Simplify US Equity PLUS Upside Convexity

SPUC • ARCA

Simplify US Equity PLUS Upside Convexity is an exchange-traded fund on ARCA. As of Q3 2025, 11 institutional investors hold shares in this ETF, with total holdings valued at $99.8M. Simplify Asset Management Inc. is the largest holder with a position valued at $82.1M.

Overview

Overview of institutional ownership in SPUC as of Q3 2025

All Institutions

Institutions: 11
Value Held: $99.8M
Shares Held: 2.0M
Avg Position: $9.1M
Median Position: $162.0K

Hedge Funds

Hedge Funds: 0
Value Held: -
Shares Held: -
Avg Position: -
Median Position: -

Biggest Investors

Institutions with the largest positions in SPUC as of Q3 2025

Institution	Key People	Position Value	Ownership	Owned Since	Total AUM (Long)
S Simplify Asset Management Inc. Institution	-	$82.1M 5.23% of portfolio	1.6M shares	Q1 2025 Held for 8 months	$1.6B
COMMONWEALTH EQUITY SERVICES, LLC. RIA/Wealth	Wayne Michael Bloom CEO	$10.7M 0.02% of portfolio	213.1K shares	Q4 2023 Held for 1y 11m	$71.1B
H Hilltop Holdings Inc. Institution	-	$4.9M 0.26% of portfolio	97.2K shares	Q2 2024 Held for 1y 5m	$1.9B
O OLD MISSION CAPITAL LLC Institution	-	$1.6M 0.07% of portfolio	31.3K shares	Q3 2023 Held for 2y 2m	$2.4B
MML INVESTORS SERVICES, LLC RIA/Wealth	Vaughn Charles Bowman CEO	$264.5K 0.00% of portfolio	5.3K shares	Q3 2025 Held for 2 months	$36.7B
BANK OF AMERICA CORP /DE/ Institution	Brian T. Moynihan CEO	$162.0K 0.00% of portfolio	3.2K shares	Q3 2025 Held for 2 months	$1.33T
AE Wealth Management LLC RIA/Wealth	David James Callanan CEO	$62.1K 0.00% of portfolio	1.2K shares	Q2 2025 Held for 5 months	$15.2B
A Advisor Group Holdings, Inc. Institution	-	$37.7K 0.00% of portfolio	763.0 shares	Q1 2021 Held for 4y 8m	$71.0B
PRINCIPAL SECURITIES, INC. RIA/Wealth	Michael Francis Murray CEO	$25.1K 0.00% of portfolio	500.0 shares	Q3 2025 Held for 2 months	$5.9B
UBS Group AG Institution	Sergio P. Ermotti CEO	$6.5K 0.00% of portfolio	129.0 shares	Q2 2024 Held for 1y 5m	$511.54B

Net Capital Flow

Institutional buying and selling activity for SPUC in Q3 2025

Traded: −$18.0M
Buyers: 6
Sellers: 17
Total Bought: +$1.2M
Total Sold: −$19.3M
Avg Position: $4.2M

Biggest Buyers

Institution	Net Bought	Current Position
COMMONWEALTH EQUITY SERVICES, LLC. RIA/Wealth	+$724.2K +14.4K shares	$10.7M 213.1K shares
MML INVESTORS SERVICES, LLC RIA/Wealth	+$264.5K +5.3K shares	$264.5K 5.3K shares
BANK OF AMERICA CORP /DE/ Institution	+$162.0K +3.2K shares	$162.0K 3.2K shares
AE Wealth Management LLC RIA/Wealth	+$62.1K +-103.1K shares	$62.1K 1.2K shares
PRINCIPAL SECURITIES, INC. RIA/Wealth	+$25.1K +500.0 shares	$25.1K 500.0 shares
A Advisor Group Holdings, Inc. Institution	+$7.9K +159.0 shares	$37.7K 763.0 shares

