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Simplex Trading Portfolio holdings
AUM
$184B
Turnover
28.44%
1-Year Est. Return
51.71%
Simplex Trading is a market maker that trades for its own account, mainly in US stock options and options on futures, using software it builds itself. Its work pairs software developers with data-driven traders. It was founded in Chicago in 2004, and Erik Swanson, who joined straight out of college as a trader, has been its chief executive since 2014. It also invests in early-stage financial and technology start-ups.
This Fund
S&P 500
This Quarter Est. Return
-0.22%
1 Year Est. Return
+51.71%
3 Year Est. Return
+194.66%
5 Year Est. Return
+164.83%
10 Year Est. Return
+968.67%
AUM
$184B
AUM Growth
+$13.3B
(+7.8%)
Cap. Flow
-$519M
Cap. Flow % of AUM
Cap. Flow %
-0.28%
Top 10 Holdings %
Top 10 Hldgs %
50.68%
Holding
10,644
New
1,493
Increased
3,697
Reduced
3,633
Closed
1,534
Avg Time Held
Equity + Options
3
years
Top 10 Avg Time Held
Equity + Options
3.9
years
Top 20 Avg Time Held
Equity + Options
4.3
years
Avg Time Held Equity only
0.5
years
Top 10 Avg Time Held Equity only
0.5
years
Top 20 Avg Time Held Equity only
0.4
years
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
iShares 20+ Year Treasury Bond ETF
TLT
|
+$92.6M |
| 2 |
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
|
+$80.6M |
| 3 |
Amazon
AMZN
|
+$26.3M |
| 4 |
State Street Industrial Select Sector SPDR ETF
XLI
|
+$25.7M |
| 5 |
SPDR Gold Trust
GLD
|
+$20.7M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
Alphabet (Google) Class A
GOOGL
|
+$128M |
| 2 |
NVIDIA
NVDA
|
+$97.8M |
| 3 |
Tesla
TSLA
|
+$53.9M |
| 4 |
Micron Technology
MU
|
+$50M |
| 5 |
United States Oil Fund
USO
|
+$49.2M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Miscellaneous | 98.84% |
| 2 | Technology | 0.45% |
| 3 | Consumer Discretionary | 0.14% |
| 4 | Healthcare | 0.14% |
| 5 | Financials | 0.1% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | Held Since | |
|---|---|---|---|---|---|---|---|
3901
PUT
Tuttle Capital Space Industry Income Blast ETF
SPCI
$7.74M
| $376K | ﹤0.01% |
+14,600
| New | +$330K |
2026 Q3
0 quarters
|
|
3902
PUT
Immunocore
IMCR
$1.54B
| $376K | ﹤0.01% |
12,400
+4,400
| +55% | +$150K |
2025 Q4
3 quarters
|
|
3903
PUT
Everforth Inc
EFOR
$1.45B
| $375K | ﹤0.01% |
11,400
+10,800
| +1,800% | +$301K |
2026 Q1
2 quarters
|
|
3904
Northern Dynasty Minerals
NAK
$309M
| $375K | ﹤0.01% |
273,484
-17,620
| -6% | -$27.8K |
2026 Q1
2 quarters
|
|
3905
Invesco S&P SmallCap Energy ETF
PSCE
$93.3M
| $375K | ﹤0.01% |
6,498
+1,656
| +34% | +$98.4K |
2026 Q1
2 quarters
|
|
3906
iShares US Telecommunications ETF
IYZ
$705M
| $375K | ﹤0.01% |
9,095
-4,601
| -34% | -$194K |
2026 Q1
2 quarters
|
|
3907
CALL
Kingstone Companies
KINS
$332M
| $374K | ﹤0.01% |
21,300
+12,900
| +154% | +$253K |
2024 Q1
10 quarters
|
|
3908
Saratoga Investment
SAR
$181M
| $374K | ﹤0.01% |
+22,476
| New | +$420K |
2026 Q3
0 quarters
|
|
3909
PUT
StubHub Holdings
STUB
$2.06B
| $374K | ﹤0.01% |
67,100
-17,400
| -21% | -$138K |
2025 Q3
4 quarters
|
|
3910
PUT
Metallus
MTUS
$699M
| $374K | ﹤0.01% |
19,700
