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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
TDAY
5401
USA Today Co
TDAY
$1.27B
$172K ﹤0.01%
+32,357
New +$181K
IDYA icon
5402
CALL
IDEAYA Biosciences
IDYA
$3.42B
$172K ﹤0.01%
7,300
+6,800
+1,360% +$158K
IPG
5403
PUT
DELISTED
Interpublic Group of Companies
IPG
$172K ﹤0.01%
4,600
-1,800
-28% -$65.4K
NXE icon
5404
PUT
NexGen Energy
NXE
$6.06B
$172K ﹤0.01%
39,500
-18,700
-32% -$96.2K
THRY icon
5405
CALL
Thryv Holdings
THRY
$180M
$172K ﹤0.01%
4,200
-25,300
-86% -$871K
UHT
5406
CALL
Universal Health Realty Income Trust
UHT
$603M
$172K ﹤0.01%
2,900
+2,600
+867% +$151K
BNO icon
5407
PUT
United States Brent Oil Fund
BNO
$781M
$171K ﹤0.01%
8,200
+7,700
+1,540% +$163K
DEA
5408
PUT
Easterly Government Properties
DEA
$1.13B
$171K ﹤0.01%
3,000
+2,920
+3,650% +$158K
HELE icon
5409
CALL
Helen of Troy
HELE
$644M
$171K ﹤0.01%
700
+600
+600% +$142K
JXN icon
5410
PUT
Jackson Financial
JXN
$8.53B
$171K ﹤0.01%
+4,100
New +$134K
NRXP icon
5411
PUT
NRX Pharmaceuticals
NRXP
$135M
$171K ﹤0.01%
+3,580
New +$258K
WRAP icon
5412
PUT
Wrap Technologies
WRAP
$103M
$171K ﹤0.01%
43,700
-35,200
-45% -$185K
XRT icon
5413
State Street SPDR S&P Retail ETF
XRT
$449M
$171K ﹤0.01%
+1,900
New +$179K
BREZ
5414
PUT
DELISTED
Breeze Holdings Acquisition Corp. Common Stock
BREZ
$171K ﹤0.01%
+16,800
New +$171K
DCT
5415
CALL
DELISTED
Duck Creek Technologies, Inc. Common Stock
DCT
$171K ﹤0.01%
5,700
+5,200
+1,040% +$167K
ACMR icon
5416
CALL
ACM Research
ACMR
$5.42B
$170K ﹤0.01%
6,000
-117,000
-95% -$3.7M
ALSN icon
5417
CALL
Allison Transmission
ALSN
$9.5B
$170K ﹤0.01%
4,700
-3,300
-41% -$117K
BZ icon
5418
PUT
Kanzhun
BZ
$7.27B
$170K ﹤0.01%
+4,900
New +$172K
CALM icon
5419
CALL
Cal-Maine
CALM
$4.12B
$170K ﹤0.01%
4,600
-7,600
-62% -$275K
KNDI
5420
PUT
Kandi Technologies Group
KNDI
$67.5M
$170K ﹤0.01%
53,200
-36,100
-40% -$147K
STL
5421
DELISTED
Sterling Bancorp
STL
$170K ﹤0.01%
6,626
+510
+8% +$13.2K
GSHD icon
5422
PUT
Goosehead Insurance
GSHD
$2.2B
$169K ﹤0.01%
1,300
-2,900
-69% -$416K
IHAK icon
5423
iShares Cybersecurity and Tech ETF
IHAK
$1B
$169K ﹤0.01%
3,791
+2,214
+140% +$100K
LGIH icon
5424
PUT
LGI Homes
LGIH
$1.27B
$169K ﹤0.01%
1,100
-6,000
-85% -$878K
REZI icon
5425
CALL
Resideo Technologies
REZI
$5.19B
$169K ﹤0.01%
6,500
-300
-4% -$7.78K
215 216
217
218 219

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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.