Simplex Trading Portfolio holdings
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.
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
State Street Financial Select Sector SPDR ETF
XLF
|
+$42.6M |
| 2 |
Shopify
SHOP
|
+$39.6M |
| 3 |
iShares China Large-Cap ETF
FXI
|
+$35.4M |
| 4 |
Verizon
VZ
|
+$34.1M |
| 5 |
KraneShares CSI China Internet ETF
KWEB
|
+$34.1M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
AMC Entertainment Holdings
AMC
|
+$49.5M |
| 2 |
GE Aerospace
GE
|
+$35.2M |
| 3 |
Carnival Corporation Ltd
CCL
|
+$30.5M |
| 4 |
Advanced Micro Devices
AMD
|
+$28.8M |
| 5 |
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 | |
|---|---|---|---|---|---|---|
3176
PUT
Alliance Resource Partners
ARLP
$3.3B
| $797K | ﹤0.01% |
63,100
-43,500
| -41% | -$490K |
|
3177
BridgeBio Pharma
BBIO
$16.5B
| $797K | ﹤0.01% |
+47,810
| New | +$2.02M |
|
3178
Invesco
IVZ
$13.3B
| $797K | ﹤0.01% |
+34,649
| New | +$843K |
|
3179
Regions Financial
RF
$26.2B
| $796K | ﹤0.01% |
+36,538
| New | +$836K |
|
|
LGF.A
3180
DELISTED
Lions Gate Entertainment Corp. Class A Voting Shares
LGF.A
| $796K | ﹤0.01% |
+47,855
| New | +$735K |
|
3181
CALL
CenterPoint Energy
CNP
$28.8B
| $795K | ﹤0.01% |
28,500
+21,800
| +325% | +$582K |
|
3182
FIVE9
FIVN
$1.96B
| $795K | ﹤0.01% |
+5,791
| New | +$857K |
|
3183
PUT
Integer Holdings
ITGR
$3.38B
| $795K | ﹤0.01% |
+9,300
| New | +$812K |
|
3184
CALL
MidCap Financial Investment
MFIC
$790M
| $794K | ﹤0.01% |
62,100
-12,900
| -17% | -$169K |
|
3185
PUT
National Beverage
FIZZ
$2.93B
| $793K | ﹤0.01% |
17,500
-40,400
| -70% | -$2.2M |
|
3186
PUT
Seres Therapeutics
MCRB
$47M
| $793K | ﹤0.01% |
4,760
+3,830
| +412% | +$609K |
|
3187
CALL
Purple Innovation
PRPL
$35.8M
| $793K | ﹤0.01% |
2,392
+1,332
| +126% | +$516K |
|
3188
CALL
ArcBest
ARCB
$3.31B
| $791K | ﹤0.01% |
6,600
-1,600
| -20% | -$163K |
|
|
RETA
3189
PUT
DELISTED
Reata Pharmaceuticals, Inc. Class A Common Stock
RETA
| $791K | ﹤0.01% |
30,000
-8,600
| -22% | -$665K |
|
3190
Axsome Therapeutics
AXSM
$12.3B
| $790K | ﹤0.01% |
20,927
+10,592
| +102% | +$390K |
|
3191
CALL
Voya Financial
VOYA
$8.98B
| $789K | ﹤0.01% |
11,900
+9,500
| +396% | +$626K |
|
3192
PUT
Invesco Mortgage Capital
IVR
$762M
| $788K | ﹤0.01% |
28,350
-32,500
| -53% | -$1.01M |
|
3193
CALL
OptimizeRx
OPRX
$120M
| $788K | ﹤0.01% |
12,700
-32,200
| -72% | -$2.44M |
|
3194
AtaiBeckley Inc
ATAI
$2.65B
| $787K | ﹤0.01% |
+103,204
| New | +$1.25M |
|
3195
CALL
Brighthouse Financial
BHF
$3.63B
| $787K | ﹤0.01% |
15,200
-8,000
| -34% | -$409K |
|
3196
Direxion Daily Regional Banks Bull 3X ETF
DPST
$454M
| $787K | ﹤0.01% |
1,585
+508
| +47% | +$264K |
|
3197
iShares US Basic Materials ETF
IYM
$1.14B
| $787K | ﹤0.01% |
5,619
-3,592
| -39% | -$484K |
|
3198
CALL
Ligand Pharmaceuticals
LGND
$5.96B
| $787K | ﹤0.01% |
8,175
-2,725
| -25% | -$252K |
|
|
MIME
3199
PUT
DELISTED
Mimecast Limited
MIME
| $787K | ﹤0.01% |
9,900
+4,000
| +68% | +$301K |
|
3200
Arbutus Biopharma
ABUS
$871M
| $785K | ﹤0.01% |
201,963
+171,920
| +572% | +$668K |
|
Similar funds
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 2,269 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.