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 | |
|---|---|---|---|---|---|---|
|
XYZ
26
CALL
Block Inc
XYZ
$47.8B
| $241M | 0.43% |
10,619
+2,911
| +38% | +$681K |
|
27
PUT
NIO
NIO
$12B
| $240M | 0.43% |
61,686
+20,830
| +51% | +$1.06M |
|
28
CALL
Netflix
NFLX
$286B
| $239M | 0.43% |
45,820
-11,890
| -21% | -$631K |
|
29
PUT
Visa
V
$677B
| $238M | 0.43% |
11,247
+2,539
| +29% | +$534K |
|
|
XYZ
30
PUT
Block Inc
XYZ
$47.8B
| $238M | 0.43% |
10,475
-3,722
| -26% | -$871K |
|
31
PUT
Baidu
BIDU
$36.8B
| $235M | 0.42% |
10,818
+4,098
| +61% | +$1.07M |
|
32
PUT
Shopify
SHOP
$160B
| $219M | 0.39% |
19,810
-2,570
| -11% | -$311K |
|
33
PUT
PayPal
PYPL
$49.3B
| $213M | 0.38% |
8,776
-1,207
| -12% | -$305K |
|
34
PUT
Micron Technology
MU
$1.1T
| $197M | 0.35% |
+22,369
| New | +$1.9M |
|
35
PUT
State Street Materials Select Sector SPDR ETF
XLB
$8.31B
| $188M | 0.34% |
241,670
-18,244
| -7% | -$688K |
|
|
36
CALL
Shopify
SHOP
$160B
| $185M | 0.33% |
16,690
-1,370
| -8% | -$166K |
|
37
CALL
JPMorgan Chase
JPM
$918B
| $184M | 0.33% |
12,106
-439
| -3% | -$63.2K |
|
|
38
CALL
PayPal
PYPL
$49.3B
| $172M | 0.31% |
7,079
+568
| +9% | +$143K |
|
|
39
CALL
NIO
NIO
$12B
| $168M | 0.3% |
43,107
+9,479
| +28% | +$483K |
|
40
PUT
Salesforce
CRM
$139B
| $167M | 0.3% |
7,147
-1,991
| -22% | -$443K |
|
|
41
PUT
JPMorgan Chase
JPM
$918B
| $165M | 0.3% |
10,887
+947
| +10% | +$136K |
|
42
PUT
Goldman Sachs
GS
$320B
| $164M | 0.29% |
5,000
+1,676
| +50% | +$522K |
|
43
CALL
iShares S&P 100 ETF
OEF
$20.2B
| $163M | 0.29% |
156,237
+4,196
| +3% | +$740K |
|
|
UWC
44
CALL
DELISTED
PROSHARES TR ULTRA RUSSELL3000
UWC
| $159M | 0.29% |
18,697
+8,083
| +76% | +$68.8M |
|
45
PUT
Roku
ROKU
$21.4B
| $159M | 0.29% |
+4,885
| New | +$1.91M |
|
|
46
CALL
Micron Technology
MU
$1.1T
| $158M | 0.28% |
+19,211
| New | +$1.63M |
|
47
PUT
Adobe
ADBE
$90.3B
| $151M | 0.27% |
3,186
-549
| -15% | -$257K |
|
48
PUT
Applied Materials
AMAT
$448B
| $149M | 0.27% |
+11,143
| New | +$1.23M |
|
49
PUT
Zoom
ZM
$26.3B
| $147M | 0.26% |
4,568
-61
| -1% | -$22.5K |
|
50
PUT
ARK Blockchain & Fintech Innovation ETF
ARKF
$764M
| $146M | 0.26% |
14,312
+10,106
| +240% | +$551K |
|
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.