Vault-13

SIMPLIFY EXCHANGE TRADED FUN PFIX

SIMPLIFY INTERST · ETP · CUSIP 82889N855

44 institutional holders -7 vs Q4 2023
967,008967.0k shares reported held*
$43.3mreported value*
13 new 17 added 4 reduced 20 sold out net sold ≈ $8.3m (-186.1k 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 ≈ $44.80. Options: 3 managers hold calls ($436.1k notional), 1 hold puts ($636.2k).

Trends to Q1 2024

Institutional holders

Managers reporting a position, each quarter

0255075Q3 22: 59Q4 22: 66Q1 23: 53Q2 23: 56Q3 23: 51Q4 23: 51Q1 24: 4444Q3 22Q1 23Q3 23Q1 24
Numbers
QuarterHolders
Q3 202259
Q4 202266
Q1 202353
Q2 202356
Q3 202351
Q4 202351
Q1 202444

Buyers vs sellers

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

Bought or addedCut or sold out
50050Q4 22: 42 bought or addedQ4 22: 33 cut or sold outQ4 22Q1 23: 26 bought or addedQ1 23: 36 cut or sold outQ1 23Q2 23: 27 bought or addedQ2 23: 30 cut or sold outQ2 23Q3 23: 20 bought or addedQ3 23: 45 cut or sold outQ3 23Q4 23: 26 bought or addedQ4 23: 29 cut or sold outQ4 23Q1 24: 30 bought or addedQ1 24: 24 cut or sold outQ1 24
Numbers
QuarterBought or addedCut or sold out
Q4 20224233
Q1 20232636
Q2 20232730
Q3 20232045
Q4 20232629
Q1 20243024

Calls vs puts

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

CallsPuts
$0$500k$1m$1.5mQ2 23 calls: $18.8kQ2 23 puts: $533.6kQ2 23P/C 28.33Q3 23 calls: $315.2kQ3 23 puts: $830.9kQ3 23P/C 2.64Q4 23 calls: $920.0kQ4 23 puts: $1.4mQ4 23P/C 1.57Q1 24 calls: $436.1kQ1 24 puts: $636.2kQ1 24P/C 1.46
Numbers
QuarterCallsPutsP/C
Q2 2023$18.8k$533.6k28.33
Q3 2023$315.2k$830.9k2.64
Q4 2023$920.0k$1.4m1.57
Q1 2024$436.1k$636.2k1.46

Biggest buyers

Trek Financial, LLC Added +238,818+238.8k
Ferguson Shapiro LLC New +195,938+195.9k
Pekin Hardy Strauss, Inc. New +93,895+93.9k
Park Edge Advisors, LLC New +38,293+38.3k
GOLDMAN SACHS GROUP INC Added +23,673+23.7k
VitalStone Financial, LLC Added +17,836+17.8k
RENAISSANCE TECHNOLOGIES LLC New +17,400+17.4k
Fortis Group Advisors, LLC New +11,108+11.1k
ZAZOVE ASSOCIATES LLC Added +9,650+9.7k
OSAIC HOLDINGS, INC. Added +9,544+9.5k

Biggest sellers

JANE STREET GROUP, LLC Sold out -618,716-618.7k
AE Wealth Management LLC Sold out -76,974-77.0k
BANK OF MONTREAL /CAN/ Sold out -31,875-31.9k
Simplify Asset Management Inc. Sold out -29,345-29.3k
Cetera Advisors LLC Sold out -29,318-29.3k
Retirement Group, LLC Sold out -27,089-27.1k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Sold out -16,780-16.8k
Lloyd Advisory Services, LLC. Sold out -15,478-15.5k
Advisory Services Network, LLC Sold out -13,148-13.1k
TRUIST FINANCIAL CORP Sold out -11,875-11.9k

Biggest calls

Belvedere Trading LLC Unchanged $345.0k7.7k shares
CITADEL ADVISORS LLC Reduced $89.6k2.0k shares
Private Advisor Group, LLC New $1.5k30.0k shares

