Ulysses Management LLC

Registered adviser

CIK

1510912

Location

New York, NY

Portfolio Value

Small $505,980,385

Diversification

Diversified

Filing Date

Global Rank

#3,814 / 8,827 ▼ 1147

Top Industry

Internet Retail 19.9%

Period ended 4 months ago

Filed Aug 14, 2026 · 3mo

26 quarters · since Mar 2020

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Nov 1, 2026

Form ADV adviser

CRD 157251

Roster of Nov 1, 2026

Regulatory AUM

$1,421,644,806

Main clients

Pooled investment vehicles (100% of AUM)

Private funds

2 funds · Mixed

Focus by fund count, roster of Nov 1, 2026

$1,357,033,420 gross assets

LEI

549300CBSXLHNBFY5E88

Private funds on Schedule D 7.B.(1)

As filed Mar 29, 2024; SEC's bulk Form ADV archive ends with 2024 filings.

$1,528,662,110 gross assets in 3 funds Hedge funds $1,239,284,601 (2) Private equity funds $289,377,509 (1)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Nov 2026	$1,421,644,806	Pooled investment vehicles (100%)
Apr 2025 to Mar 2026	$1,543,668,622	Pooled investment vehicles (100%)
Apr 2024 to Mar 2025	$1,593,272,708	Pooled investment vehicles (100%)
May 2023 to Mar 2024	$1,553,305,738	Pooled investment vehicles (100%)
Apr 2023	$1,553,305,738	Pooled investment vehicles (100%)
Apr 2022 to Mar 2023	$1,892,436,098	Pooled investment vehicles (100%)

3 earlier changes not shown.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, never from the firm's own description.

Style

Concentrated

The top 10 positions are 86.3% of the book (60%+)

Turnover

Low turnover

27.0% over the last four quarters (under 30%)

Horizon

Long horizon

Value-weighted holding period 16.4 quarters (12+), a floor since 43.4% of the book was already held when coverage starts

Closest benchmark: the S&P 500 as of 2026-06-30, active share 86.2%; sector active share 36.9% against the combined 13F book's sector weights.

Over time 26 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

38 tracked positions · as of Jun 30, 2026 · Δ vs Mar 31, 2026

Top Position

16.7%

−40.0 pts

Top 5

60.1%

−23.4 pts

Top 10

83.2%

−10.3 pts

HHI

906

Diversified−2,531

Portfolio Trend

26 quarters · across all stocks

Sector Breakdown

As of Jun 30, 2026

Sector	% Portfolio	Value	Positions
Technology	38.0%	$192,060,397	10
Consumer Cyclical	24.1%	$122,077,819	3
Unclassified	15.9%	$80,607,795	6
Healthcare	13.7%	$69,275,240	3
Financial Services	6.0%	$30,286,439	9
Communication Services	0.9%	$4,467,125	1
Industrials	0.8%	$4,046,920	2
Basic Materials	0.6%	$2,957,500	3
Energy	0.0%	$201,150	1

Last Quarter's Activity

Export CSV

Jun 30, 2026 vs Mar 31, 2026

Added To

Positions the filer increased

4 positions

Ticker	Company	Δ Shares	Shares	Value
GLD	Spdr Gold Trust	+18,000	26,500	$9,762,070
HSIC	Henry Schein Inc	+15,500	665,358	$55,570,700
EMBJ	Embraer S.A.	+7,500	40,000	$2,552,000
GOOGL	Alphabet Inc.	+6,500	12,500	$4,467,125
No positions match the current search.

Trimmed

Positions the filer reduced

6 positions

Ticker	Company	Δ Shares	Shares	Value
PACK	Ranpak Holdings Corp.	−176,400	515,885	$3,771,119
SMWB	Similarweb Ltd.	−70,000	2,928,474	$17,951,545
UBER	Uber Technologies, Inc	−50,000	221,700	$15,997,872
MSFT	Microsoft Corp	−40,000	101,367	$37,811,918
DCOM	Dime Commercial Bancshares, Inc.	−29,441	195,000	$7,926,750
B	Barrick Mining Corp	−10,000	25,000	$918,250
No positions match the current search.

