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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
+6.46%
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
$122B
AUM Growth
+$7.84B
Cap. Flow
-$3.39B
Cap. Flow %
-2.78%
Top 10 Hldgs %
42.57%
Holding
10,535
New
1,474
Increased
3,350
Reduced
3,913
Closed
1,517

Top Buys

Rank Stock Value
1
MSFT icon
Microsoft
MSFT
+$53.9M
2
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$52.9M
3
NVDA icon
NVIDIA
NVDA
+$47.1M
4
PYPL icon
PayPal
PYPL
+$41.7M
5
GOOG icon
Alphabet (Google) Class C
GOOG
+$28.4M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$51.4M
2
WMT icon
Walmart Inc
WMT
+$46.4M
3
OIH icon
VanEck Oil Services ETF
OIH
+$34.2M
4
ADBE icon
Adobe
ADBE
+$33.5M
5
SBUX icon
Starbucks
SBUX
+$26.8M

Sector Composition

Rank Sector Weight
1 Technology 0.41%
2 Healthcare 0.21%
3 Consumer Discretionary 0.21%
4 Communication Services 0.2%
5 Financials 0.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PFLT icon
7501
PennantPark Floating Rate Capital
PFLT
$692M
$9K ﹤0.01%
879
-4,281
-83% -$46K
PINE
7502
CALL
Alpine Income Property Trust
PINE
$341M
$9K ﹤0.01%
600
-9,100
-94% -$145K
PPTA
7503
PUT
Perpetua Resources
PPTA
$2.28B
$9K ﹤0.01%
+2,700
New +$12.4K
PSR icon
7504
CALL
Invesco Active US Real Estate Fund
PSR
$60.3M
$9K ﹤0.01%
200
– –
QGEN icon
7505
PUT
Qiagen
QGEN
$8.47B
$9K ﹤0.01%
189
-660
-78% -$31.8K
QNST icon
7506
PUT
QuinStreet
QNST
$893M
$9K ﹤0.01%
+1,100
New +$11.1K
QRHC icon
7507
PUT
Quest Resource Holding
QRHC
$26.3M
$9K ﹤0.01%
1,400
-19,900
-93% -$114K
RBBN icon
7508
CALL
Ribbon Communications
RBBN
$359M
$9K ﹤0.01%
3,400
– –
RCAT icon
7509
Red Cat Holdings
RCAT
$1.19B
$9K ﹤0.01%
+8,343
New +$8.11K
RCON icon
7510
CALL
Recon Technology
RCON
$43.4M
$9K ﹤0.01%
1,594
– –
SCSC icon
7511
Scansource
SCSC
$1.13B
$9K ﹤0.01%
311
+165
+113% +$4.77K
SRRK icon
7512
PUT
Scholar Rock
SRRK
$5.86B
$9K ﹤0.01%
1,300
+700
+117% +$5.29K
SSP icon
7513
PUT
E.W. Scripps
SSP
$271M
$9K ﹤0.01%
+1,000
New +$8.43K
TBPH icon
7514
PUT
Theravance Biopharma
TBPH
$874M
$9K ﹤0.01%
900
-5,300
-85% -$58.5K
TDS icon
7515
CALL
Telephone and Data Systems
TDS
$3.83B
$9K ﹤0.01%
1,200
-8,100
-87% -$68.7K
TNET icon
7516
PUT
TriNet
TNET
$2.94B
$9K ﹤0.01%
100
– –
TPB icon
7517
PUT
Turning Point Brands
TPB
$1.52B
$9K ﹤0.01%
400
-1,500
-79% -$33.7K
UEIC icon
7518
Universal Electronics
UEIC
$57.6M
$9K ﹤0.01%
+948
New +$8.78K
UIS icon
7519
Unisys
UIS
$245M
$9K ﹤0.01%
2,294
+321
+16% +$1.27K
UROY
7520
CALL
Uranium Royalty Corp
UROY
$402M
$9K ﹤0.01%
4,900
-6,100
-55% -$12.1K
VCTR icon
7521
CALL
Victory Capital Holdings
VCTR
$6.23B
$9K ﹤0.01%
300
-1,200
-80% -$37.1K
VERV
7522
CALL
DELISTED
Verve Therapeutics
VERV
$9K ﹤0.01%
500
-200
-29% -$3.33K
VMEO
7523
PUT
DELISTED
Vimeo
VMEO
$9K ﹤0.01%
2,200
-100
-4% -$379
VOC icon
7524
VOC Energy
VOC
$57M
$9K ﹤0.01%
+1,238
New +$10.1K
WATT icon
7525
CALL
Energous
WATT
$78.7M
$9K ﹤0.01%
63
– –
299 300
301
302 303

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Simplex Trading's Q2 2023 Portfolio in Review

As of Q2 2023, Simplex Trading held 10,535 positions worth $122B, up 6.9% from $114B the previous quarter. Its ten largest holdings account for 43% of the portfolio.

Simplex Trading's Q2 2023 filing shows 1,474 new, 3,350 increased, 3,913 reduced and 1,517 closed positions. Its largest new stake was Microsoft: 171,935 shares worth $58.5M. The largest sale was Apple, an estimated $51.4M.

By sector, the portfolio is most concentrated in Technology at 0.41% of assets, down from 0.42% a quarter earlier, followed by Healthcare and Consumer Discretionary.

  • Simplex Trading's largest Q2 2023 buy was Microsoft: 171,935 shares worth $58.5M.
  • Simplex Trading added most to iShares 20+ Year Treasury Bond ETF in Q2 2023, an estimated $52.9M increase.
  • Simplex Trading's biggest Q2 2023 reduction was Adobe, cutting an estimated $33.5M.
  • Simplex Trading fully exited Apple in Q2 2023, selling an estimated $51.4M.
  • Simplex Trading's ten largest holdings make up 43% of its $122B portfolio in Q2 2023.
  • Simplex Trading opened 1,474 new positions and closed 1,517 in Q2 2023.
  • Simplex Trading's portfolio value rose 6.9% quarter-over-quarter to $122B.

Based on Simplex Trading's 13F filing for Q2 2023, filed 4 Aug 2023.