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 | |
|---|---|---|---|---|---|---|
401
CALL
Dow Inc
DOW
$22.3B
| $12.2M | 0.02% |
1,911
-837
| -30% | -$50.1K |
|
402
Shopify
SHOP
$145B
| $12.2M | 0.02% |
110,070
+30,690
| +39% | +$3.71M |
|
403
CALL
Hartford Financial Services
HIG
$39B
| $12.2M | 0.02% |
1,823
+1,190
| +188% | +$64.3K |
|
404
CALL
DuPont de Nemours
DD
$18.6B
| $12.2M | 0.02% |
1,255
-865
| -41% | -$82.9K |
|
405
PUT
SLB Ltd
SLB
$70.6B
| $12.1M | 0.02% |
4,468
-1,437
| -24% | -$37.8K |
|
406
CALL
Waste Management
WM
$95.3B
| $12.1M | 0.02% |
939
+583
| +164% | +$68.1K |
|
407
CALL
Phillips 66
PSX
$83B
| $12.1M | 0.02% |
1,484
-849
| -36% | -$66.6K |
|
408
PUT
Truist Financial
TFC
$62.5B
| $12M | 0.02% |
1,600
-475
| -23% | -$26K |
|
409
CALL
Toyota
TM
$209B
| $11.9M | 0.02% |
761
+284
| +60% | +$43K |
|
410
CALL
Ally Financial
ALLY
$13.4B
| $11.8M | 0.02% |
2,618
-77
| -3% | -$3.22K |
|
|
GAP
411
CALL
The Gap Inc
GAP
$6.8B
| $11.8M | 0.02% |
3,961
-122
| -3% | -$3.03K |
|
|
412
PUT
Hartford Financial Services
HIG
$39B
| $11.8M | 0.02% |
1,762
+1,049
| +147% | +$56.7K |
|
413
PUT
Aptiv
APTV
$11.9B
| $11.7M | 0.02% |
850
+191
| +29% | +$27.8K |
|
414
CALL
Cracker Barrel
CBRL
$1.16B
| $11.7M | 0.02% |
+678
| New | +$103K |
|
415
CALL
Norfolk Southern
NSC
$78.3B
| $11.7M | 0.02% |
436
+8
| +2% | +$2.03K |
|
|
X
416
DELISTED
US Steel
X
| $11.7M | 0.02% |
445,988
+379,158
| +567% | +$7.49M |
|
417
PUT
MetLife
MET
$59.5B
| $11.7M | 0.02% |
1,917
-681
| -26% | -$37.6K |
|
418
PUT
Blackstone
BX
$152B
| $11.6M | 0.02% |
1,563
-1,894
| -55% | -$131K |
|
419
PUT
iQIYI
IQ
$1.17B
| $11.6M | 0.02% |
6,987
+1,922
| +38% | +$44.4K |
|
420
CALL
DoorDash
DASH
$74B
| $11.6M | 0.02% |
881
+38
| +5% | +$6.37K |
|
421
CALL
American Water Works
AWK
$26.2B
| $11.5M | 0.02% |
766
+541
| +240% | +$82K |
|
|
PXD
422
PUT
DELISTED
Pioneer Natural Resource Co.
PXD
| $11.4M | 0.02% |
721
-595
| -45% | -$84.5K |
|
423
CALL
BHP
BHP
$212B
| $11.4M | 0.02% |
1,844
+819
| +80% | +$52.7K |
|
424
PUT
Cadence Design Systems
CDNS
$91.1B
| $11.4M | 0.02% |
832
+336
| +68% | +$45.1K |
|
425
CALL
Workday
WDAY
$31.6B
| $11.4M | 0.02% |
+458
| New | +$113K |
|
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.