New Positions

Positions the filer opened this quarter

13 positions

Ticker	Company	Shares	Value
MCO	Moodys Corp	10,500	$4,755,660
SPGI	S&P Global Inc.	10,500	$4,276,229
MS	Morgan Stanley	8,000	$1,672,320
GE	General Electric Co	4,000	$1,494,920
ASML	Asml Holding NV	700	$1,392,607
XLE	State Street(R) Energy Select Sector SPDR(R) ETF	25,000	$1,327,750
MSCI	MSCI Inc.	2,000	$1,120,080
AXP	American Express Co	3,000	$1,014,750
AMGN	Amgen Inc	2,000	$724,240
NEM	NEWMONT Corp	5,000	$467,000
EW	Edwards Lifesciences Corp	5,000	$452,300
APH	Amphenol Corp	2,000	$352,640
SEI	Solaris Energy Infrastructure, Inc.	2,500	$201,150
No positions match the current search.

Sold Out

Positions the filer fully exited

10 positions

Ticker	Company	Shares	Value
TRMB	Trimble Inc.	70,000	$4,566,100
ANGI	Angi Inc.	547,956	$3,753,498
KRE	State Street(R) SPDR(R) S&P(R) Regional Banking ETF	30,000	$1,954,500
USB	US Bancorp De	30,000	$1,560,300
TMO	Thermo Fisher Scientific Inc.	3,000	$1,474,590
RKT	Rocket Companies, Inc.	100,000	$1,425,000
JNJ	Johnson & Johnson	4,000	$977,760
PFSI	PennyMac Financial Services, Inc.	7,500	$655,500
KRNT	Kornit Digital Ltd.	40,000	$586,400
TECK	Teck Resources Ltd	10,000	$517,500
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

38 tracked positions · $505,980,385 total · filing declares 42 positions · $505,980,388 · as of Jun 30, 2026

All sectors Basic Materials Communication Services Consumer Cyclical Energy Financial Services Healthcare Industrials Technology