+17,200
| +688% | +$340K |
2026 Q1
2 quarters
|
|
3911
PUT
Icon
ICLR
$14.6B
| $374K | ﹤0.01% |
2,200
+1,300
| +144% | +$218K |
2025 Q3
4 quarters
|
|
3912
CALL
Orion
OEC
$224M
| $374K | ﹤0.01% |
66,500
+7,400
| +13% | +$46.3K |
2019 Q3
28 quarters
|
|
3913
Harrow
HROW
$1.13B
| $374K | ﹤0.01% |
12,127
-3,222
| -21% | -$126K |
2026 Q1
2 quarters
|
|
3914
PUT
Beta Technologies Inc
BETA
$5.65B
| $373K | ﹤0.01% |
16,900
-52,300
| -76% | -$1.1M |
2025 Q4
3 quarters
|
|
3915
PUT
Lithium Americas
LAC
$592M
| $373K | ﹤0.01% |
141,900
+21,600
| +18% | +$66.3K |
2023 Q4
11 quarters
|
|
3916
CALL
Vanguard ESG US Corporate Bond ETF
VCEB
$1.22B
| $373K | ﹤0.01% |
5,200
-1,400
| -21% | -$85.9K |
2020 Q3
24 quarters
|
|
3917
CALL
Rapport Therapeutics
RAPP
$1.51B
| $373K | ﹤0.01% |
+11,100
| New | +$479K |
2026 Q3
0 quarters
|
|
3918
CALL
GraniteShares 2x Short SK Hynix Daily ETF
SKDD
$20.1M
| $373K | ﹤0.01% |
+19,000
| New | +$211K |
2026 Q3
0 quarters
|
|
3919
Tencent Music
TME
$14.6B
| $373K | ﹤0.01% |
46,985
-112,136
| -70% | -$975K |
2026 Q1
2 quarters
|
|
3920
CALL
Procore
PCOR
$11.7B
| $372K | ﹤0.01% |
7,200
-82,100
| -92% | -$4.33M |
2021 Q2
21 quarters
|
|
3921
CALL
Trinity Capital Inc
TRIN
$1.75B
| $372K | ﹤0.01% |
21,200
+8,000
| +61% | +$143K |
2021 Q4
19 quarters
|
|
3922
PUT
Evolv Technologies
EVLV
$714M
| $372K | ﹤0.01% |
80,000
-66,300
| -45% | -$361K |
2026 Q1
2 quarters
|
|
3923
CALL
StealthGas
GASS
$308M
| $372K | ﹤0.01% |
41,400
+39,700
| +2,335% | +$359K |
2026 Q2
1 quarter
|
|
3924
CALL
Genco Shipping & Trading
GNK
$1.14B
| $371K | ﹤0.01% |
14,200
+12,200
| +610% | +$318K |
2026 Q1
2 quarters
|
|
3925
PUT
Enliven Therapeutics
ELVN
$3.46B
| $371K | ﹤0.01% |
8,100
-9,500
| -54% | -$518K |
2025 Q4
3 quarters
|
|
Similar funds
Simplex Trading's Q3 2026 Portfolio in Review
As of Q3 2026, Simplex Trading held 10,644 positions worth $184B, up 7.8% from $171B the previous quarter. Its ten largest holdings account for 51% of the portfolio.
Simplex Trading's Q3 2026 filing shows 1,493 new, 3,697 increased, 3,633 reduced and 1,534 closed positions. Its largest new stake was iShares iBoxx $ High Yield Corporate Bond ETF: 1,017,542 shares worth $78.6M. The largest sale was Alphabet (Google) Class A, an estimated $128M.
By sector, the portfolio is most concentrated in Miscellaneous at 99% of assets, up from 98% a quarter earlier, followed by Technology and Consumer Discretionary.
- Simplex Trading's largest Q3 2026 buy was iShares iBoxx $ High Yield Corporate Bond ETF: 1,017,542 shares worth $78.6M.
- Simplex Trading added most to iShares 20+ Year Treasury Bond ETF in Q3 2026, an estimated $92.6M increase.
- Simplex Trading's biggest Q3 2026 reduction was NVIDIA, cutting an estimated $97.8M.
- Simplex Trading fully exited Alphabet (Google) Class A in Q3 2026, selling an estimated $128M.
- Simplex Trading's ten largest holdings make up 51% of its $184B portfolio in Q3 2026.
- Simplex Trading opened 1,493 new positions and closed 1,534 in Q3 2026.
- Simplex Trading's portfolio value rose 7.8% quarter-over-quarter to $184B.
Based on Simplex Trading's 13F filing for Q3 2026, filed 4 Nov 2026.