0001172661-23-003963.txt : 20231114 0001172661-23-003963.hdr.sgml : 20231114 20231114131208 ACCESSION NUMBER: 0001172661-23-003963 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230930 FILED AS OF DATE: 20231114 DATE AS OF CHANGE: 20231114 EFFECTIVENESS DATE: 20231114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Simplify Asset Management Inc. CENTRAL INDEX KEY: 0001846368 IRS NUMBER: 844936047 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-20937 FILM NUMBER: 231403646 BUSINESS ADDRESS: STREET 1: 222 BROADWAY, 22/F CITY: NEW YORK STATE: NY ZIP: 10038 BUSINESS PHONE: 646-741-2438 MAIL ADDRESS: STREET 1: 222 BROADWAY, 22/F CITY: NEW YORK STATE: NY ZIP: 10038 13F-HR 1 primary_doc.xml X0202 13F-HR LIVE false true false 0001846368 XXXXXXXX 09-30-2023 09-30-2023 false Simplify Asset Management Inc.

222 Broadway, 22/F New York NY 10038

13F HOLDINGS REPORT 028-20937 000309535 801-119255 N Paul S. Kim 646-741-2438 /s/ Paul S. Kim New York NY 11-14-2023 0 122 874722838 INFORMATION TABLE 2 infotable.xml ABBOTT LABS COM 002824100 410935 4243 SH SOLE 4243 0 0 ABBVIE INC COM 00287Y109 2552205 17122 SH SOLE 17122 0 0 ADAPTIMMUNE THERAPEUTICS PLC SPONDS ADR 00653A107 117000 150000 SH SOLE 150000 0 0 ADVANCED MICRO DEVICES INC COM 007903107 428142 4164 SH SOLE 4164 0 0 AGF INVTS TR US MARKET NETRL 00110G408 1282797 64592 SH SOLE 64592 0 0 AGNC INVT CORP COM 00123Q104 623040 66000 SH SOLE 66000 0 0 AKERO THERAPEUTICS INC COM 00973Y108 3023521 59777 SH SOLE 59777 0 0 ALLOGENE THERAPEUTICS INC COM 019770106 776650 245000 SH SOLE 245000 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 768600 60000 SH Put SOLE 60000 0 0 AMGEN INC COM 031162100 3638742 13539 SH SOLE 13539 0 0 ANNALY CAPITAL MANAGEMENT IN COM NEW 035710839 605682 32200 SH SOLE 32200 0 0 ANNEXON INC COM 03589W102 1162524 492595 SH SOLE 492595 0 0 APPLIED THERAPEUTICS INC COM 03828A101 6019587 2417505 SH SOLE 2417505 0 0 ARGENX SE SPONSORED ADR 04016X101 1493572 3038 SH SOLE 3038 0 0 ASML HOLDING N V N Y REGISTRY SHS N07059210 212506 361 SH SOLE 361 0 0 ATAI LIFE SCIENCES NV SHS N0731H103 180600 140000 SH SOLE 140000 0 0 ATHIRA PHARMA INC COM 04746L104 3015440 1492792 SH SOLE 1492792 0 0 ATRICURE INC COM 04963C209 504532 11519 SH SOLE 11519 0 0 AUTONATION INC COM 05329W102 1514000 10000 SH Put SOLE 10000 0 0 AVIDITY BIOSCIENCES INC COM 05370A108 797500 125000 SH SOLE 125000 0 0 BECTON DICKINSON & CO COM 075887109 1472328 5695 SH SOLE 5695 0 0 BIO-TECHNE CORP COM 09073M104 311488 4576 SH SOLE 4576 0 0 BOSTON SCIENTIFIC CORP COM 101137107 3226925 61116 SH SOLE 61116 0 0 CAESARS ENTERTAINMENT INC NE COM 12769G100 695250 15000 SH Put SOLE 15000 0 0 CARNIVAL CORP COMMON STOCK 143658300 445900 32500 SH Put SOLE 32500 0 0 CARVANA CO CL A 146869102 621304 14800 SH Put SOLE 14800 0 0 CENTRAL & EASTERN EUROPE FD COM 153436100 335030 38957 SH SOLE 38957 0 0 COOPER COS INC COM NEW 216648402 238826 751 SH SOLE 751 0 0 CRINETICS PHARMACEUTICALS IN COM 22663K107 3420100 115000 SH SOLE 115000 0 0 CYBIN INC COM 23256X100 265700 500000 SH SOLE 500000 0 0 DAY ONE BIOPHARMACEUTICALS I COM 23954D109 2147471 175018 SH SOLE 175018 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 925000 25000 SH Put