Simplex Trading Portfolio holdings

AUM $2.82B

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.

AUM

$2.82B

AUM Growth

-$729M (-21%)

Cap. Flow

+$412M

Cap. Flow % of AUM

14.63%

Top 10 Holdings %Top 10 Hldgs %

31.34%

Holding

4,435

New

903

Increased

735

Reduced

755

Closed

942

Top Buys

1	iShares 20+ Year Treasury Bond ETF TLT	$278M
2	Alphabet (Google) Class A GOOGL	$84.4M
3	NVIDIA NVDA	$76.9M
4	TSMC TSM	$74.9M
5	Amazon AMZN	$53.5M

Top Sells

1	Apple AAPL	$497M
2	MicroStrategy MSTR	$73.7M
3	Uber UBER	$41.8M
4	Bilibili BILI	$18.2M
5	Newmont NEM	$16.9M

Sector Composition

1	Technology	22.97%
2	Consumer Discretionary	12.26%
3	Healthcare	9.52%
4	Communication Services	8.42%
5	Financials	7.07%

#	Name	Market Value	Portfolio Weight	Shares or Principal	Shares Change %	Capital Flow
3076	3076 Phunware PHUN $64.5M	$0	0%	0 -46,151	Closed	–
3077	3077 PHX Minerals PHX $165M	$0	0%	0	–	–
3078	3078 iShares MSCI Global Metals & Mining Producers ETF PICK $744M	$0	0%	0 -249	Closed	–
3079	3079 ClearShares Piton Intermediate Fixed Income ETF PIFI $99.1M	$0	0%	0	–	–
3080	3080 Polaris PII $2.34B	$0	0%	0 -8,300	Closed	–
3081	3081 Pinterest PINS $23.7B	$0	0%	0 -119,130	Closed	–
3082	3082 Piper Sandler PIPR $4.21B	$0	0%	0	–	–
3083	3083 Park Aerospace PKE $275M	$0	0%	0	–	–
3084	3084 POSCO PKX $14.5B	$0	0%	0 -91	Closed	–
3085	3085 Photronics PLAB $1.13B	$0	0%	0 -30,738	Closed	–
3086	3086 Dave & Buster's PLAY $1.13B	$0	0%	0 -119,523	Closed	–
3087	3087 Piedmont Lithium PLL $135M	$0	0%	0	–	–
3088	3088 Douglas Dynamics PLOW $679M	$0	0%	0	–	–
3089	3089 Palantir PLTR $337B	$0	0%	0	–	–
3090	3090 Plug Power PLUG $1.54B	$0	0%	0	–	–
3091	3091 ePlus PLUS $1.83B	$0	0%	0 -64	Closed	–
3092	3092 Protalix BioTherapeutics PLX $117M	$0	0%	0	–	–
3093	PLYM 3093 Plymouth Industrial REIT PLYM $733M	$0	0%	0	–	–
3094	3094 Playa Hotels & Resorts PLYA $1.66B	$0	0%	0 -18,681	Closed	–
3095	3095 Plexus PLXS $3.57B	$0	0%	0	–	–
3096	3096 PharmaCyte Biotech PMCB $6.86M	$0	0%	0	–	–
3097	PMT 3097 PennyMac Mortgage Investment PMT $1.09B	$0	0%	0	–	–
3098	3098 PMV Pharmaceuticals PMVP $55.6M	$0	0%	0 -16,935	Closed	–
3099	3099 Pinnacle Financial Partners PNFP $8.04B	$0	0%	0	–	–
3100	PNNT 3100 Pennant Park Investment Corp PNNT $436M	$0	0%	0	–	–