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 |
iShares Russell 2000 ETF
IWM
|
+$67.5M |
| 2 |
Palantir
PLTR
|
+$64.7M |
| 3 |
PARA
Paramount Global Class B
PARA
|
+$31.5M |
| 4 |
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
|
+$30.7M |
| 5 |
Carnival Corporation Ltd
CCL
|
+$25.7M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
Amazon
AMZN
|
+$66M |
| 2 |
Tesla
TSLA
|
+$53.7M |
| 3 |
Alphabet (Google) Class C
GOOG
|
+$38.1M |
| 4 |
Invesco QQQ Trust
QQQ
|
+$37.6M |
| 5 |
AutoZone
AZO
|
+$28.5M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Miscellaneous | 97.22% |
| 2 | Technology | 0.66% |
| 3 | Consumer Discretionary | 0.49% |
| 4 | Healthcare | 0.33% |
| 5 | Financials | 0.3% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
701
CALL
Sunrun
RUN
$2.14B
| $5.92M | 0.01% |
+1,773
| New | +$123K |
|
702
PUT
Becton Dickinson
BDX
$50.3B
| $5.91M | 0.01% |
249
-672
| -73% | -$164K |
|
703
Enphase Energy
ENPH
$4.81B
| $5.91M | 0.01% |
36,439
+23,237
| +176% | +$4.17M |
|
704
PUT
MP Materials
MP
$9.71B
| $5.89M | 0.01% |
1,639
+744
| +83% | +$27.5K |
|
705
PUT
Fidelity National Information Services
FIS
$21.6B
| $5.89M | 0.01% |
419
-111
| -21% | -$15.2K |
|
706
CALL
Ciena
CIEN
$45.5B
| $5.86M | 0.01% |
1,071
-609
| -36% | -$32.8K |
|
707
Direxion Daily Small Cap Bull 3x ETF
TNA
$1.27B
| $5.86M | 0.01% |
65,460
+63,870
| +4,017% | +$5.71M |
|
708
CALL
Infosys
INFY
$47.4B
| $5.86M | 0.01% |
3,128
+2,457
| +366% | +$44.5K |
|
|
VLTA
709
CALL
DELISTED
Volta Inc.
VLTA
| $5.85M | 0.01% |
+5,346
| New | +$65.8K |
|
710
CALL
Manulife Financial
MFC
$73.5B
| $5.84M | 0.01% |
2,718
+1,110
| +69% | +$22.1K |
|
711
State Street SPDR S&P 500 ETF Trust
SPY
$814B
| $5.83M | 0.01% |
14,718
-63,912
| -81% | -$24.6M |
|
712
PUT
DexCom
DXCM
$33.2B
| $5.82M | 0.01% |
648
-920
| -59% | -$86.4K |
|
713
CALL
Stryker
SYK
$116B
| $5.82M | 0.01% |
239
+58
| +32% | +$13.9K |
|
|
JWN
714
CALL
DELISTED
Nordstrom
JWN
| $5.81M | 0.01% |
1,534
-2,788
| -65% | -$103K |
|
715
SLB Ltd
SLB
$85.3B
| $5.81M | 0.01% |
213,585
+35,415
| +20% | +$932K |
|
716
Warner Bros
WBD
$70.8B
| $5.79M | 0.01% |
133,319
+127,398
| +2,152% | +$6.36M |
|
|
WBA
717
DELISTED
Walgreens Boots Alliance
WBA
| $5.78M | 0.01% |
105,244
-42,693
| -29% | -$2.11M |
|
|
NOAH
718
PUT
Noah Holdings
NOAH
$579M
| $5.78M | 0.01% |
1,301
+603
| +86% | +$28.6K |
|
719
PUT
Generac Holdings
GNRC
$11.1B
| $5.76M | 0.01% |
176
+91
| +107% | +$26.8K |
|
720
PUT
Nutanix
NTNX
$18.4B
| $5.76M | 0.01% |
2,168
+533
| +33% | +$16.2K |
|
|
FITB
721
PUT
Fifth Third Bancorp
FITB
$49.8B
| $5.75M | 0.01% |
1,535
+469
| +44% | +$15.9K |
|
|
NUAN
722
PUT
DELISTED
Nuance Communications, Inc.
NUAN
| $5.75M | 0.01% |
1,317
+943
| +252% | +$43.3K |
|
723
PUT
Bread Financial
BFH
$4.26B
| $5.74M | 0.01% |
642
+157
| +32% | +$11.3K |
|
724
PUT
Royal Gold
RGLD
$22.2B
| $5.74M | 0.01% |
533
+354
| +198% | +$37.8K |
|
725
PUT
Virgin Galactic
SPCE
$461M
| $5.73M | 0.01% |
94
+1
| +1% | +$753 |
|
Similar funds
Simplex Trading's Q1 2021 Portfolio in Review
As of Q1 2021, Simplex Trading held 10,706 positions worth $55.7B, down 28% from $77.2B the previous quarter. Its ten largest holdings account for 43% of the portfolio.
Simplex Trading's Q1 2021 filing shows 2,255 new, 3,360 increased, 3,150 reduced and 1,707 closed positions. Its largest new stake was Pfizer: 464,628 shares worth $16.8M. The largest sale was Amazon, an estimated $66M.
By sector, the portfolio is most concentrated in Miscellaneous at 97% of assets, down from 98% a quarter earlier, followed by Technology and Consumer Discretionary.
- Simplex Trading's largest Q1 2021 buy was Pfizer: 464,628 shares worth $16.8M.
- Simplex Trading added most to iShares Russell 2000 ETF in Q1 2021, an estimated $67.5M increase.
- Simplex Trading's biggest Q1 2021 reduction was Amazon, cutting an estimated $66M.
- Simplex Trading fully exited Alphabet (Google) Class C in Q1 2021, selling an estimated $38.1M.
- Simplex Trading's ten largest holdings make up 43% of its $55.7B portfolio in Q1 2021.
- Simplex Trading opened 2,255 new positions and closed 1,707 in Q1 2021.
- Simplex Trading's portfolio value fell 28% quarter-over-quarter to $55.7B.
Based on Simplex Trading's 13F filing for Q1 2021, filed 26 Apr 2021.