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 | Technology | 0.65% |
| 2 | Consumer Discretionary | 0.49% |
| 3 | Healthcare | 0.32% |
| 4 | Financials | 0.3% |
| 5 | Industrials | 0.29% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
51
CALL
State Street Materials Select Sector SPDR ETF
XLB
$8.31B
| $145M | 0.26% |
206,330
+15,038
| +8% | +$567K |
|
52
CALL
Adobe
ADBE
$90.3B
| $143M | 0.26% |
3,003
+207
| +7% | +$96.8K |
|
53
PUT
State Street SPDR NYSE Technology ETF
XNTK
$2.16B
| $142M | 0.25% |
23,381
-7,702
| -25% | -$1.14M |
|
54
PUT
Intel
INTC
$530B
| $138M | 0.25% |
21,625
+2,123
| +11% | +$127K |
|
55
PUT
Citigroup
C
$223B
| $136M | 0.24% |
18,714
-963
| -5% | -$64.3K |
|
56
CALL
Zoom
ZM
$26.3B
| $134M | 0.24% |
4,178
+50
| +1% | +$18.4K |
|
|
57
CALL
Intel
INTC
$530B
| $131M | 0.24% |
20,543
-4,574
| -18% | -$273K |
|
58
PUT
TSMC
TSM
$2.2T
| $124M | 0.22% |
10,453
+3,980
| +61% | +$493K |
|
59
PUT
Cisco
CSCO
$442B
| $121M | 0.22% |
+23,357
| New | +$1.1M |
|
|
60
CALL
TSMC
TSM
$2.2T
| $120M | 0.22% |
10,184
+3,469
| +52% | +$430K |
|
61
CALL
Snap
SNAP
$7.67B
| $120M | 0.22% |
22,897
+9,204
| +67% | +$529K |
|
62
CALL
Roku
ROKU
$21.4B
| $116M | 0.21% |
+3,567
| New | +$1.4M |
|
63
PUT
Starbucks
SBUX
$119B
| $109M | 0.2% |
9,992
-3,072
| -24% | -$323K |
|
64
PUT
Peloton Interactive
PTON
$2.75B
| $107M | 0.19% |
9,524
-3,578
| -27% | -$475K |
|
65
CALL
ARK Blockchain & Fintech Innovation ETF
ARKF
$764M
| $105M | 0.19% |
10,973
+6,643
| +153% | +$362K |
|
66
PUT
JD.com
JD
$41.1B
| $104M | 0.19% |
12,352
-1,591
| -11% | -$146K |
|
67
CALL
Goldman Sachs
GS
$320B
| $104M | 0.19% |
3,175
-590
| -16% | -$184K |
|
|
PARA
68
PUT
DELISTED
Paramount Global Class B
PARA
| $104M | 0.19% |
22,971
+14,995
| +188% | +$916K |
|
|
PARA
69
CALL
DELISTED
Paramount Global Class B
PARA
| $102M | 0.18% |
22,629
+19,268
| +573% | +$1.18M |
|
70
PUT
Caterpillar
CAT
$410B
| $102M | 0.18% |
4,385
-257
| -6% | -$53.2K |
|
71
CALL
Uber
UBER
$146B
| $98.5M | 0.18% |
+18,070
| New | +$1.01M |
|
|
72
CALL
Citigroup
C
$223B
| $98.2M | 0.18% |
13,501
+426
| +3% | +$28.4K |
|
73
CALL
Johnson & Johnson
JNJ
$603B
| $97.9M | 0.18% |
5,955
-1,381
| -19% | -$223K |
|
74
PUT
Sea Limited
SE
$65.1B
| $96.3M | 0.17% |
+4,315
| New | +$1M |
|
|
75
CALL
State Street SPDR NYSE Technology ETF
XNTK
$2.16B
| $95.8M | 0.17% |
15,322
+1,519
| +11% | +$225K |
|
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 withdrew a net $23.5B in Q1 2021, closing 1,706 positions and reducing 3,151 holdings. Its most notable exit was Alphabet (Google) Class C, an estimated $38.1M position sold in full.
By sector, the portfolio is most concentrated in Technology at 0.65% of assets, up from 0.37% a quarter earlier, followed by Consumer Discretionary and Healthcare.
Against the trend, Simplex Trading opened a new position in Pfizer worth $16.8M.
- 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 2,258 new positions and closed 1,706 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.