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 |
iShares Russell 2000 ETF
IWM
|
+$67.5M |
| 2 |
Palantir
PLTR
|
+$64.7M |
| 3 |
PARA
Paramount Global Class B
PARA
|
+$31.5M |
| 4 |
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
|
+$30.7M |
| 5 |
Carnival Corporation Ltd
CCL
|
+$25.7M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
Amazon
AMZN
|
+$66M |
| 2 |
Tesla
TSLA
|
+$53.7M |
| 3 |
Alphabet (Google) Class C
GOOG
|
+$38.1M |
| 4 |
Invesco QQQ Trust
QQQ
|
+$37.6M |
| 5 |
AutoZone
AZO
|
+$28.5M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Technology | 0.65% |
| 2 | Consumer Discretionary | 0.49% |
| 3 | Healthcare | 0.32% |
| 4 | Financials | 0.3% |
| 5 | Industrials | 0.29% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
3451
PUT
KALA BIO
KALA
$12.3M
| – | – |
0
| – | – |
|
3452
NIO
NIO
$11.7B
| $474K | ﹤0.01% |
12,171
-203,448
| -94% | -$10.4M |
|
3453
PUT
STAAR Surgical
STAA
$1.13B
| $474K | ﹤0.01% |
45
-9
| -17% | -$901 |
|
3454
CALL
Travere Therapeutics
TVTX
$5.2B
| $474K | ﹤0.01% |
190
+172
| +956% | +$4.75K |
|
3455
PUT
Modine Manufacturing
MOD
$11B
| $472K | ﹤0.01% |
320
+319
| +31,900% | +$4.54K |
|
3456
CALL
Qiagen
QGEN
$8.72B
| $472K | ﹤0.01% |
91
+29
| +47% | +$1.59K |
|
3457
Tootsie Roll Industries
TR
$2.94B
| $472K | ﹤0.01% |
16,517
+13,455
| +439% | +$370K |
|
3458
abrdn Physical Silver Shares ETF
SIVR
$3.97B
| $471K | ﹤0.01% |
19,962
+9,327
| +88% | +$236K |
|
|
MDLA
3459
PUT
DELISTED
Medallia, Inc.
MDLA
| $471K | ﹤0.01% |
169
+50
| +42% | +$1.86K |
|
|
GPUS
3460
Hyperscale Data Inc
GPUS
$55M
| $470K | ﹤0.01% |
1
| – | – |
|
|
XM
3461
DELISTED
Qualtrics International Inc. Class A Common Stock
XM
| $470K | ﹤0.01% |
+14,290
| New | +$580K |
|
3462
CALL
HealthEquity
HQY
$8.46B
| $469K | ﹤0.01% |
69
-41
| -37% | -$3.22K |
|
3463
iShares International Select Dividend ETF
IDV
$8.28B
| $469K | ﹤0.01% |
+14,917
| New | +$463K |
|
|
BAND
3464
PUT
Bandwidth Inc
BAND
$1.67B
| $468K | ﹤0.01% |
37
-42
| -53% | -$6.51K |
|
3465
Citizens Financial Group
CFG
$30.8B
| $468K | ﹤0.01% |
10,620
-10,090
| -49% | -$420K |
|
3466
Everest Group
EG
$15.8B
| $468K | ﹤0.01% |
1,889
-504
| -21% | -$120K |
|
3467
CALL
Insperity
NSP
$2.01B
| $468K | ﹤0.01% |
56
-134
| -71% | -$11.4K |
|
|
ARNA
3468
DELISTED
Arena Pharmaceuticals Inc
ARNA
| $468K | ﹤0.01% |
6,749
+3,166
| +88% | +$244K |
|
3469
Evercore
EVR
$13.2B
| $467K | ﹤0.01% |
+3,546
| New | +$433K |
|
3470
CALL
Willdan Group
WLDN
$1.06B
| $467K | ﹤0.01% |
114
+102
| +850% | +$4.69K |
|
3471
PUT
Zai Lab
ZLAB
$2.1B
| $467K | ﹤0.01% |
+35
| New | +$5.42K |
|
3472
PUT
Antero Midstream
AM
$10.3B
| $466K | ﹤0.01% |
517
-152
| -23% | -$1.31K |
|
3473
Bit Digital
BTBT
$459M
| $466K | ﹤0.01% |
+31,049
| New | +$575K |
|
3474
Eldorado Gold
EGO
$8.4B
| $466K | ﹤0.01% |
+43,243
| New | +$511K |
|
|
CONN
3475
PUT
DELISTED
Conn's Inc.
CONN
| $466K | ﹤0.01% |
240
+220
| +1,100% | +$3.24K |
|
Similar funds
Simplex Trading's Q1 2021 Portfolio in Review
As of Q1 2021, Simplex Trading held 10,706 positions worth $55.7B, down 28% from $77.2B the previous quarter. Its ten largest holdings account for 43% of the portfolio.
Simplex Trading withdrew a net $23.5B in Q1 2021, closing 1,706 positions and reducing 3,151 holdings. Its most notable exit was Alphabet (Google) Class C, an estimated $38.1M position sold in full.
By sector, the portfolio is most concentrated in Technology at 0.65% of assets, up from 0.37% a quarter earlier, followed by Consumer Discretionary and Healthcare.
Against the trend, Simplex Trading opened a new position in Pfizer worth $16.8M.
- Simplex Trading's largest Q1 2021 buy was Pfizer: 464,628 shares worth $16.8M.
- Simplex Trading added most to iShares Russell 2000 ETF in Q1 2021, an estimated $67.5M increase.
- Simplex Trading's biggest Q1 2021 reduction was Amazon, cutting an estimated $66M.
- Simplex Trading fully exited Alphabet (Google) Class C in Q1 2021, selling an estimated $38.1M.
- Simplex Trading's ten largest holdings make up 43% of its $55.7B portfolio in Q1 2021.
- Simplex Trading opened 2,258 new positions and closed 1,706 in Q1 2021.
- Simplex Trading's portfolio value fell 28% quarter-over-quarter to $55.7B.
Based on Simplex Trading's 13F filing for Q1 2021, filed 26 Apr 2021.