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Simplex Trading

Simplex Trading Portfolio holdings

AUM $149B
1-Year Est. Return 62.07%
 

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.

This Fund
S&P 500
This Quarter Est. Return
+2.77%
1 Year Est. Return
+62.07%
3 Year Est. Return
+116.86%
5 Year Est. Return
+116.02%
10 Year Est. Return
+774.44%
AUM
$99B
AUM Growth
-$8.03B
Cap. Flow
-$10.8B
Cap. Flow %
-10.9%
Top 10 Hldgs %
33.11%
Holding
12,077
New
2,269
Increased
3,787
Reduced
4,258
Closed
1,645

Top Buys

Rank Stock Value
1
XLF icon
State Street Financial Select Sector SPDR ETF
XLF
+$42.6M
2
SHOP icon
Shopify
SHOP
+$39.6M
3
FXI icon
iShares China Large-Cap ETF
FXI
+$35.4M
4
VZ icon
Verizon
VZ
+$34.1M
5
KWEB icon
KraneShares CSI China Internet ETF
KWEB
+$34.1M

Top Sells

Rank Stock Value
1
AMC icon
AMC Entertainment Holdings
AMC
+$49.5M
2
GE icon
GE Aerospace
GE
+$35.2M
3
CCL icon
Carnival Corporation Ltd
CCL
+$30.5M
4
AMD icon
Advanced Micro Devices
AMD
+$28.8M
5
MU icon
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
SREV
5126
PUT
DELISTED
ServiceSource International, Inc.
SREV
$209K ﹤0.01%
+211,500
New +$249K
COW
5127
DELISTED
iPath Series B Bloomberg Livestock Subindex Total ReturnSM ETN
COW
$209K ﹤0.01%
5,562
-821
-13% -$30.5K
AGEN
5128
Agenus
AGEN
$312M
$208K ﹤0.01%
3,295
+3,264
+10,529% +$257K
EBS icon
5129
PUT
Emergent Biosolutions
EBS
$373M
$208K ﹤0.01%
4,800
-400
-8% -$18.1K
FBP icon
5130
PUT
First Bancorp
FBP
$4.42B
$208K ﹤0.01%
15,100
-6,700
-31% -$92.2K
HRZN icon
5131
CALL
Horizon Technology Finance
HRZN
$295M
$208K ﹤0.01%
13,100
+1,000
+8% +$16.9K
NCNO icon
5132
nCino
NCNO
$2.02B
$208K ﹤0.01%
3,805
-9,709
-72% -$630K
OFG icon
5133
OFG Bancorp
OFG
$2.23B
$208K ﹤0.01%
7,844
+6,591
+526% +$171K
TEX icon
5134
Terex
TEX
$7.18B
$208K ﹤0.01%
+4,733
New +$212K
TOL icon
5135
Toll Brothers
TOL
$13.6B
$208K ﹤0.01%
2,882
+1,682
+140% +$108K
DBD
5136
CALL
DELISTED
Diebold Nixdorf Incorporated
DBD
$208K ﹤0.01%
23,000
-12,400
-35% -$115K
ASAP
5137
CALL
DELISTED
Waitr Holdings Inc. Common Stock
ASAP
$208K ﹤0.01%
14,055
+9,540
+211% +$222K
CSWC icon
5138
PUT
Capital Southwest
CSWC
$1.47B
$207K ﹤0.01%
8,200
+400
+5% +$10.7K
HASI icon
5139
CALL
Hannon Armstrong Sustainable Infrastructure Capital
HASI
$4.84B
$207K ﹤0.01%
3,900
-8,300
-68% -$480K
PPLI
5140
People Inc
PPLI
$3.09B
$207K ﹤0.01%
1,931
-1,381
-42% -$156K
KYN icon
5141
CALL
Kayne Anderson Energy Infrastructure Fund
KYN
$2.47B
$207K ﹤0.01%
26,700
+18,700
+234% +$153K
PSI icon
5142
Invesco Semiconductors ETF
PSI
$2.29B
$207K ﹤0.01%
+4,062
New +$193K
TPIC
5143
PUT
DELISTED
TPI Composites
TPIC
$207K ﹤0.01%
13,900
+11,900
+595% +$292K
CDMO
5144
CALL
DELISTED
Avid Bioservices, Inc. Common Stock
CDMO
$207K ﹤0.01%
7,100
-4,100
-37% -$117K
LILM
5145
PUT
DELISTED
Lilium N.V. Class A Ordinary Shares
LILM
$207K ﹤0.01%
+29,900
New +$251K
FOSL icon
5146
CALL
Fossil Group
FOSL
$293M
$206K ﹤0.01%
20,100
+4,600
+30% +$55.6K
GAN
5147
DELISTED
GAN Ltd
GAN
$206K ﹤0.01%
22,456
+13,950
+164% +$171K
MDU icon
5148
CALL
MDU Resources
MDU
$4.17B
$206K ﹤0.01%
17,620
-23,143
-57% -$261K
DEN
5149
PUT
DELISTED
Denbury Inc.
DEN
$206K ﹤0.01%
2,700
-4,300
-61% -$341K
CPUH
5150
PUT
DELISTED
Compute Health Acquisition Corp.
CPUH
$206K ﹤0.01%
+21,200
New +$207K
204 205
206
207 208

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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.