Skip to main content
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
ONTOnterris, Inc.COM50$1.00K<0.1%+50NewHistory
BYByline Bancorp, Inc.COM100$1.00K<0.1%+100NewHistory
LINCLincoln Educational Services CorpCOM218$1.00K<0.1%+218NewHistory
MWAMueller Water Products, Inc.COM SER A100$1.00K<0.1%+100NewHistory
SBHSally Beauty Holdings, Inc.COM174$1.00K<0.1%−5,108−96.7%ReducedHistory
ACCOAcco Brands CorpCOM243$1.00K<0.1%−1,086−81.7%ReducedHistory
LKFNLakeland Financial CorpCOM37$1.00K<0.1%+37NewHistory
WFGWest Fraser Timber Co., LtdCOM21$1.00K<0.1%−956−97.9%ReducedHistory
TMHCTaylor Morrison Home CorpCOM37$1.00K<0.1%+37NewHistory
CCUUnited Breweries Co IncSPONSORED ADR82$1.00K<0.1%−1,714−95.4%ReducedHistory
CECOCeco Environmental CorpCOM100$1.00K<0.1%−896−90.0%ReducedHistory
UGPUltrapar Holdings IncSP ADR REP COM321$1.00K<0.1%−1,922−85.7%ReducedHistory
STXSStereotaxis, Inc.COM NEW1,167$1.00K<0.1%−11,612−90.9%ReducedHistory
TBITrueBlue, Inc.COM90$1.00K<0.1%+90NewHistory
J P Morgan Exchange Traded F46641Q191BETA EURO ET NE33$1.00K<0.1%+33New–
Listed FDS Tr53656G498ROUN MA SEVE ETF58$1.00K<0.1%+58New–
VanEck ETF Trust92189F452MORTGAGE REIT119$1.00K<0.1%+119New–
ACIUAC Immune SASHS553$1.00K<0.1%+553NewHistory
ADCTADC Therapeutics SASHS1,232$1.00K<0.1%+390+46.3%AddedHistory
APIAgora, Inc.ADS591$1.00K<0.1%+591NewHistory
AIRGAirgain IncCOM338$1.00K<0.1%+54+19.0%AddedHistory
AWREAware IncCOM940$1.00K<0.1%+906+2,664.7%AddedHistory
BHRBraemar Hotels & Resorts Inc.COM633$1.00K<0.1%−11,630−94.8%ReducedHistory
DLHCDLH Holdings Corp.COM89$1.00K<0.1%+89NewHistory
DLTHDuluth Holdings Inc.COM CL B174$1.00K<0.1%+174NewHistory
ELMEElme CommunitiesSH BEN INT97$1.00K<0.1%−5−4.9%ReducedHistory
EUenCore Energy Corp.COM NEW471$1.00K<0.1%+471NewHistory
EQEquillium, Inc.COM2,073$1.00K<0.1%+3+0.1%AddedHistory
GICGlobal Industrial CoCOM46$1.00K<0.1%−44−48.9%ReducedHistory
KURAKura Oncology, Inc.COM215$1.00K<0.1%−4,228−95.2%ReducedHistory
LTBRLIGHTBRIDGE CorpCOM366$1.00K<0.1%−2,085−85.1%ReducedHistory
LCTXLineage Cell Therapeutics, Inc.COM1,330$1.00K<0.1%−53−3.8%ReducedHistory
MXCTMaxcyte, Inc.COM570$1.00K<0.1%+55+10.7%AddedHistory
NOAHNoah Holdings LtdSPON ADS98$1.00K<0.1%+98NewHistory
NBPNovaBridge BiosciencesSPONSORED ADS1,020$1.00K<0.1%−561−35.5%ReducedHistory
OLPXOlaplex Holdings, Inc.COM760$1.00K<0.1%+760NewHistory
METCRamaco Resources, Inc.COM CL A175$1.00K<0.1%+175NewHistory
RDIReading International IncCL A663$1.00K<0.1%+663NewHistory
RDVTRed Violet, Inc.COM89$1.00K<0.1%+89NewHistory
SESSES AI CorpCL A COM476$1.00K<0.1%−101−17.5%ReducedHistory
TNYATenaya Therapeutics, Inc.COM464$1.00K<0.1%+464NewHistory
UAMYUnited States Antimony CorpCOM4,295$1.00K<0.1%+1,595+59.1%AddedHistory
UNTYUnity Bancorp IncCOM84$1.00K<0.1%+84NewHistory
VLNValens Semiconductor Ltd.ORDINARY SHARES633$1.00K<0.1%−61−8.8%ReducedHistory
ACERAcer Therapeutics Inc.COM1,945$1.00K<0.1%+499+34.5%AddedHistory
ALTUAltitude Acquisition Corp.COM CL A175$1.00K<0.1%−14,158−98.8%ReducedHistory
ARAVAravive, Inc.COM14,489$1.00K<0.1%+14,489NewHistory
BMRABiomerica IncCOM NEW1,520$1.00K<0.1%−3,192−67.7%ReducedHistory
CalAmp Corp.128126109COM3,897$1.00K<0.1%+364+10.3%Added–
CGAUCenterra Gold Inc.COM225$1.00K<0.1%+225NewHistory
DZSIDZS Inc.COM769$1.00K<0.1%−1,320−63.2%ReducedHistory
