL 3X164$00.0%+132+412.5%Added–
DOYUDouYu International Holdings LtdSPONSORED ADS240$00.0%−24,308−99.0%ReducedHistory
Emx Rty Corp26873J107COM513$00.0%+80+18.5%Added–
ETF Managers Tr26924G409PRIME MOBILE PAY13$00.0%−76−85.4%Reduced–
POLPolished.com Inc.COM400$00.0%−2,300−85.2%ReducedHistory
EMKREmcore CorpCOM NEW130$00.0%−1,834−93.4%ReducedHistory
LNAILunai Bioworks Inc.COM74$00.0%+74NewHistory
FRGIFiesta Restaurant Group, Inc.COM97$00.0%+97NewHistory
FLNTFluent, Inc.COM1,562$00.0%+1,562NewHistory
FUSNFusion Pharmaceuticals Inc.COM79$00.0%−1,322−94.4%ReducedHistory
GTBPGT Biopharma, Inc.COM NEW454$00.0%+54+13.5%AddedHistory
NVRIEnviri CorpCOM82$00.0%−308−79.0%ReducedHistory
SCPXScorpius Holdings, Inc.COM62$00.0%+55+785.7%AddedHistory
QTTBQ32 Bio Inc.COM490$00.0%+490NewHistory
INTZIntrusion IncCOM NEW2,863$00.0%−7,142−71.4%ReducedHistory
iShares Tr46434V514MSCI CHINA A9$00.0%+9New–
KULRKULR Technology Group, Inc.Common Stock769$00.0%+769NewHistory
LESLLeslie's, Inc.COM140$00.0%−4,155−96.7%ReducedHistory
LYRALyra Therapeutics, Inc.COM84$00.0%−1,711−95.3%ReducedHistory
STKHSteakholder Foods Ltd.SPONSORED ADS1,106$00.0%+1,004+984.3%AddedHistory

Options (6,383)

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 6,383 by value.