Biggest puts

CITADEL ADVISORS LLC Reduced $636.2k14.2k 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, Q1 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Trek Financial, LLC 1.04% of their portfolio Scottsdale, AZ 292,017292.0k $13.1m $13.1m 1.04% Added +238.8k +238,818
2 Ferguson Shapiro LLC 4.04% of their portfolio DECATUR, GA 195,938195.9k $8.8m $8.8m 4.04% New
3 Pekin Hardy Strauss, Inc. 0.58% of their portfolio CHICAGO, IL 93,89593.9k $4.2m $4.2m 0.58% New
4 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 68,98269.0k $3.1m $3.1m 0.01% Added +7.7k +7,685
5 Integrated Wealth Concepts LLC 0.04% of their portfolio WALTHAM, MA 60,11460.1k $2.7m $2.7m 0.04% Added +3.7k +3,717
6 Park Edge Advisors, LLC 0.48% of their portfolio Cleveland, OH 38,29338.3k $1.7m $1.7m 0.48% New
7 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 34,10034.1k $1.5m $1.5m 0.00% Added +23.7k +23,673
8 ZAZOVE ASSOCIATES LLC 0.08% of their portfolio INCLINE VILLAGE, NV 26,90026.9k $1.2m $1.2m 0.08% Added +9.7k +9,650
9 CENTAURUS FINANCIAL, INC. 0.08% of their portfolio ANAHEIM, CA 25,18225.2k $1.1m $1.1m 0.08% Added +4.0k +4,040
10 VitalStone Financial, LLC 0.62% of their portfolio SHAVANO PARK, TX 18,10418.1k $811.0k $811.0k 0.62% Added +17.8k +17,836
11 RENAISSANCE TECHNOLOGIES LLC 0.00% of their portfolio NEW YORK, NY 17,40017.4k $780.0k $780.0k 0.00% New
12 Stratos Wealth Advisors, LLC 0.04% of their portfolio BEACHWOOD, OH 16,79016.8k $752.2k $752.2k 0.04% Added +4.0k +4,002
13 Professional Financial Advisors, LLC 0.20% of their portfolio NORTH PLATTE, NE 15,46715.5k $692.9k $692.9k 0.20% Added +8.8k +8,838
14 Fortis Group Advisors, LLC 0.09% of their portfolio WESTWOOD, NJ 11,10811.1k $497.6k $497.6k 0.09% New
15 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 10,76910.8k $482.4k $482.4k 0.00% Added +9.5k +9,544
16 Global Endowment Management, LP 0.04% of their portfolio CHARLOTTE, NC 8,4008.4k $376.3k $376.3k 0.04% New
17 IFP Advisors, Inc 0.01% of their portfolio TAMPA, FL 6,2686.3k $280.8k $280.8k 0.01% Added +1.2k +1,208
18 Anchor Investment Management, LLC 0.02% of their portfolio COLUMBIA, SC 5,1255.1k $229.6k $229.6k 0.02% Unchanged
19 Mutual Advisors, LLC 0.01% of their portfolio OMAHA, NE 4,7804.8k $214.1k $214.1k 0.01% New
20 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 2,8112.8k $125.9k $125.9k 0.00% Added +954 +954
21 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 2,7252.7k $122.1k $122.1k 0.00% New
22 UBS Group AG 0.00% of their portfolio ZURICH, V8 2,0832.1k $93.3k $93.3k 0.00% Reduced -1.9k -1,856
23 S.A. Mason LLC 0.04% of their portfolio HOLLAND, MI 1,6051.6k $71.9k $71.9k 0.04% Added +327 +327
24 COMERICA BANK 0.00% of their portfolio DALLAS, TX 1,3611.4k $61.0k $61.0k 0.00% Added +400 +400
25 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 1,3211.3k $59.2k $59.2k 0.00% Added +391 +391
26 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 1,2241.2k $54.9k $54.9k 0.00% Added +964 +964
27 Palisade Asset Management, LLC 0.00% of their portfolio MINNEAPOLIS, MN 1,1301.1k $50.6k $50.6k 0.00% New
28 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 1,0281.0k $46.1k $46.1k 0.00% Reduced -6.0k -5,958
29 CoreCap Advisors, LLC 0.00% of their portfolio SOUTHFIELD, MI 627627 $28.1k $28.1k 0.00% New
30 Global Trust Asset Management, LLC 0.01% of their portfolio PALM BEACH GARDENS, FL 400400 $17.9k $17.9k 0.01% New
31 Larson Financial Group LLC 0.00% of their portfolio ST LOUIS, MO 358358 $16.0k $16.0k 0.00% Unchanged
32 PRINCIPAL SECURITIES, INC. 0.00% of their portfolio DES MOINES, IA 200200 $9.0k $9.0k 0.00% Unchanged
33 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 145145 $6.5k $6.5k 0.00% Unchanged
34 Qube Research & Technologies Ltd 0.00% of their portfolio LONDON, X0 121121 $5.4k $5.4k 0.00% Reduced -117 -117
35 Venturi Wealth Management, LLC 0.00% of their portfolio AUSTIN, TX 100100 $4.5k $4.5k 0.00% New
36 Archer Investment Corp 0.00% of their portfolio Carmel, IN 5555 $2.5k $2.5k 0.00% Unchanged
37 Farther Finance Advisors, LLC 0.00% of their portfolio SAN FRANCISCO, CA 5050 $2.4k $2.4k 0.00% Unchanged
38 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 1717 $1.0k $1.0k 0.00% Reduced -83 -83
39 GHP Investment Advisors, Inc. 0.00% of their portfolio Denver, CO 66 $269 $269 0.00% Unchanged
40 CIBC Private Wealth Group LLC 0.00% of their portfolio ATLANTA, GA 55 $236 $236 0.00% New
41 FMR LLC 0.00% of their portfolio BOSTON, MA 22 $90 $90 0.00% Added +1 +1
42 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 11 $55 $55 0.00% Unchanged
43 DHJJ Financial Advisors, Ltd. 0.00% of their portfolio NAPERVILLE, IL 11 $45 $45 0.00% Unchanged
44 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged