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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
-7.61%
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
$107B
AUM Growth
+$3.54B
Cap. Flow
+$2.61B
Cap. Flow %
2.43%
Top 10 Hldgs %
40.52%
Holding
10,062
New
86
Increased
2,774
Reduced
1,601
Closed
271

Top Buys

Rank Stock Value
1
GE icon
GE Aerospace
GE
+$36M
2
AMD icon
Advanced Micro Devices
AMD
+$19.4M
3
EFA icon
iShares MSCI EAFE ETF
EFA
+$10.2M
4
MU icon
Micron Technology
MU
+$6.31M
5
BABA icon
Alibaba
BABA
+$6.19M

Top Sells

Rank Stock Value
1
NVDA icon
NVIDIA
NVDA
+$25.9M
2
GLD icon
SPDR Gold Trust
GLD
+$15.3M
3
AMZN icon
Amazon
AMZN
+$9.53M
4
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$9.03M
5
XLK icon
State Street Technology Select Sector SPDR ETF
XLK
+$7.73M

Sector Composition

Rank Sector Weight
1 Technology 0.49%
2 Consumer Discretionary 0.39%
3 Communication Services 0.27%
4 Healthcare 0.25%
5 Financials 0.25%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CLDT
6776
Chatham Lodging
CLDT
$638M
$89K ﹤0.01%
6,889
– –
FDN icon
6777
First Trust Dow Jones Internet Index Fund ETF
FDN
$5B
$89K ﹤0.01%
365
– –
FNGS icon
6778
CALL
MicroSectors FANG+ ETNs due Jan 8 2038
FNGS
$543M
$89K ﹤0.01%
2,800
– –
GOCO
6779
DELISTED
GoHealth
GOCO
$89K ﹤0.01%
542
+110
+25% +$11.6K
HGV icon
6780
PUT
Hilton Grand Vacations
HGV
$4.14B
$89K ﹤0.01%
2,100
– –
IGC icon
6781
PUT
IGC Pharma
IGC
$27M
$89K ﹤0.01%
52,000
+500
+1% +$808
KLIC icon
6782
Kulicke & Soffa
KLIC
$4.76B
$89K ﹤0.01%
1,500
-400
-21% -$24.9K
ROL icon
6783
PUT
Rollins
ROL
$18.8B
$89K ﹤0.01%
2,600
– –
SF
6784
Stifel
SF
$12.8B
$89K ﹤0.01%
2,049
+607
+42% +$27.1K
SLDB icon
6785
Solid Biosciences
SLDB
$785M
$89K ﹤0.01%
1,575
– –
SPYD icon
6786
State Street SPDR Portfolio S&P 500 High Dividend ETF
SPYD
$7.78B
$89K ﹤0.01%
2,203
– –
TXT icon
6787
CALL
Textron
TXT
$15.6B
$89K ﹤0.01%
1,300
– –
GATO
6788
PUT
DELISTED
Gatos Silver, Inc.
GATO
$89K ﹤0.01%
5,100
– –
QUOT
6789
CALL
DELISTED
Quotient Technology Inc
QUOT
$89K ﹤0.01%
7,800
+500
+7% +$4.19K
MNDT
6790
CALL
DELISTED
Mandiant, Inc. Common Stock
MNDT
$89K ﹤0.01%
266,100
+1,300
+0.5% +$24.7K
ABG icon
6791
PUT
Asbury Automotive
ABG
$4.49B
$88K ﹤0.01%
500
– –
AEIS icon
6792
PUT
Advanced Energy
AEIS
$10.9B
$88K ﹤0.01%
800
– –
ASRT
6793
CALL
DELISTED
Assertio
ASRT
$88K ﹤0.01%
3,893
– –
BMI icon
6794
CALL
Badger Meter
BMI
$3.9B
$88K ﹤0.01%
900
– –
CTXR icon
6795
PUT
Citius Pharmaceuticals
CTXR
$13.7M
$88K ﹤0.01%
+1,368
New +$68.6K
ENS icon
6796
CALL
EnerSys
ENS
$6.69B
$88K ﹤0.01%
900
– –
HCI icon
6797
PUT
HCI Group
HCI
$2.29B
$88K ﹤0.01%
900
– –
KALV
6798
DELISTED
KalVista Pharmaceuticals
KALV
$88K ﹤0.01%
3,623
– –
MTA
6799
CALL
Metalla Royalty & Streaming
MTA
$688M
$88K ﹤0.01%
10,100
– –
ORC
6800
Orchid Island Capital
ORC
$1.31B
$88K ﹤0.01%
3,387
– –
270 271
272
273 274

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Simplex Trading's Q3 2021 Portfolio in Review

As of Q3 2021, Simplex Trading held 10,062 positions worth $107B, up 3.4% from $104B the previous quarter. Its ten largest holdings account for 41% of the portfolio.

Trading was light in Q3 2021: portfolio turnover was 3.5%. Simplex Trading opened 86 new positions and exited 271, leaving the 10,062-position portfolio largely intact.

By sector, the portfolio is most concentrated in Technology at 0.49% of assets, up from 0.47% a quarter earlier, followed by Consumer Discretionary and Communication Services.

  • Simplex Trading's largest Q3 2021 buy was Olo Inc: 143,230 shares worth $4.91M.
  • Simplex Trading added most to GE Aerospace in Q3 2021, an estimated $36M increase.
  • Simplex Trading's biggest Q3 2021 reduction was NVIDIA, cutting an estimated $25.9M.
  • Simplex Trading fully exited Amazon in Q3 2021, selling an estimated $9.53M.
  • Simplex Trading's ten largest holdings make up 41% of its $107B portfolio in Q3 2021.
  • Simplex Trading opened 86 new positions and closed 271 in Q3 2021.
  • Simplex Trading's portfolio value rose 3.4% quarter-over-quarter to $107B.

Based on Simplex Trading's 13F filing for Q3 2021, filed 28 Oct 2021.