HYPDHyperion Defi, Inc.COM1,178$1.00K<0.1%+869+281.2%AddedHistory
FFWMFirst Foundation Inc.COM309$1.00K<0.1%−62,588−99.5%ReducedHistory
FLICFirst of Long Island CorpCOM157$1.00K<0.1%+157NewHistory
FBIOFortress Biotech, Inc.COM5,032$1.00K<0.1%−10,592−67.8%ReducedHistory
GRTXGalera Therapeutics, Inc.COM6,001$1.00K<0.1%−1,491−19.9%ReducedHistory
GBIOGeneration Bio Co.COM455$1.00K<0.1%+229+101.3%AddedHistory
HONEHarborOne Bancorp, Inc.COM NEW175$1.00K<0.1%+104+146.5%AddedHistory
Kraneshares Tr500767835MSCI ALL CHINA100$1.00K<0.1%+100New–
LPSNLiveperson IncCOM397$1.00K<0.1%−16,212−97.6%ReducedHistory
MSBMesabi TrustCTF BEN INT83$1.00K<0.1%−500−85.8%ReducedHistory
ONTFON24 Inc.COM195$1.00K<0.1%+159+441.7%AddedHistory
SPSP Plus CorpCOM38$1.00K<0.1%−3,840−99.0%ReducedHistory
SITCSITE Centers Corp.COM137$1.00K<0.1%−336−71.0%ReducedHistory
TPICQTpi Composites, IncCOM417$1.00K<0.1%−17,504−97.7%ReducedHistory
FLZHFlash Sports & Media Holdings, Inc.COM NEW1,288$1.00K<0.1%+577+81.2%AddedHistory
VIRXViracta Therapeutics, Inc.COM1,142$1.00K<0.1%+1,142NewHistory
SPRUSpruce Power Holding CorpCOM CL A1,889$1.00K<0.1%+1,889NewHistory
ARGOArgo Group International Holdings, Inc.COM38$1.00K<0.1%−1−2.6%ReducedHistory
GLBSGlobus Maritime LtdCOM NEW549$1.00K<0.1%+549NewHistory
QCLSQ/C Technologies, Inc.COM2,299$1.00K<0.1%−13,679−85.6%ReducedHistory
INCRIntercure Ltd.Common Stock984$1.00K<0.1%−627−38.9%ReducedHistory
Global X FDS37960A701SOLAR ETF100$1.00K<0.1%+100New–
ISPOInspirato IncCOMMON STOCK2,575$1.00K<0.1%−2,597−50.2%ReducedHistory
Tidal ETF Tr886364587HOME APP US REIT100$1.00K<0.1%+100New–
SCOProShares Trust IIULSHT BLOOMB OIL114$1.00K<0.1%+114NewHistory
ATHXAthersys, IncCOM NEW2,339$1.00K<0.1%−1,721−42.4%ReducedHistory
Investment Managers Ser Tr I46144X487AXS 2X INVTN NEW32$1.00K<0.1%−633−95.2%Reduced–
Aslan Pharmaceuticals Ltd04522R200SPON ADS NEW1,003$1.00K<0.1%−1,242−55.3%Reduced–
KXINKaixin HoldingsSHS NEW663$1.00K<0.1%+663NewHistory
Schwab US Aggregate Bond ETF808524839ETF59$2.00K<0.1%+59New–
iShares Core MSCI Emerging Markets ETF46434G103ETF46$2.00K<0.1%−10,926−99.6%Reduced–
ACHAccendra Health IncStock139$2.00K<0.1%−6,813−98.0%ReducedHistory
Direxion Shs ETF Tr25460E307AUSPCE CMD STG91$2.00K<0.1%+91New–
BHEBenchmark Electronics IncCOM104$2.00K<0.1%−2,423−95.9%ReducedHistory
AWIArmstrong World Industries IncCOM34$2.00K<0.1%−23−40.4%ReducedHistory
EWTXEdgewise Therapeutics, Inc.COM371$2.00K<0.1%−2,158−85.3%ReducedHistory
iShares Inc464286319EM MKTS DIV ETF107$2.00K<0.1%+107New–
First Tr Exchange-Traded FD33734G108COM100$2.00K<0.1%+100New–
UTLUnitil CorpCOM50$2.00K<0.1%+50NewHistory
First Tr Exchange-Traded FD33736G106GBL WND ENRG ETF184$2.00K<0.1%+184New–
ENVAEnova International, Inc.COM54$2.00K<0.1%−230−81.0%ReducedHistory
iShares Tr464287374NORTH AMERN NAT62$2.00K<0.1%−825−93.0%Reduced–
ALHCAlignment Healthcare, Inc.COM360$2.00K<0.1%+360NewHistory
iShares Inc46434G764MSCI EMRG CHN47$2.00K<0.1%+47New–
Vanguard Malvern FDS922020805STRM INFPROIDX54$2.00K<0.1%+54New–
Ea Series Trust02072L722STRI US ENER ETF81$2.00K<0.1%−89−52.4%Reduced–
Dimensional ETF Trust25434V781INTL SMALL CAP V100$2.00K<0.1%+100New–
iShares Tr46434V381FUTU EXPO TE ETF43$2.00K<0.1%+43New–
Global X FDS37954Y277S&P 500 COVERED100$2.00K<0.1%+100New–

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%–