SOLE 25000 0 0 DEXCOM INC COM 252131107 216549 2321 SH SOLE 2321 0 0 EIGER BIOPHARMACEUTICALS INC COM 28249U105 823500 2700000 SH SOLE 2700000 0 0 ELI LILLY & CO COM 532457108 2639994 4915 SH SOLE 4915 0 0 ESTABLISHMENT LABS HLDGS INC COM G31249108 624808 12733 SH SOLE 12733 0 0 EXACT SCIENCES CORP COM 30063P105 657300 9635 SH SOLE 9635 0 0 FULCRUM THERAPEUTICS INC COM 359616109 2533104 570519 SH SOLE 570519 0 0 GENERAC HLDGS INC COM 368736104 762720 7000 SH Call SOLE 7000 0 0 GILEAD SCIENCES INC COM 375558103 1346972 17974 SH SOLE 17974 0 0 HERON THERAPEUTICS INC COM 427746102 444538 431590 SH SOLE 431590 0 0 HUMANA INC COM 444859102 873303 1795 SH SOLE 1795 0 0 IDEXX LABS INC COM 45168D104 616988 1411 SH SOLE 1411 0 0 INTUITIVE SURGICAL INC COM NEW 46120E602 2169084 7421 SH SOLE 7421 0 0 IQVIA HLDGS INC COM 46266C105 385630 1960 SH SOLE 1960 0 0 ISHARES GOLD TR ISHARES NEW 464285204 1897438 54228 SH SOLE 54228 0 0 ISHARES INC CORE MSCI EMKT 46434G103 3867116 81259 SH SOLE 81259 0 0 ISHARES TR BLACKROCK ULTRA 46434V878 2107547 41833 SH SOLE 41833 0 0 ISHARES TR 20 YR TR BD ETF 464287432 4425631 49900 SH SOLE 49900 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 14701830 387400 SH Put SOLE 387400 0 0 ISHARES TR IBOXX HI YD ETF 464288513 1105800 15000 SH Call SOLE 15000 0 0 ISHARES TR 20 YR TR BD ETF 464287432 4425631 49900 SH Call SOLE 49900 0 0 ISHARES TR 0-5YR INVT GR CP 46434V100 2091190 43571 SH SOLE 43571 0 0 ISHARES TR IBONDS DEC24 ETF 46434VBG4 2112981 85442 PRN SOLE 85442 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 23347354 132100 SH Put SOLE 132100 0 0 ISHARES TR IBOXX HI YD ETF 464288513 4933564 66923 SH SOLE 66923 0 0 ISHARES TR IBOXX INV CP ETF 464287242 38825853 380571 SH SOLE 380571 0 0 ISHARES TR CORE S&P500 ETF 464287200 278397322 648295 SH SOLE 648295 0 0 ISHARES TR CORE MSCI EAFE 46432F842 15337050 238338 SH SOLE 238338 0 0 ISHARES TR IBONDS DEC23 ETF 46434VAX8 2109622 83187 PRN SOLE 83187 0 0 ISHARES TR MBS ETF 464288588 6868414 77347 SH SOLE 77347 0 0 ISHARES TR CORE US AGGBD ET 464287226 6479356 68900 SH SOLE 68900 0 0 ISHARES TR MSCI EAFE ETF 464287465 81973448 1189400 SH Put SOLE 1189400 0 0 JOHNSON & JOHNSON COM 478160104 2517699 16165 SH SOLE 16165 0 0 KAYNE ANDERSON ENERGY INFRST COM 486606106 1236548 147033 SH SOLE 147033 0 0 KURA ONCOLOGY INC COM 50127T109 729600 80000 SH SOLE 80000 0 0 KYMERA THERAPEUTICS INC COM 501575104 424158 30515 SH SOLE 30515 0 0 LEMONADE INC COM 52567D107 191474 16478 SH SOLE 16478 0 0 LIVANOVA PLC SHS G5509L101 227437 4301 SH SOLE 4301 0 0 MADRIGAL PHARMACEUTICALS INC COM 558868105 2087496 14294 SH SOLE 14294 0 0 MARINUS PHARMACEUTICALS INC COM NEW 56854Q200 1207500 150000 SH SOLE 150000 0 0 MEDTRONIC PLC SHS G5960L103 2308956 29466 SH SOLE 29466 0 0 MERCK & CO INC COM 58933Y105 1934122 18787 SH SOLE 18787 0 0 MICROSOFT CORP COM 594918104 315750 1000 SH SOLE 1000 0 0 MIRUM PHARMACEUTICALS INC COM 604749101 2212000 70000 SH SOLE 70000 0 0 NVIDIA CORPORATION COM 67066G104 13354193 30700 SH Put SOLE 30700 0 0 NVIDIA CORPORATION COM 67066G104 426290 980 SH SOLE 980 0 0 OAKTREE SPECIALTY LENDING CO COM 67401P405 3775619 187655 SH SOLE 187655 0 0 PHATHOM PHARMACEUTICALS INC COM 71722W107 