Option positions of Simplex Trading, LLC in Q3 2023
SecurityClassPutsCalls
SPDR S&P 500 ETF Tr78462F953PUT$19.0B–
SPDR S&P 500 ETF Tr78462F903CALL–$9.06B
Invesco QQQ Tr46090E953PUT$6.82B–
iShares Tr464287957PUT$4.02B–
Tesla Inc88160R951PUT$3.25B–
Invesco QQQ Tr46090E903UNIT SER 1–$3.21B
Tesla Inc88160R901CALL–$2.90B
iShares Tr464287907CALL–$2.83B
Apple Inc037833900CALL–$2.52B
NVIDIA Corporation67066G904CALL–$2.39B
NVIDIA Corporation67066G954PUT$2.24B–
Apple Inc037833950PUT$1.65B–
Facebook Inc30303M902CALL–$1.61B
Microsoft Corp594918904CALL–$1.47B
Select Sector SPDR Tr81369Y956PUT$1.35B–
Alphabet Inc02079K905CALL–$1.27B
Microsoft Corp594918954PUT$1.24B–
Amazon Com Inc023135906CALL–$1.21B
Facebook Inc30303M952PUT$1.09B–
SPDR Gold Tr78463V907CALL–$1.01B
Amazon Com Inc023135956PUT$976.4M–
Alphabet Inc02079K955PUT$930.7M–
Select Sector SPDR Tr81369Y906CALL–$904.4M
Netflix Inc64110L956PUT$632.7M–
SPDR Dow Jones Indl Average78467X959PUT$605.2M–
SPDR Gold Tr78463V957GOLD SHS$603.5M–
Netflix Inc64110L906CALL–$574.2M
Alibaba Group Hldg Ltd01609W902CALL–$568.3M
SPDR Dow Jones Indl Average78467X909CALL–$512.3M
Booking Holdings Inc09857L958PUT$492.2M–
Advanced Micro Devices Inc007903957PUT$454.5M–
Advanced Micro Devices Inc007903907CALL–$437.3M
SPDR Ser Tr78464A958PUT$435.0M–
VanEck Vectors ETF Tr92189F902CALL–$392.2M
iShares Tr464288955PUT$373.6M–
Broadcom Inc11135F951PUT$372.9M–
Disney Walt Co254687906CALL–$337.2M
Broadcom Inc11135F901CALL–$318.9M
Adobe Systems Incorporated00724F901CALL–$313.6M
VanEck Vectors ETF Tr92189F952PUT$301.9M–
JPMorgan Chase & Co46625H905CALL–$290.8M
Alibaba Group Hldg Ltd01609W952PUT$279.3M–
PayPal Hldgs Inc70450Y903CALL–$262.7M
JPMorgan Chase & Co46625H955PUT$252.4M–
SPDR Ser Tr78464A908CALL–$250.1M
Salesforce Com Inc79466L952PUT$243.1M–
Boeing Co097023955PUT$240.8M–
Exxon Mobil Corp30231G902CALL–$234.6M
Boeing Co097023905COM–$227.5M
Exxon Mobil Corp30231G952PUT$216.9M–
BK of America Corp060505954PUT$203.5M–
Goldman Sachs Group Inc38141G954PUT$203.5M–
Citigroup Inc172967904CALL–$199.9M
Costco WHSL Corp New22160K955PUT$198.1M–
Berkshire Hathaway Inc Del084670902CALL–$196.4M
Lilly Eli & Co532457908CALL–$195.9M
Adobe Systems Incorporated00724F951PUT$194.2M–
Micron Technology Inc595112953PUT$186.4M–
SPDR Ser Tr78468R957PUT$184.6M–
Salesforce Com Inc79466L902CALL–$182.4M
iShares Silver Tr46428Q909CALL–$178.4M
UnitedHealth Group Inc91324P952PUT$177.8M–
Coinbase Global Inc19260Q957PUT$177.7M–
Oracle Corp68389X905CALL–$169.6M
Goldman Sachs Group Inc38141G904CALL–$168.2M
Disney Walt Co254687956PUT$168.1M–
Intel Corp458140900CALL–$164.2M
Snowflake Inc833445909CALL–$162.8M
Intel Corp458140950PUT$160.7M–
iShares Tr464288905CALL–$158.4M
Taiwan Semiconductor Mfg Ltd874039950PUT$157.6M–
Palo Alto Networks Inc697435955PUT$156.1M–
Chevron Corp New166764900CALL–$154.7M
Johnson & Johnson478160954PUT$153.4M–
Nike Inc654106903CALL–$152.9M
Oracle Corp68389X955PUT$152.3M–
Pinduoduo Inc722304902CALL–$149.4M
Citigroup Inc172967954PUT$148.2M–
Johnson & Johnson478160904CALL–$147.1M
Costco WHSL Corp New22160K905CALL–$146.7M
Lilly Eli & Co532457958PUT$144.8M–
SPDR Ser Tr78468R907CALL–$144.7M
UnitedHealth Group Inc91324P902COM–$143.4M
Uber Technologies Inc90353T900CALL–$143.3M
First Solar Inc336433957PUT$143.2M–
Taiwan Semiconductor Mfg Ltd874039900CALL–$142.0M
Walmart Inc931142903CALL–$140.5M
Palo Alto Networks Inc697435905CALL–$140.1M
Coca Cola Co191216950PUT$137.8M–
Mastercard Incorporated57636Q904CALL–$137.7M
FedEx Corp31428X906CALL–$136.8M
PayPal Hldgs Inc70450Y953PUT$136.3M–
AbbVie Inc00287Y909CALL–$135.2M
Home Depot Inc437076952PUT$131.7M–
Visa Inc92826C909CALL–$130.3M
Coinbase Global Inc19260Q907CALL–$129.7M
BK of America Corp060505904CALL–$129.2M
Micron Technology Inc595112903CALL–$129.1M
Airbnb Inc009066901CALL–$128.5M
Shopify Inc82509L907CALL–$127.5M

Sold out since Q2 2023 (991)

Positions held at the end of Q2 2023 that are gone from this filing.

The largest 100 of 991 by value last quarter.

