Vault-13

SIMPLIFY EXCHANGE TRADED FUN TUA

SHORT TERM TREA · ETP · CUSIP 82889N657

79 institutional holders +42 vs Q3 2023
28,529,43928.5m shares reported held*
$659.8mreported value*
44 new 16 added 14 reduced 5 sold out net bought ≈ $121.8m (+5.3m shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $23.13. Options: 1 managers hold calls ($215.3k notional), 2 hold puts ($2.6m).

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

050100Q4 22: 15Q1 23: 20Q2 23: 34Q3 23: 37Q4 23: 7979Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q4 202215
Q1 202320
Q2 202334
Q3 202337
Q4 202379

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
1000100Q1 23: 17 bought or addedQ1 23: 6 cut or sold outQ1 23Q2 23: 22 bought or addedQ2 23: 11 cut or sold outQ2 23Q3 23: 23 bought or addedQ3 23: 17 cut or sold outQ3 23Q4 23: 60 bought or addedQ4 23: 19 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q1 2023176
Q2 20232211
Q3 20232317
Q4 20236019

Calls vs puts

Options held, notional value, last 4 quarters. P/C = puts ÷ calls

CallsPuts
$0$1m$2m$3mQ1 23 calls: $0Q1 23 puts: $0Q1 23P/C —Q2 23 calls: $206.8kQ2 23 puts: $0Q2 23P/C 0.00Q3 23 calls: $0Q3 23 puts: $0Q3 23P/C —Q4 23 calls: $215.3kQ4 23 puts: $2.6mQ4 23P/C 12.23
Numbers
QuarterCallsPutsP/C
Q1 2023$0$0—
Q2 2023$206.8k$00.00
Q3 2023$0$0—
Q4 2023$215.3k$2.6m12.23

Biggest buyers

HOLLENCREST CAPITAL MANAGEMENT Added +997,384+997.4k
Trek Financial, LLC Added +924,383+924.4k
Rockefeller Capital Management L.P. New +445,482+445.5k
SCHRODER INVESTMENT MANAGEMENT GROUP New +443,494+443.5k
NEW YORK STATE COMMON RETIREMENT FUND New +443,494+443.5k
STEPHENS INC /AR/ New +367,308+367.3k
ROYAL BANK OF CANADA Added +319,575+319.6k
HighTower Advisors, LLC Added +315,625+315.6k
Bank of New York Mellon Corp New +302,222+302.2k
ENVESTNET ASSET MANAGEMENT INC New +246,292+246.3k

Biggest sellers

Financial Enhancement Group LLC Sold out -628,011-628.0k
JANE STREET GROUP, LLC Reduced -405,856-405.9k
TRUIST FINANCIAL CORP Reduced -118,034-118.0k
Simplify Asset Management Inc. Reduced -110,855-110.9k
Dakota Wealth Management Reduced -97,631-97.6k
CITADEL ADVISORS LLC Reduced -82,830-82.8k
BlackDiamond Wealth Management, LLC Reduced -79,697-79.7k
ALTFEST L J & CO INC Reduced -54,226-54.2k
AlphaQ Advisors LLC Sold out -16,130-16.1k
Tidal Investments LLC Reduced -15,878-15.9k

Biggest calls

CITADEL ADVISORS LLC New $215.3k9.3k shares

Biggest puts

CITADEL ADVISORS LLC New $1.7m74.6k shares
WOLVERINE TRADING, LLC New $905.2k39.1k shares

Options at notional value: the value of the shares the contracts control, as filers report them, not what the options cost. Not included in the holders, shares or buying above.