2467386 237935 SH SOLE 237935 0 0 PIMCO ETF TR 15+ YR US TIPS 72201R304 4309100 82000 SH SOLE 82000 0 0 PLAINS GP HLDGS L P LTD PARTNR INT A 72651A207 22122443 1372360 SH SOLE 1372360 0 0 PURECYCLE TECHNOLOGIES INC COM 74623V103 1592931 283945 SH SOLE 283945 0 0 QUANTERIX CORP COM 74766Q101 643707 23718 SH SOLE 23718 0 0 QUIDELORTHO CORP COM 219798105 282957 3874 SH SOLE 3874 0 0 REGENERON PHARMACEUTICALS COM 75886F107 3540374 4302 SH SOLE 4302 0 0 REPLIMUNE GROUP INC COM 76029N106 2566500 150000 SH SOLE 150000 0 0 REVVITY INC COM 714046109 265126 2395 SH SOLE 2395 0 0 SAGE THERAPEUTICS INC COM 78667J108 2470217 120030 SH SOLE 120030 0 0 SANOFI SPONSORED ADR 80105N105 3183963 59358 SH SOLE 59358 0 0 SARATOGA INVT CORP COM NEW 80349A208 1246450 48500 SH SOLE 48500 0 0 SERES THERAPEUTICS INC COM 81750R102 1310490 550626 SH SOLE 550626 0 0 SIMPLIFY EXCHANGE TRADED FUN HIGH YIELD PLUS 82889N830 5905656 273410 SH SOLE 273410 0 0 SIMPLIFY EXCHANGE TRADED FUN MANAGED FUTURES 82889N699 5140114 186574 SH SOLE 186574 0 0 SIMPLIFY EXCHANGE TRADED FUN SHORT TERM TREA 82889N657 9941109 455179 SH SOLE 455179 0 0 SIMPLIFY EXCHANGE TRADED FUN INTMD TERM TRSRY 82889N798 1742744 137116 SH SOLE 137116 0 0 SIMPLIFY EXCHANGE TRADED FUN SIMPLIFY INTERST 82889N855 4035298 42250 SH SOLE 42250 0 0 SIMPLIFY EXCHANGE TRADED FUN AGGREGATE BOND E 82889N723 58377096 2736854 SH SOLE 2736854 0 0 SIMPLIFY EXCHANGE TRADED FUN COMMODITIES STRA 82889N566 2242223 88056 SH SOLE 88056 0 0 SIMPLIFY EXCHANGE TRADED FUN MARKET NEUTRAL 82889N541 1663659 67056 SH SOLE 67056 0 0 SIMPLIFY EXCHANGE TRADED FUN ENHANCED INM ETF 82889N632 409798 16471 SH SOLE 16471 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 112982964 264300 SH Put SOLE 264300 0 0 SPDR SER TR BLOOMBERG INVT 78468R200 284682 9267 SH SOLE 9267 0 0 SPDR SER TR PORTFOLIO SHORT 78464A474 2092862 71380 SH SOLE 71380 0 0 STOKE THERAPEUTICS INC COM 86150R107 405761 102985 SH SOLE 102985 0 0 STRYKER CORPORATION COM 863667101 1211679 4434 SH SOLE 4434 0 0 SUTRO BIOPHARMA INC COM 869367102 416400 120000 SH SOLE 120000 0 0 SYNDAX PHARMACEUTICALS INC COM 87164F105 183896 12665 SH SOLE 12665 0 0 TELESAT CORP CL A & CL B SHS 879512309 3729168 260781 SH SOLE 260781 0 0 TESLA INC COM 88160R101 474918 1898 SH SOLE 1898 0 0 TESLA INC COM 88160R101 9608448 38400 SH Call SOLE 38400 0 0 THE CIGNA GROUP COM 125523100 2605239 9107 SH SOLE 9107 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 868082 1715 SH SOLE 1715 0 0 TSCAN THERAPEUTICS INC COM 89854M101 2680105 1046916 SH SOLE 1046916 0 0 UNITEDHEALTH GROUP INC COM 91324P102 2412549 4785 SH SOLE 4785 0 0 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 2078349 27712 SH SOLE 27712 0 0 VANGUARD SCOTTSDALE FDS MTG-BKD SECS ETF 92206C771 4848848 111100 SH SOLE 111100 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 2581970 7425 SH SOLE 7425 0 0 WESTERN ASSET EMERGING MKTS COM 95766A101 1373650 165500 SH SOLE 165500 0 0 WESTERN DIGITAL CORP. COM 958102105 752895 16500 SH Put SOLE 16500 0 0 X4 PHARMACEUTICALS INC COM 98420X103 436000 400000 SH SOLE 400000 0 0 ZIMMER BIOMET HOLDINGS INC COM 98956P102 1703387 15179 SH SOLE 15179 0 0 ZOETIS INC CL A 98978V103 248269 1427 SH SOLE 1427 0 0