Biggest Sellers

Institution	Net Sold	Current Position
S Simplify Asset Management Inc. Institution	−$14.0M −278.9K shares	$82.1M 1.6M shares
Lloyd Advisory Services, LLC. RIA/Wealth	−$1.5M −34.3K shares	Sold Off 0 shares
B B.O.S.S. Retirement Advisors, LLC RIA/Wealth	−$882.8K −19.7K shares	Sold Off 0 shares
CITADEL ADVISORS LLC Hedge Fund•Multi-Strategy	−$689.7K −15.4K shares	Sold Off 0 shares
H Hilltop Holdings Inc. Institution	−$664.2K −13.2K shares	$4.9M 97.2K shares
O OLD MISSION CAPITAL LLC Institution	−$519.4K −10.3K shares	$1.6M 31.3K shares
HOWARD BAILEY SECURITIES, LLC RIA/Wealth	−$401.9K −9.0K shares	Sold Off 0 shares
G Great Lakes Retirement, Inc. Institution	−$299.2K −6.7K shares	Sold Off 0 shares
L LifeWealth Investments, LLC Institution	−$229.0K −5.1K shares	Sold Off 0 shares
Quest 10 Wealth Builders, Inc. RIA/Wealth	−$19.8K −442.0 shares	Sold Off 0 shares

Entry and Exit Activity

Institutions that initiated new positions or completely exited SPUC in Q3 2025

New Positions: 3
New Value: $451.6K
Exited Positions: 13
Exited Value: $4.1M

New Positions

Institution	Position Value
MML INVESTORS SERVICES, LLC RIA/Wealth	$264.5K 5.3K shares
BANK OF AMERICA CORP /DE/ Institution	$162.0K 3.2K shares
PRINCIPAL SECURITIES, INC. RIA/Wealth	$25.1K 500.0 shares

Exited Positions

Institution	Previous Position
Lloyd Advisory Services, LLC. RIA/Wealth	$1.5M 34.3K shares
B B.O.S.S. Retirement Advisors, LLC RIA/Wealth	$882.8K 19.7K shares
CITADEL ADVISORS LLC Hedge Fund•Multi-Strategy	$689.7K 15.4K shares
HOWARD BAILEY SECURITIES, LLC RIA/Wealth	$401.9K 9.0K shares
G Great Lakes Retirement, Inc. Institution	$299.2K 6.7K shares
L LifeWealth Investments, LLC Institution	$229.0K 5.1K shares
Quest 10 Wealth Builders, Inc. RIA/Wealth	$19.8K 442.0 shares
Transce3nd, LLC RIA/Wealth	$17.6K 393.0 shares
Park Square Financial Group, LLC RIA/Wealth	$11.1K 248.0 shares
RAYMOND JAMES FINANCIAL INC RIA/Wealth	$8.9K 200.0 shares

Options Activity

Institutions with the largest Call and Put options positions in SPUC as of Q3 2025

Call Positions: 0
Call Value: -
Put Positions: 0
Put Value: -

Call Positions

Institution	Position Value
No call positions found

Put Positions

Institution	Position Value
No put positions found

Most Committed Institutions

Institutions with SPUC as the highest % of their portfolio as of Q3 2025

Institution	Key People	Portfolio Weight	Ownership	Owned Since	Total AUM (Long)
S Simplify Asset Management Inc. Institution	-	5.23% $82.1M	1.6M shares	Q1 2025 Held for 8 months	$1.6B
H Hilltop Holdings Inc. Institution	-	0.26% $4.9M	97.2K shares	Q2 2024 Held for 1y 5m	$1.9B
O OLD MISSION CAPITAL LLC Institution	-	0.07% $1.6M	31.3K shares	Q3 2023 Held for 2y 2m	$2.4B
COMMONWEALTH EQUITY SERVICES, LLC. RIA/Wealth	Wayne Michael Bloom CEO	0.02% $10.7M	213.1K shares	Q4 2023 Held for 1y 11m	$71.1B
MML INVESTORS SERVICES, LLC RIA/Wealth	Vaughn Charles Bowman CEO	0.00% $264.5K	5.3K shares	Q3 2025 Held for 2 months	$36.7B
PRINCIPAL SECURITIES, INC. RIA/Wealth	Michael Francis Murray CEO	0.00% $25.1K	500.0 shares	Q3 2025 Held for 2 months	$5.9B
AE Wealth Management LLC RIA/Wealth	David James Callanan CEO	0.00% $62.1K	1.2K shares	Q2 2025 Held for 5 months	$15.2B
A Advisor Group Holdings, Inc. Institution	-	0.00% $37.7K	763.0 shares	Q1 2021 Held for 4y 8m	$71.0B
BANK OF AMERICA CORP /DE/ Institution	Brian T. Moynihan CEO	0.00% $162.0K	3.2K shares	Q3 2025 Held for 2 months	$1.33T
UBS Group AG Institution	Sergio P. Ermotti CEO	0.00% $6.5K	129.0 shares	Q2 2024 Held for 1y 5m	$511.54B