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 |
State Street Financial Select Sector SPDR ETF
XLF
|
+$42.6M |
| 2 |
Shopify
SHOP
|
+$39.6M |
| 3 |
iShares China Large-Cap ETF
FXI
|
+$35.4M |
| 4 |
Verizon
VZ
|
+$34.1M |
| 5 |
KraneShares CSI China Internet ETF
KWEB
|
+$34.1M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
AMC Entertainment Holdings
AMC
|
+$49.5M |
| 2 |
GE Aerospace
GE
|
+$35.2M |
| 3 |
Carnival Corporation Ltd
CCL
|
+$30.5M |
| 4 |
Advanced Micro Devices
AMD
|
+$28.8M |
| 5 |
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 | |
|---|---|---|---|---|---|---|
6351
Leslie's
LESL
$12.4M
| $94K | ﹤0.01% |
200
-1,211
| -86% | -$523K |
|
6352
Liquidia Corp
LQDA
$8.04B
| $94K | ﹤0.01% |
19,406
+9,570
| +97% | +$38.2K |
|
|
MRIN
6353
PUT
DELISTED
Marin Software
MRIN
| $94K | ﹤0.01% |
+4,233
| New | +$151K |
|
|
NAK
6354
CALL
Northern Dynasty Minerals
NAK
$947M
| $94K | ﹤0.01% |
289,600
+9,600
| +3% | +$3.84K |
|
|
NAK
6355
PUT
Northern Dynasty Minerals
NAK
$947M
| $94K | ﹤0.01% |
289,200
+53,400
| +23% | +$21.3K |
|
6356
Riverview Bancorp
RVSB
$109M
| $94K | ﹤0.01% |
12,342
-9,011
| -42% | -$68.4K |
|
|
GATO
6357
DELISTED
Gatos Silver, Inc.
GATO
| $94K | ﹤0.01% |
9,106
+8,010
| +731% | +$96.2K |
|
|
RKLY
6358
PUT
DELISTED
Rockley Photonics Holdings Limited
RKLY
| $94K | ﹤0.01% |
+21,700
| New | +$137K |
|
|
VCRA
6359
DELISTED
VOCERA COMMUNICATIONS, INC.
VCRA
| $94K | ﹤0.01% |
+1,462
| New | +$82.2K |
|
6360
CALL
Addus HomeCare
ADUS
$2.18B
| $93K | ﹤0.01% |
1,000
+500
| +100% | +$45K |
|
6361
PUT
Alarm.com
ALRM
$2.77B
| $93K | ﹤0.01% |
1,100
-8,600
| -89% | -$704K |
|
6362
Smartbird Inc
BIRD
$20M
| $93K | ﹤0.01% |
+311
| New | +$116K |
|
6363
CALL
Brookdale Senior Living
BKD
$3.48B
| $93K | ﹤0.01% |
18,100
+1,000
| +6% | +$6.24K |
|
6364
Invesco S&P Global Water Index ETF
CGW
$1.08B
| $93K | ﹤0.01% |
+1,539
| New | +$90.7K |
|
6365
CALL
Castor Maritime
CTRM
$20.1M
| $93K | ﹤0.01% |
6,600
-620
| -9% | -$12.7K |
|
|
CVGW
6366
PUT
DELISTED
Calavo Growers
CVGW
| $93K | ﹤0.01% |
+2,200
| New | +$90.1K |
|
6367
CALL
Eagle Bancorp
EGBN
$861M
| $93K | ﹤0.01% |
+1,600
| New | +$92.6K |
|
6368
CALL
Empire State Realty Trust
ESRT
$836M
| $93K | ﹤0.01% |
10,500
-1,400
| -12% | -$13.8K |
|
6369
PUT
Gildan
GIL
$10.8B
| $93K | ﹤0.01% |
2,200
+1,600
| +267% | +$63.4K |
|
6370
CALL
Global Partners
GLP
$1.66B
| $93K | ﹤0.01% |
4,000
+2,000
| +100% | +$45.9K |
|
6371
iShares US Telecommunications ETF
IYZ
$1.24B
| $93K | ﹤0.01% |
2,845
-12,826
| -82% | -$413K |
|
6372
PUT
M/I Homes
MHO
$3.84B
| $93K | ﹤0.01% |
1,500
-1,500
| -50% | -$89.7K |
|
|
ORIO
6373
CALL
Orion Digital Corp
ORIO
$15.6M
| $93K | ﹤0.01% |
9,100
-18,200
| -67% | -$262K |
|
6374
CALL
NMI Holdings
NMIH
$3.35B
| $93K | ﹤0.01% |
4,300
-136,500
| -97% | -$3.03M |
|
6375
CALL
ONE Gas
OGS
$4.94B
| $93K | ﹤0.01% |
1,200
-5,600
| -82% | -$390K |
|
Similar funds
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.