Positions of Simplex Trading, LLC sold out since Q2 2023
SecurityClassShares in Q2 2023Value in Q2 2023% of portfolio in Q2 2023History
QCOMQualcomm IncStock212,035$25.2M1.1%History
DISWalt Disney CoStock248,676$22.2M0.9%History
SNOWSnowflake Inc.Stock98,730$17.4M0.7%History
FSLRFirst Solar, Inc.Stock79,316$15.1M0.6%History
JNJJohnson & JohnsonStock90,729$15.0M0.6%History
CVSCVS Health CorpStock214,884$14.9M0.6%History
DHIHorton D R IncCOM121,138$14.7M0.6%History
iShares Russell 2000 ETF464287655ETF67,360$12.6M0.5%–
ROKURoku, IncCOM CL A191,475$12.2M0.5%History
State Street Energy Select Sector SPDR ETF81369Y506ETF136,924$11.1M0.5%–
ARK Innovation ETF00214Q104ETF235,047$10.4M0.4%–
State Street SPDR S&P Biotech ETF78464A870ETF116,879$9.72M0.4%–
CTLTCatalent, Inc.COM218,237$9.46M0.4%History
XYZBlock, Inc.CL A139,197$9.27M0.4%History
CRWDCrowdStrike Holdings, Inc.Stock61,673$9.06M0.4%History
DALDelta Air Lines, Inc.COM NEW186,119$8.85M0.4%History
SUSuncor Energy IncStock286,900$8.41M0.4%History
AXPAmerican Express CoStock47,132$8.21M0.3%History
Proshares Ultrapro Short Qqq - US ETP74347G432Exchange-Traded Fund375,259$7.10M0.3%–
FIVNFive9, Inc.COM86,019$7.09M0.3%History
PLTRPalantir Technologies Inc.Stock461,460$7.07M0.3%History
VanEck ETF Trust92189F106GOLD MINERS ETF230,854$6.95M0.3%–
PXDPioneer Natural Resources CoCOM32,837$6.80M0.3%History
CATCaterpillar IncStock26,254$6.46M0.3%History
XOMExxonMobil Holdings CorpCOM59,295$6.36M0.3%History
YELPYelp IncCL A150,658$5.49M0.2%History
Vanguard Morningstar Growth ETF922908736ETF18,050$5.11M0.2%–
XPEVXpeng Inc.ADS368,066$4.94M0.2%History
AMGNAmgen IncStock20,129$4.47M0.2%History
CZRCaesars Entertainment, Inc.COM86,348$4.40M0.2%History
LRCXLam Research CorpCOM6,720$4.32M0.2%History
OPCHOption Care Health, Inc.COM NEW125,364$4.07M0.2%History
iShares Tr4642886613 7 YR TREAS BD34,602$3.99M0.2%–
GMEGameStop Corp.Stock163,394$3.96M0.2%History
iShares S&P 500 Value ETF464287408ETF23,595$3.80M0.2%–
iShares Russell 1000 Value ETF464287598ETF23,681$3.74M0.2%–
Direxion Shs ETF Tr25459W862DRX S&P500BULL40,044$3.60M0.2%–
NOWServiceNow, Inc.Stock6,193$3.48M0.1%History
WPCW. P. Carey Inc.COM47,714$3.22M0.1%History
GXOGXO Logistics, Inc.Stock51,149$3.21M0.1%History
GWWW.W. Grainger, Inc.Stock4,035$3.18M0.1%History
DEDeere & CoStock7,810$3.16M0.1%History
ETSYEtsy IncCOM36,931$3.12M0.1%History
ANETArista Networks, Inc.COM18,346$2.97M0.1%History
Vanguard Morningstar Value ETF922908744ETF20,728$2.94M0.1%–
INTUIntuit Inc.Stock6,396$2.93M0.1%History
LILi Auto Inc.SPONSORED ADS82,963$2.91M0.1%History
BECNQxo Building Products, Inc.COM34,209$2.84M0.1%History
APPFAppfolio IncCOM CL A16,211$2.79M0.1%History
