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Simplex Trading

Simplex Trading Portfolio holdings

AUM $149B
1-Year Est. Return 62.07%
 

Simplex Trading, founded in 2004 and headquartered in Chicago, Illinois, is a technology-driven proprietary trading firm specializing in market-making and liquidity provision, primarily in U.S. equity options and futures options. Leveraging advanced proprietary software and data-driven analysis, the firm optimizes trading strategies and develops innovative solutions to capitalize on financial market opportunities, maintaining a competitive edge through automation and a collaborative team of technologists and traders. With a workforce exceeding 300 and led by CEO Erik Swanson since 2014, Simplex operates with a low-ego, high-intelligence culture, focusing on minimal bureaucracy and rapid execution, while also making strategic venture capital investments in fintech startups. Recognized as a top workplace in Chicago by Built In’s 2025 awards, Simplex continues to evolve, blending cutting-edge technology with a commitment to market efficiency and growth.

This Fund
S&P 500
This Quarter Est. Return
+2.77%
1 Year Est. Return
+62.07%
3 Year Est. Return
+116.86%
5 Year Est. Return
+116.02%
10 Year Est. Return
+774.47%
AUM
$99B
AUM Growth
-$8.03B
Cap. Flow
-$10.8B
Cap. Flow %
-10.9%
Top 10 Hldgs %
33.11%
Holding
12,077
New
2,267
Increased
3,787
Reduced
4,258
Closed
1,645

Top Buys

Rank Stock Value
1
XLF icon
State Street Financial Select Sector SPDR ETF
XLF
+$42.6M
2
SHOP icon
Shopify
SHOP
+$39.6M
3
FXI icon
iShares China Large-Cap ETF
FXI
+$35.4M
4
VZ icon
Verizon
VZ
+$34.1M
5
KWEB icon
KraneShares CSI China Internet ETF
KWEB
+$34.1M

Top Sells

Rank Stock Value
1
AMC icon
AMC Entertainment Holdings
AMC
+$49.5M
2
GE icon
GE Aerospace
GE
+$35.2M
3
CCL icon
Carnival Corporation Ltd
CCL
+$30.5M
4
AMD icon
Advanced Micro Devices
AMD
+$28.8M
5
MU icon
Micron Technology
MU
+$23.7M

Sector Composition

Rank Sector Weight
1 Technology 0.61%
2 Consumer Discretionary 0.43%
3 Healthcare 0.35%
4 Communication Services 0.23%
5 Financials 0.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VOD icon
11526
Vodafone
VOD
$35.4B
– –
-68,866
Closed -$1.05M
VOE icon
11527
Vanguard Morningstar Mid-Cap Value ETF
VOE
$24B
– –
-147
Closed -$20K
VPL icon
11528
Vanguard FTSE Pacific ETF
VPL
$8.37B
– –
-2,746
Closed -$225K
VRCA icon
11529
Verrica Pharmaceuticals
VRCA
$94.7M
– –
-90
Closed -$10.2K
VREX icon
11530
CALL
Varex Imaging
VREX
$522M
– –
-1,000
Closed -$27K
VRM icon
11531
Vroom Inc
VRM
$49.7M
– –
-511
Closed -$688K
VRRM icon
11532
Verra Mobility
VRRM
$852M
– –
-29,066
Closed -$441K
VRSN icon
11533
PUT
VeriSign
VRSN
$26.5B
– –
-4,600
Closed -$1.05M
VSEC icon
11534
CALL
VSE Corp
VSEC
$6.05B
– –
-200
Closed -$10K
VSH icon
11535
Vishay Intertechnology
VSH
$5.09B
– –
-23,133
Closed -$475K
VSTM icon
11536
Verastem
VSTM
$516M
– –
-54
Closed -$1.7K
VTEB icon
11537
Vanguard Tax-Exempt Bond Index Fund
VTEB
$45.2B
– –
-1,100
Closed -$60K
VTLE
11538
DELISTED
Vital Energy
VTLE
– –
-6,650
Closed -$469K
VTV icon
11539
Vanguard Morningstar Value ETF
VTV
$191B
– –
-2,406
Closed -$332K
VTWG icon
11540
Vanguard Russell 2000 Growth ETF
VTWG
$1.53B
– –
-432
Closed -$98K
VV icon
11541
Vanguard Morningstar Large-Cap ETF
VV
$54.1B
– –
-637
Closed -$128K
VVX icon
11542
CALL
V2X
VVX
$2.44B
– –
-100
Closed -$4K
VWO icon
11543
Vanguard FTSE Emerging Markets ETF
VWO
$123B
– –
-20,915
Closed -$1.13M
VXX icon
11544
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$148M
– –
-9,513
Closed -$3.38M
VYGR icon
11545
Voyager Therapeutics
VYGR
$187M
– –
-724
Closed -$2.47K
YARW
11546
PUT
Yarrow Bioscience, Inc. Common Stock
YARW
$25.2M
– –
-1
Closed -$2K
WABC icon
11547
CALL
Westamerica Bancorp
WABC
$1.38B
– –
-100
Closed -$5K
WABC icon
11548
PUT
Westamerica Bancorp
WABC
$1.38B
– –
-500
Closed -$29K
WAFD icon
11549
CALL
WaFd
WAFD
$2.79B
– –
-5,200
Closed -$165K
WAFD icon
11550
PUT
WaFd
WAFD
$2.79B
– –
-3,100
Closed -$98K
460 461
462
463 464

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Simplex Trading's Q4 2021 Portfolio in Review

As of Q4 2021, Simplex Trading held 12,077 positions worth $99B, down 7.5% from $107B the previous quarter. Its ten largest holdings account for 33% of the portfolio.

Simplex Trading withdrew a net $10.8B in Q4 2021, closing 1,645 positions and reducing 4,258 holdings. Its most notable exit was Carnival Corporation Ltd, an estimated $30.5M position sold in full.

By sector, the portfolio is most concentrated in Technology at 0.61% of assets, up from 0.49% a quarter earlier, followed by Consumer Discretionary and Healthcare.

Against the trend, Simplex Trading opened a new position in iShares China Large-Cap ETF worth $33M.

  • Simplex Trading's largest Q4 2021 buy was iShares China Large-Cap ETF: 902,666 shares worth $33M.
  • Simplex Trading added most to State Street Financial Select Sector SPDR ETF in Q4 2021, an estimated $42.6M increase.
  • Simplex Trading's biggest Q4 2021 reduction was AMC Entertainment Holdings, cutting an estimated $49.5M.
  • Simplex Trading fully exited Carnival Corporation Ltd in Q4 2021, selling an estimated $30.5M.
  • Simplex Trading's ten largest holdings make up 33% of its $99B portfolio in Q4 2021.
  • Simplex Trading opened 2,267 new positions and closed 1,645 in Q4 2021.
  • Simplex Trading's portfolio value fell 7.5% quarter-over-quarter to $99B.

Based on Simplex Trading's 13F filing for Q4 2021, filed 4 Feb 2022.