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	Held (qtrs)	Est. cost/share	% of Portfolio
AMZN	Amazon Com Inc PUT CALL + SHARES Consumer Cyclical	Added	355,000	+77,500	$84,610,700	+46.4%	26+	before history	16.72%
HSIC	Henry Schein Inc CALL + SHARES Healthcare	Reduced	815,358	-89,400	$68,098,700	+2.1%	6	$71.51	13.46%
NVDA	Nvidia Corp CALL Technology	NEW	290,000	NEW	$58,026,100	NEW	—	—	11.47%
MSFT	Microsoft Corp PUT + SHARES Technology	Reduced	151,367	-5,500	$56,462,918	−2.8%	26+	before history	11.16%
QQQ	Invesco Qqq Trust, Series 1 PUT	Added	50,000	+20,000	$36,820,000	+112.6%	—	—	7.28%
BALL	BALL Corp Consumer Cyclical	Held	540,000	0	$33,696,000	+5.6%	12	$55.45	6.66%
SPY	Spdr S&P 500 ETF Trust PUT	Reduced	37,500	-662,500	$28,003,875	−93.8%	—	—	5.53%
TSM	Taiwan Semiconductor Manufacturing Co Ltd CALL Technology	Reduced	44,500	-38,000	$21,251,865	−23.8%	—	—	4.20%
SMWB	Similarweb Ltd. Technology	Reduced	2,928,474	-70,000	$17,951,545	+129.4%	19	$14.82	3.55%
UBER	Uber Technologies, Inc Technology	Reduced	221,700	-50,000	$15,997,872	−18.1%	26+	before history	3.16%
AAPL	Apple Inc. CALL Technology	Added	50,000	+20,000	$14,468,000	+90.0%	—	—	2.86%
GLD	Spdr Gold Trust	Added	26,500	+18,000	$9,762,070	+166.9%	8	$403.21	1.93%
DCOM	Dime Commercial Bancshares, Inc. Financial Services	Reduced	195,000	-29,441	$7,926,750	+4.4%	22	$30.33	1.57%
MCO	Moodys Corp Financial Services	NEW	10,500	NEW	$4,755,660	NEW	1	$449.10	0.94%
SSYS	Stratasys Ltd. Technology	Held	555,000	0	$4,750,800	+9.6%	6	$9.85	0.94%
GOOGL	Alphabet Inc. Communication Services	Added	12,500	+6,500	$4,467,125	+158.9%	8	$314.98	0.88%
SPGI	S&P Global Inc. Financial Services	NEW	10,500	NEW	$4,276,229	NEW	1	unpriced	0.85%
JPM	Jpmorgan Chase & Co Financial Services	Held	13,000	0	$4,255,290	+11.3%	26+	before history	0.84%
PACK	Ranpak Holdings Corp. Consumer Cyclical	Reduced	515,885	-176,400	$3,771,119	+52.6%	26+	before history	0.75%
GS	Goldman Sachs Group Inc Financial Services	Held	3,000	0	$3,034,110	+19.5%	11	$580.47	0.60%
EMBJ	Embraer S.A. Industrials	Added	40,000	+7,500	$2,552,000	+32.3%	5	$51.38	0.50%
XBI	State Street(R) SPDR(R) S&P(R) Biotech ETF	Held	15,000	0	$2,373,750	+23.9%	3	$114.66	0.47%
KRE	State Street(R) SPDR(R) S&P(R) Regional Banking ETF CALL	Added	31,000	+1,000	$2,320,350	+18.7%	—	—	0.46%
NTB	Bank of N.T. Butterfield & Son Ltd Financial Services	Held	37,500	0	$2,231,250	+13.4%	26+	before history	0.44%
MS	Morgan Stanley Financial Services	NEW	8,000	NEW	$1,672,320	NEW	1	$198.03	0.33%
FCX	Freeport-Mcmoran Inc Basic Materials	Held	25,000	0	$1,572,250	+7.0%	4	$43.35	0.31%
GE	General Electric Co Industrials	NEW	4,000	NEW	$1,494,920	NEW	1	$313.08	0.30%
IBM	International Business Machines Corp CALL Technology	NEW	5,000	NEW	$1,406,050	NEW	—	—	0.28%
ASML	Asml Holding NV Technology	NEW	700	NEW	$1,392,607	NEW	1	$1,591.72	0.28%
XLE	State Street(R) Energy Select Sector SPDR(R) ETF	NEW	25,000	NEW	$1,327,750	NEW	1	$57.18	0.26%
MSCI	MSCI Inc. Financial Services	NEW	2,000	NEW	$1,120,080	NEW	1	$583.46	0.22%
AXP	American Express Co Financial Services	NEW	3,000	NEW	$1,014,750	NEW	1	$320.17	0.20%
B	Barrick Mining Corp Basic Materials	Reduced	25,000	-10,000	$918,250	−35.7%	3	$37.52	0.18%
AMGN	Amgen Inc Healthcare	NEW	2,000	NEW	$724,240	NEW	1	$342.31	0.14%
NEM	NEWMONT Corp Basic Materials	NEW	5,000	NEW	$467,000	NEW	1	$108.93	0.09%
EW	Edwards Lifesciences Corp Healthcare	NEW	5,000	NEW	$452,300	NEW	1	$83.77	0.09%
APH	Amphenol Corp Technology	NEW	2,000	NEW	$352,640	NEW	1	$144.16	0.07%
SEI	Solaris Energy Infrastructure, Inc. Energy	NEW	2,500	NEW	$201,150	NEW	1	$71.46	0.04%

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.