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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
SLNHSoluna Holdings, IncCOM2,411$00.0%−1,277−34.6%ReducedHistory
MINDMind Technology, IncCOM821$00.0%+821NewHistory
NGMNGM Biopharmaceuticals IncCOM355$00.0%+219+161.0%AddedHistory
NMRDNemaura Medical Inc.COM NEW2,814$00.0%+2,814NewHistory
NRTNorth European Oil Royalty TrustSH BEN INT47$00.0%−65−58.0%ReducedHistory
NSTBNorthern Star Investment Corp. IICOM CLASS A1$00.0%00.0%UnchangedHistory
TURN180 Degree Capital Corp.COM NEW31$00.0%+31NewHistory
OESXOrion Energy Systems, Inc.COM594$00.0%−14−2.3%ReducedHistory
PVLPermianville Royalty TrustTR UNIT391$00.0%+391NewHistory
PHUNPhunware, Inc.COM4,729$00.0%+3,279+226.1%AddedHistory
PXLWPixelworks, IncCOM NEW123$00.0%+123NewHistory
DTILPrecision Biosciences IncCOM96$00.0%+96NewHistory
PRAProassurance CorpCOM51$00.0%+51NewHistory
ProShares Tr74347R370PSHS SH MSCI EAF21$00.0%−54−72.0%Reduced–
PYRGFPyroGenesis Canada Inc.COM1$00.0%−587−99.8%ReducedHistory
Qiwi PLC74735M108SPON ADR REP B3,247$00.0%00.0%Unchanged–
OLOXOlenox Industries Inc.COM NEW911$00.0%−23,167−96.2%ReducedHistory
SANWS&W Seed CoCOM140$00.0%+140NewHistory
SFESSafeguard Scientifics IncCOM NEW50$00.0%+50NewHistory
SCWXSecureWorks CorpCL A25$00.0%+25NewHistory
RNACCartesian Therapeutics, Inc.COM209$00.0%−1,085−83.8%ReducedHistory
SGLYSingularity Future Technology Ltd.COM NEW755$00.0%−7,962−91.3%ReducedHistory
TELFYTelefonica S ASPONSORED ADR77$00.0%−488−86.4%ReducedHistory
TRVGtrivago N.V.SPON ADS A SHS198$00.0%+146+280.8%AddedHistory
UONEUrban One, Inc.CL A1$00.0%−3,748−100.0%ReducedHistory
VanEck Vectors ETF Tr92189H839SOCIAL SENTIMENT14$00.0%−479−97.2%Reduced–
VHCVirnetX Holding CorpCOM600$00.0%−13,600−95.8%ReducedHistory
VVOSVivos Therapeutics, Inc.COM167$00.0%+163+4,075.0%AddedHistory
YRDYiren Digital Ltd.SPONSORED ADS12$00.0%+12NewHistory
CMBTCmb.tech NVSHS34$00.0%−37,099−99.9%ReducedHistory
DOGZDogness (International) CorpCOM CL A50$00.0%−100−66.7%ReducedHistory
CLPSCLPS IncCOM96$00.0%+96NewHistory
GANGAN LtdORD SHS367$00.0%−27,637−98.7%ReducedHistory
LBTYKLiberty Global Ltd.SHS CL C39$00.0%−1,704−97.8%ReducedHistory
RVLPRVL Pharmaceuticals plcSHS1,622$00.0%+1,622NewHistory
Spi Energy Co LtdG8651P110SHS NEW712$00.0%+15+2.2%Added–
Vivopower International PLCG9376R100SHS203$00.0%+203New–
CSTECaesarstone Ltd.ORD SHS44$00.0%+44NewHistory
ENTXEntera Bio Ltd.SHS86$00.0%−13−13.1%ReducedHistory
EVGNEvogene Ltd.SHS403$00.0%−79−16.4%ReducedHistory
LFWDLifeward Ltd.SHS157$00.0%00.0%UnchangedHistory
Affimed N VN01045108COM1,176$00.0%−1,000−46.0%Reduced–
LVTXLAVA Therapeutics NVSHS674$00.0%−468−41.0%ReducedHistory
ALZNAlzamend Neuro, Inc.COM NEW79$00.0%−400−83.5%ReducedHistory
Beachbody Company, Inc.073463101COM CL A1,971$00.0%−5,500−73.6%Reduced–
CRGECharge Enterprises, Inc.COM567$00.0%+503+785.9%AddedHistory
Direxion Shs ETF Tr25460G542DAILY TRAVEL VAC59$00.0%−15−20.3%Reduced–
LENZLENZ Therapeutics, Inc.COM186$00.0%+186NewHistory
LYELLyell Immunopharma, Inc.COM553$00.0%+553NewHistory
MIROMiromatrix Medical Inc.COM197$00.0%−659−77.0%ReducedHistory
NMTCNeuroone Medical Technologies CorpCOM NEW25$00.0%−5−16.7%ReducedHistory