JNPRJuniper Networks IncCOM85,435$2.68M0.1%History
NMMNavios Maritime Partners L.P.COM UNIT LPI119,446$2.61M0.1%History
DUKDuke Energy CORPStock28,917$2.60M0.1%History
PANWPalo Alto Networks IncStock10,153$2.59M0.1%History
ABBNYABB LtdSPONSORED ADR65,156$2.56M0.1%History
AAgilent Technologies, Inc.COM21,129$2.54M0.1%History
DBRGDigitalBridge Group, Inc.CL A NEW172,701$2.54M0.1%History
ACNAccenture plcStock8,194$2.53M0.1%History
ZZillow Group, Inc.CL C CAP STK49,961$2.51M0.1%History
MXLMaxlinear, IncCOM78,618$2.48M0.1%History
KBHKB HomeCOM46,827$2.42M0.1%History
Direxion Shs ETF Tr25460G500OIL GAS BL 2X SH19,934$2.42M0.1%–
AZNAstraZeneca PLCSPONSORED ADR33,308$2.38M0.1%History
DPZDominos Pizza IncCOM7,068$2.38M0.1%History
FYBRFrontier Communications Parent, Inc.COM126,157$2.35M0.1%History
BJBJ's Wholesale Club Holdings, Inc.COM36,218$2.28M0.1%History
AEHRAehr Test SystemsCOM54,413$2.24M0.1%History
DDominion Energy, IncStock43,268$2.24M0.1%History
UNMUnum GroupStock46,643$2.22M0.1%History
NVTnVent Electric plcSHS40,888$2.11M0.1%History
APOApollo Global Management, Inc.COM26,887$2.06M0.1%History
MDTMedtronic plcStock23,255$2.05M0.1%History
iShares Select Dividend ETF464287168ETF17,407$1.97M0.1%–
NRGNRG Energy, Inc.Stock52,523$1.96M0.1%History
WKWorkiva IncCOM CL A18,988$1.93M0.1%History
AMEAmetek IncCOM11,830$1.92M0.1%History
VNOVornado Realty TrustSH BEN INT104,116$1.89M0.1%History
CORCencora, Inc.Stock9,685$1.86M0.1%History
ABNBAirbnb, Inc.Stock14,515$1.86M0.1%History
DOCNDigitalOcean Holdings, Inc.COM46,117$1.85M0.1%History
TRIPTripAdvisor, Inc.COM111,956$1.85M0.1%History
CAGConagra Brands Inc.Stock54,674$1.84M0.1%History
RETAReata Pharmaceuticals IncCL A17,884$1.82M0.1%History
Invesco Exch Traded FD Tr II46138E354S&P500 LOW VOL28,926$1.82M0.1%–
CIRCircor International IncCOM31,931$1.80M0.1%History
UPSUnited Parcel Service IncStock9,932$1.78M0.1%History
WHWyndham Hotels & Resorts, Inc.COM24,685$1.69M0.1%History
EXTRExtreme Networks IncCOM64,680$1.68M0.1%History
MPCMarathon Petroleum CorpStock14,431$1.68M0.1%History
American Centy ETF Tr025072877US SML CP VALU21,287$1.65M0.1%–
HMCHonda Motor Co LtdADR ECH CNV IN 354,073$1.64M0.1%History
BBBLACKBERRY LtdCOM291,487$1.61M0.1%History
MRSHMarsh & McLennan Companies, Inc.Stock8,529$1.60M0.1%History
AUAngloGold Ashanti PLCSPONSORED ADR75,631$1.59M0.1%History
HOLXHologic IncCOM19,652$1.59M0.1%History
WCCWesco International IncCOM8,526$1.53M0.1%History
EDConsolidated Edison IncStock16,877$1.52M0.1%History
CLXClorox CoStock9,433$1.50M0.1%History
TNETTrinet Group, Inc.COM15,743$1.50M0.1%History
NTLAIntellia Therapeutics, Inc.COM36,386$1.48M0.1%History
iShares Tr4642874571 3 YR TREAS BD18,140$1.47M0.1%–