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 |
Amazon
AMZN
|
+$113M |
| 2 |
SPDR Gold Trust
GLD
|
+$68.6M |
| 3 |
NVIDIA
NVDA
|
+$63.4M |
| 4 |
iShares 20+ Year Treasury Bond ETF
TLT
|
+$55.2M |
| 5 |
Apple
AAPL
|
+$54.9M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
Netflix
NFLX
|
+$27.1M |
| 2 |
Qualcomm
QCOM
|
+$24.6M |
| 3 |
Walt Disney
DIS
|
+$21.2M |
| 4 |
Advanced Micro Devices
AMD
|
+$18.2M |
| 5 |
Snowflake
SNOW
|
+$16.1M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Technology | 0.44% |
| 2 | Consumer Discretionary | 0.32% |
| 3 | Healthcare | 0.22% |
| 4 | Financials | 0.17% |
| 5 | Communication Services | 0.15% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
6451
PUT
Alector
ALEC
$180M
| $24K | ﹤0.01% |
3,800
+2,500
| +192% | +$16.2K |
|
6452
CALL
Aquestive Therapeutics
AQST
$467M
| $24K | ﹤0.01% |
16,000
+13,400
| +515% | +$23K |
|
6453
PUT
Atomera
ATOM
$197M
| $24K | ﹤0.01% |
3,900
-15,500
| -80% | -$111K |
|
|
AUTL
6454
CALL
Autolus Therapeutics
AUTL
$407M
| $24K | ﹤0.01% |
10,600
-6,000
| -36% | -$17.1K |
|
6455
PUT
American Vanguard Corp
AVD
$70.4M
| $24K | ﹤0.01% |
2,200
-49,600
| -96% | -$755K |
|
6456
BARK
BARK
$79.8M
| $24K | ﹤0.01% |
1,015
-496
| -33% | -$13.8K |
|
6457
PUT
Cohu
COHU
$2.19B
| $24K | ﹤0.01% |
700
-1,100
| -61% | -$41.4K |
|
6458
CEL-SCI Corp
CVM
$21.3M
| $24K | ﹤0.01% |
654
+344
| +111% | +$16.5K |
|
6459
CALL
Dine Brands
DIN
$457M
| $24K | ﹤0.01% |
+500
| New | +$27.9K |
|
6460
PUT
Embecta
EMBC
$217M
| $24K | ﹤0.01% |
1,600
-6,200
| -79% | -$116K |
|
6461
Enovis
ENOV
$1.69B
| $24K | ﹤0.01% |
465
-953
| -67% | -$55.5K |
|
6462
Empire State Realty Trust
ESRT
$862M
| $24K | ﹤0.01% |
2,992
-6,369
| -68% | -$53.2K |
|
6463
PUT
First Interstate BancSystem
FIBK
$3.74B
| $24K | ﹤0.01% |
1,000
-200
| -17% | -$5.22K |
|
6464
PUT
Gladstone Capital
GLAD
$426M
| $24K | ﹤0.01% |
1,250
+750
| +150% | +$15.5K |
|
|
GPMT
6465
CALL
Granite Point Mortgage Trust
GPMT
$64.7M
| $24K | ﹤0.01% |
+5,000
| New | +$26.9K |
|
6466
PUT
Imperial Petroleum
IMPP
$212M
| $24K | ﹤0.01% |
14,700
+7,900
| +116% | +$16.2K |
|
6467
CALL
Standard BioTools
LAB
$351M
| $24K | ﹤0.01% |
8,300
+4,300
| +108% | +$11.2K |
|
6468
PUT
LivePerson
LPSN
$22M
| $24K | ﹤0.01% |
413
-1,407
| -77% | -$92.6K |
|
|
MSB
6469
PUT
Mesabi Trust
MSB
$301M
| $24K | ﹤0.01% |
1,200
-1,100
| -48% | -$21.1K |
|
6470
PUT
Bank of N.T. Butterfield & Son
NTB
$2.45B
| $24K | ﹤0.01% |
900
-100
| -10% | -$2.91K |
|
6471
Plains All American Pipeline
PAA
$17.5B
| $24K | ﹤0.01% |
+1,584
| New | +$23.7K |
|
|
PBT
6472
Permian Basin Royalty Trust
PBT
$1.39B
| $24K | ﹤0.01% |
1,145
-6,439
| -85% | -$146K |
|
6473
Purple Innovation
PRPL
$31.6M
| $24K | ﹤0.01% |
580
+383
| +194% | +$23.9K |
|
|
PRPH
6474
PUT
DELISTED
ProPhase Labs
PRPH
| $24K | ﹤0.01% |
560
-210
| -27% | -$12.3K |
|
6475
CALL
Quince Therapeutics
QNCX
$22.5M
| $24K | ﹤0.01% |
109
| – | – |
|
Similar funds
Simplex Trading's Q3 2023 Portfolio in Review
As of Q3 2023, Simplex Trading held 10,417 positions worth $127B, up 4.5% from $122B the previous quarter. Its ten largest holdings account for 44% of the portfolio.
Simplex Trading deployed $11.9B of net new capital in Q3 2023, opening 1,399 new positions and adding to 3,690 existing holdings. Its largest new stake was Amazon: 841,102 shares worth $107M.
By sector, the portfolio is most concentrated in Technology at 0.44% of assets, up from 0.41% a quarter earlier, followed by Consumer Discretionary and Healthcare.
On the sell side, the largest reduction was Netflix, an estimated $27.1M trimmed.
- Simplex Trading's largest Q3 2023 buy was Amazon: 841,102 shares worth $107M.
- Simplex Trading added most to SPDR Gold Trust in Q3 2023, an estimated $68.6M increase.
- Simplex Trading's biggest Q3 2023 reduction was Netflix, cutting an estimated $27.1M.
- Simplex Trading fully exited Qualcomm in Q3 2023, selling an estimated $24.6M.
- Simplex Trading's ten largest holdings make up 44% of its $127B portfolio in Q3 2023.
- Simplex Trading opened 1,399 new positions and closed 1,719 in Q3 2023.
- Simplex Trading's portfolio value rose 4.5% quarter-over-quarter to $127B.
Based on Simplex Trading's 13F filing for Q3 2023, filed 1 Nov 2023.