TRAWTraws Pharma, Inc.COM NEW107$00.0%+107NewHistory
SHCRSharecare, Inc.COM CL A147$00.0%+147NewHistory
OMICSingular Genomics Systems, Inc.COM192$00.0%−941−83.1%ReducedHistory
Social Leverage Acquisn Corp83363K102COM CL A1$00.0%00.0%Unchanged–
MEHCQChrome Holding Co.CLASS A COM240$00.0%−29,277−99.2%ReducedHistory
CLGNCollPlant Biotechnologies LtdSHS NEW100$00.0%+100NewHistory
CRDLCardiol Therapeutics Inc.COM CL A1,054$00.0%+215+25.6%AddedHistory
FCUVFocus Universal Inc.COM136$00.0%−38,231−99.6%ReducedHistory
Kraneshares Tr500767587QUADRATIC DEFLA13$00.0%−53−80.3%Reduced–
PMCBPharmaCyte Biotech, Inc.COM NEW199$00.0%−46,950−99.6%ReducedHistory
RBOTVicarious Surgical Inc.COM CL A919$00.0%−4,721−83.7%ReducedHistory
XOSXos, Inc.COMMON STOCK100$00.0%+100NewHistory
AVXAvax One Technology Ltd.COM770$00.0%+770NewHistory
YQ17 Education & Technology Group Inc.ADS200$00.0%−406−67.0%ReducedHistory
Snow Lake Res Ltd83336J208COM223$00.0%−1,597−87.7%Reduced–
TDCX Inc87190U100ADS94$00.0%−16−14.5%Reduced–
TSVT2seventy bio, Inc.COMMON STOCK182$00.0%−609−77.0%ReducedHistory
VCSAVacasa, Inc.CLASS A COM1,010$00.0%−6,961−87.3%ReducedHistory
VanEck ETF Trust92189Y303BITCOIN STRATEGY22$00.0%+22New–
TLSATiziana Life Sciences LtdCOM75$00.0%−287−79.3%ReducedHistory
CENNCenntro Inc.ORD SHS548$00.0%−4,952−90.0%ReducedHistory
ACLXArcellx, Inc.COMMON STOCK9$00.0%+9NewHistory
CISOCISO Global, Inc.COM500$00.0%−200−28.6%ReducedHistory
NVXNOVONIX LtdSPONSORED ADS260$00.0%−28−9.7%ReducedHistory
ProShares Tr74347G358ULSHOIL&GASNEW1376$00.0%+76New–
FAZEFaZe Holdings Inc.COMMON STOCK3,883$00.0%−38,436−90.8%ReducedHistory
ProShares Tr74347G283ULT MSCI BR CAPP9$00.0%+9New–
PROKProkidney Corp.COMMON STOCK119$00.0%+119NewHistory
AKLIAkili, Inc.COMMON STOCK1$00.0%00.0%UnchangedHistory
CEINViking Global Technologies, Inc.COM3,640$00.0%+3,640NewHistory
Global X FDS37960A685MSCI CHINA RE12$00.0%−70−85.4%Reduced–
TMPOTempo Automation Holdings, Inc.COM1$00.0%00.0%UnchangedHistory
BRDSBird Global, Inc.COM CL A245$00.0%+245NewHistory
FRSXForesight Autonomous Holdings Ltd.SPONSORED ADR84$00.0%+84NewHistory
Investment Managers Ser Tr I46144X412AXS CANNABIS ETF30$00.0%+30New–
PRPOPrecipio, Inc.COM1$00.0%−1−37.5%ReducedConverted for a 1-for-20 splitHistory
VCNXVaccinex, Inc.COM NEW54$00.0%+31+138.2%AddedConverted for a 1-for-15 splitHistory
State Street SPDR S&P 600 Small Cap Value ETF78464A300ETF16$1.00K<0.1%+16New–
Truth Social God Bless America ETF886364462ETF59$1.00K<0.1%+59New–
iShares S&P Small-Cap 600 Growth ETF464287887ETF18$1.00K<0.1%+18New–
Vanguard Utilities ETF92204A876ETF8$1.00K<0.1%−3,697−99.8%Reduced–
BRZEBraze, Inc.Stock41$1.00K<0.1%+41NewHistory
EEExcelerate Energy, Inc.CL A COM97$1.00K<0.1%−702−87.9%ReducedHistory
RSKDRiskified Ltd.SHS CL A284$1.00K<0.1%+284NewHistory
HLMNHillman Solutions Corp.COM127$1.00K<0.1%+127NewHistory
PBYIPuma Biotechnology, Inc.COM757$1.00K<0.1%−4,593−85.9%ReducedHistory
SEISolaris Energy Infrastructure, Inc.COM CL A180$1.00K<0.1%−2,367−92.9%ReducedHistory
CUZCousins Properties IncCOM NEW77$1.00K<0.1%+77NewHistory
CYDChina Yuchai International LtdCOM130$1.00K<0.1%−31−19.3%ReducedHistory

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%–