Holders, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Municipal Employees' Retirement System of Michigan 5.12% of their portfolio LANSING, MI 16,534,94716.5m $382.8m $382.8m 5.12% Unchanged
2 Trek Financial, LLC 3.50% of their portfolio Scottsdale, AZ 1,742,1461.7m $40.3m $40.3m 3.50% Added +924.4k +924,383
3 HOLLENCREST CAPITAL MANAGEMENT 2.62% of their portfolio NEWPORT BEACH, CA 1,198,5841.2m $27.7m $27.7m 2.62% Added +997.4k +997,384
4 Herr Investment Group LLC 4.61% of their portfolio AUSTIN, TX 744,235744.2k $17.2m $17.2m 4.61% Added +133.5k +133,526
5 AE Wealth Management LLC 0.08% of their portfolio TOPEKA, KS 663,898663.9k $15.1m $15.1m 0.08% Added +64.5k +64,537
6 Dakota Wealth Management 0.42% of their portfolio PALM BEACH GARDENS, FL 464,998465.0k $10.8m $10.8m 0.42% Reduced -97.6k -97,631
7 PEAK FINANCIAL ADVISORS LLC 6.90% of their portfolio DENVER, CO 445,615445.6k $10.3m $10.3m 6.90% Reduced -6.0k -5,968
8 Rockefeller Capital Management L.P. 0.03% of their portfolio NEW YORK, NY 445,482445.5k $10.3m $10.3m 0.03% New
9 NEW YORK STATE COMMON RETIREMENT FUND 0.01% of their portfolio ALBANY, NY 443,494443.5k $10.3m $10.3m 0.01% New
10 SCHRODER INVESTMENT MANAGEMENT GROUP 0.01% of their portfolio London, X0 443,494443.5k $10.3m $10.3m 0.01% New
11 Longview Financial Advisors, Inc. 8.20% of their portfolio HUNTSVILLE, AL 440,615440.6k $10.2m $10.2m 8.20% First filing
12 Ancora Advisors LLC 0.21% of their portfolio Cleveland, OH 383,500383.5k $8.9m $8.9m 0.21% Added +39.9k +39,907
13 STEPHENS INC /AR/ 0.15% of their portfolio LITTLE ROCK, AR 367,308367.3k $8.5m $8.5m 0.15% New
14 Simplify Asset Management Inc. 1.24% of their portfolio Las Vegas, NV 344,324344.3k $8.0m $8.0m 1.24% Reduced -110.9k -110,855
15 HighTower Advisors, LLC 0.01% of their portfolio CHICAGO, IL 337,975338.0k $7.8m $7.8m 0.01% Added +315.6k +315,625
16 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 321,196321.2k $7.4m $7.4m 0.00% Added +319.6k +319,575
17 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 302,222302.2k $7.0m $7.0m 0.00% New
18 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 246,292246.3k $5.7m $5.7m 0.00% New
19 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 193,013193.0k $4.5m $4.5m 0.00% Added +118.7k +118,694
20 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 188,953189.0k $4.4m $4.4m 0.01% Added +12.1k +12,059
21 Almanack Investment Partners, LLC. 0.75% of their portfolio WAYNE, PA 174,683174.7k $4.0m $4.0m 0.75% New
22 Pekin Hardy Strauss, Inc. 0.56% of their portfolio CHICAGO, IL 161,599161.6k $3.7m $3.7m 0.56% New
23 ALTFEST L J & CO INC 0.44% of their portfolio NEW YORK, NY 130,364130.4k $3.0m $3.0m 0.44% Reduced -54.2k -54,226
24 Gladstone Institutional Advisory LLC 0.16% of their portfolio Bedminster, NJ 123,615123.6k $2.9m $2.9m 0.16% New
25 Belpointe Asset Management LLC 0.24% of their portfolio RENO, NV 117,713117.7k $2.7m $2.7m 0.24% Added +93.0k +92,953
26 Lloyd Advisory Services, LLC. 1.00% of their portfolio SUWANEE, GA 91,54391.5k $2.1m $2.1m 1.00% New
27 HAP Trading, LLC 0.57% of their portfolio NEW YORK, NY 84,34384.3k $2.0m $2.0m 0.57% New
28 Cumberland Partners Ltd 0.15% of their portfolio TORONTO, A6 70,00070.0k $1.6m $1.6m 0.15% New
29 PRINCIPAL SECURITIES, INC. 0.06% of their portfolio DES MOINES, IA 68,55568.6k $1.6m $1.6m 0.06% First filing
30 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 68,23368.2k $1.6m $1.6m 0.00% New
31 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 65,04465.0k $1.5m $1.5m 0.00% Added +63.1k +63,084
32 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 64,61964.6k $1.5m $1.5m 0.00% Reduced -405.9k -405,856
33 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 64,42664.4k $1.5m $1.5m 0.00% Reduced -118.0k -118,034
34 NewEdge Advisors, LLC 0.01% of their portfolio NEW ORLEANS, LA 60,69860.7k $1.4m $1.4m 0.01% New
35 RENAISSANCE TECHNOLOGIES LLC 0.00% of their portfolio NEW YORK, NY 60,10060.1k $1.4m $1.4m 0.00% New
36 Advisory Services Network, LLC 0.03% of their portfolio ATLANTA, GA 58,89258.9k $1.4m $1.4m 0.03% New
37 WJ Interests, LLC 0.77% of their portfolio SUGAR LAND, TX 52,86652.9k $1.2m $1.2m 0.77% New
38 SIMPLEX TRADING, LLC 0.04% of their portfolio CHICAGO, IL 50,50150.5k $1.2m $1.2m 0.04% Added +50.3k +50,345
39 BLUEFIN CAPITAL MANAGEMENT, LLC 0.10% of their portfolio NEW YORK, NY 50,00050.0k $1.2m $1.2m 0.10% New
40 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 46,03546.0k $1.1m $1.1m 0.00% New
41 FDx Advisors, Inc. 0.08% of their portfolio BERWYN, PA 42,92542.9k $994.0k $994.0k 0.08% New
42 B.O.S.S. Retirement Advisors, LLC 0.19% of their portfolio Lehi, UT 41,93341.9k $970.7k $970.7k 0.19% Reduced -411 -411
43 Tidal Investments LLC 0.02% of their portfolio Milwaukee, WI 39,19939.2k $907.5k $907.5k 0.02% Reduced -15.9k -15,878
44 1834 INVESTMENT ADVISORS CO 0.10% of their portfolio Milwaukee, WI 35,50035.5k $821.8k $821.8k 0.10% New
45 SFG Wealth Management, LLC. 0.54% of their portfolio TOWSON, MD 35,19235.2k $814.7k $814.7k 0.54% New
46 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 34,62934.6k $801.7k $801.7k 0.00% Reduced -82.8k -82,830
47 Regal Investment Advisors LLC 0.06% of their portfolio KENTWOOD, MI 34,52234.5k $799.2k $799.2k 0.06% Added +20.7k +20,652
48 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 34,50834.5k $798.9k $798.9k 0.00% New
49 Great Lakes Retirement, Inc. 0.11% of their portfolio SANDUSKY, OH 28,95629.0k $670.3k $670.3k 0.11% Reduced -6.8k -6,840
50 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 23,82623.8k $551.6k $551.6k 0.00% New
51 Envestnet Portfolio Solutions, Inc. 0.00% of their portfolio BERWYN, PA 23,55423.6k $545.3k $545.3k 0.00% New
52 Centric Wealth Management 0.16% of their portfolio CHICAGO, IL 21,97522.0k $494.0k $494.0k 0.16% New
53 Sage Advisory Services, Ltd.Co. 0.13% of their portfolio AUSTIN, TX 21,25421.3k $492.0k $492.0k 0.13% New
54 Cambridge Advisors Inc. 0.12% of their portfolio OMAHA, NE 20,50220.5k $474.6k $474.6k 0.12% New
55 Cetera Advisor Networks LLC 0.00% of their portfolio EL SEGUNDO, CA 15,07515.1k $349.0k $349.0k 0.00% New
56 Brookstone Capital Management 0.01% of their portfolio WHEATON, IL 14,39714.4k $333.3k $333.3k 0.01% New
57 BlackDiamond Wealth Management, LLC 0.23% of their portfolio NEW YORK, NY 13,72613.7k $308.6k $308.6k 0.23% Reduced -79.7k -79,697
58 Carlton Hofferkamp & Jenks Wealth Management, LLC 0.13% of their portfolio THE WOODLANDS, TX 13,53413.5k $308.2k $308.2k 0.13% New
59 Smith Anglin Financial, LLC 0.04% of their portfolio DALLAS, TX 13,28213.3k $307.5k $307.5k 0.04% New
60 Authentikos Wealth Advisory, LLC 0.30% of their portfolio MORGAN HILL, CA 12,15412.2k $281.4k $281.4k 0.30% Reduced -2.8k -2,791
61 GFS Advisors, LLC 0.04% of their portfolio HOUSTON, TX 10,90010.9k $252.0k $252.0k 0.04% New
62 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 10,85810.9k $251.4k $251.4k 0.00% Added +7.5k +7,535
63 Evanson Asset Management, LLC 0.02% of their portfolio CARMEL, CA 10,09610.1k $233.7k $233.7k 0.02% New
64 WMS Partners, LLC 0.00% of their portfolio TOWSON, MD 10,00010.0k $0 $0 0.00% New
65 CIBC WORLD MARKET INC. 0.00% of their portfolio TORONTO, A6 9,8299.8k $228.0k $228.0k 0.00% New
66 IHT Wealth Management, LLC 0.01% of their portfolio Chicago, IL 9,6989.7k $224.5k $224.5k 0.01% New
67 Family Manage LLC 0.04% of their portfolio NEW YORK, NY 9,0459.0k $209.4k $209.4k 0.04% New
68 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 8,7538.8k $202.6k $202.6k 0.00% Added +8.2k +8,158
69 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 8,6688.7k $200.7k $200.7k 0.00% New
70 NATIONAL BANK OF CANADA /FI/ 0.00% of their portfolio MONTREAL, A8 2,5062.5k $57.6k $57.6k 0.00% Reduced -2.9k -2,866
71 COMERICA BANK 0.00% of their portfolio DALLAS, TX 689689 $15.9k $15.9k 0.00% New
72 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 559559 $12.9k $12.9k 0.00% New
73 Pineridge Advisors LLC 0.00% of their portfolio ST. CHARLES, MO 430430 $10.0k $10.0k 0.00% First filing
74 LANARK FINANCIAL, INC. 0.00% of their portfolio BIRMINGHAM, AL 341341 $7.0k $7.0k 0.00% New
75 Balefire, LLC 0.00% of their portfolio DALLAS, TX 153153 $3.5k $3.5k 0.00% New
76 OLIVER LAGORE VANVALIN INVESTMENT GROUP 0.00% of their portfolio FLINT, MI 9393 $2.2k $2.2k 0.00% Reduced -43 -43
77 Richard W. Paul & Associates, LLC 0.00% of their portfolio NOVI, MI 4646 $1.1k $1.1k 0.00% Added +11 +11
78 TUCKER ASSET MANAGEMENT LLC 0.00% of their portfolio LITTLETON, CO 1212 $278 $278 0.00% New
79 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged