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 |
State Street Financial Select Sector SPDR ETF
XLF
|
+$42.6M |
| 2 |
Shopify
SHOP
|
+$39.6M |
| 3 |
iShares China Large-Cap ETF
FXI
|
+$35.4M |
| 4 |
Verizon
VZ
|
+$34.1M |
| 5 |
KraneShares CSI China Internet ETF
KWEB
|
+$34.1M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
AMC Entertainment Holdings
AMC
|
+$49.5M |
| 2 |
GE Aerospace
GE
|
+$35.2M |
| 3 |
Carnival Corporation Ltd
CCL
|
+$30.5M |
| 4 |
Advanced Micro Devices
AMD
|
+$28.8M |
| 5 |
Micron Technology
MU
|
+$23.7M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Technology | 0.61% |
| 2 | Consumer Discretionary | 0.43% |
| 3 | Healthcare | 0.35% |
| 4 | Communication Services | 0.23% |
| 5 | Financials | 0.21% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
8526
PUT
Crescent Capital BDC
CCAP
$410M
| $17K | ﹤0.01% |
+1,000
| New | +$19.2K |
|
8527
Cogent Communications
CCOI
$604M
| $17K | ﹤0.01% |
+237
| New | +$17.8K |
|
8528
PUT
Core Laboratories
CLB
$471M
| $17K | ﹤0.01% |
800
-6,300
| -89% | -$164K |
|
8529
CALL
CVB Financial
CVBF
$4.02B
| $17K | ﹤0.01% |
800
-13,700
| -94% | -$281K |
|
8530
CALL
Diana Shipping
DSX
$266M
| $17K | ﹤0.01% |
8,399
-13,342
| -61% | -$44.8K |
|
8531
PUT
Fox Factory Holding Corp
FOXF
$791M
| $17K | ﹤0.01% |
100
-200
| -67% | -$33.5K |
|
8532
First Industrial Realty Trust
FR
$8.72B
| $17K | ﹤0.01% |
+268
| New | +$16.1K |
|
8533
CALL
First Trust Enhanced Short Maturity ETF
FTSM
$6.5B
| $17K | ﹤0.01% |
+300
| New | +$18K |
|
8534
PUT
Glaukos
GKOS
$9.2B
| $17K | ﹤0.01% |
400
+200
| +100% | +$9.23K |
|
8535
PUT
Highwoods Properties
HIW
$3.88B
| $17K | ﹤0.01% |
+400
| New | +$18.1K |
|
8536
InnovAge Holding
INNV
$1.57B
| $17K | ﹤0.01% |
+3,461
| New | +$25.1K |
|
8537
CALL
Jack in the Box
JACK
$317M
| $17K | ﹤0.01% |
200
-17,200
| -99% | -$1.6M |
|
8538
PUT
Kemper
KMPR
$1.81B
| $17K | ﹤0.01% |
300
| – | – |
|
8539
PUT
KT
KT
$8.79B
| $17K | ﹤0.01% |
1,400
-28,700
| -95% | -$376K |
|
8540
PUT
Loews
L
$24.6B
| $17K | ﹤0.01% |
300
| – | – |
|
8541
Lifestance Health
LFST
$4.23B
| $17K | ﹤0.01% |
+1,840
| New | +$19.5K |
|
8542
PUT
Live Oak Bancshares
LOB
$1.98B
| $17K | ﹤0.01% |
200
-15,200
| -99% | -$1.27M |
|
8543
PUT
Lantern Pharma
LTRN
$33.4M
| $17K | ﹤0.01% |
+2,200
| New | +$20.1K |
|
8544
Mirum Pharmaceuticals
MIRM
$6.63B
| $17K | ﹤0.01% |
+1,108
| New | +$17.2K |
|
8545
Neurogene
NGNE
$648M
| $17K | ﹤0.01% |
+181
| New | +$22.1K |
|
8546
National Healthcare
NHC
$3.58B
| $17K | ﹤0.01% |
+252
| New | +$17.4K |
|
8547
CALL
Novanta
NOVT
$4.87B
| $17K | ﹤0.01% |
+100
| New | +$16.7K |
|
|
8548
PUT
Novanta
NOVT
$4.87B
| $17K | ﹤0.01% |
+100
| New | +$16.7K |
|
8549
Blue Owl Capital
OBDC
$5.4B
| $17K | ﹤0.01% |
1,211
+1,147
| +1,792% | +$16.4K |
|
8550
CALL
Orion Energy Systems
OESX
$39.3M
| $17K | ﹤0.01% |
470
+380
| +422% | +$14.7K |
|
Similar funds
Simplex Trading's Q4 2021 Portfolio in Review
As of Q4 2021, Simplex Trading held 12,077 positions worth $99B, down 7.5% from $107B the previous quarter. Its ten largest holdings account for 33% of the portfolio.
Simplex Trading withdrew a net $10.8B in Q4 2021, closing 1,645 positions and reducing 4,258 holdings. Its most notable exit was Carnival Corporation Ltd, an estimated $30.5M position sold in full.
By sector, the portfolio is most concentrated in Technology at 0.61% of assets, up from 0.49% a quarter earlier, followed by Consumer Discretionary and Healthcare.
Against the trend, Simplex Trading opened a new position in iShares China Large-Cap ETF worth $33M.
- Simplex Trading's largest Q4 2021 buy was iShares China Large-Cap ETF: 902,666 shares worth $33M.
- Simplex Trading added most to State Street Financial Select Sector SPDR ETF in Q4 2021, an estimated $42.6M increase.
- Simplex Trading's biggest Q4 2021 reduction was AMC Entertainment Holdings, cutting an estimated $49.5M.
- Simplex Trading fully exited Carnival Corporation Ltd in Q4 2021, selling an estimated $30.5M.
- Simplex Trading's ten largest holdings make up 33% of its $99B portfolio in Q4 2021.
- Simplex Trading opened 2,269 new positions and closed 1,645 in Q4 2021.
- Simplex Trading's portfolio value fell 7.5% quarter-over-quarter to $99B.
Based on Simplex Trading's 13F filing for Q4 2021, filed 4 Feb 2022.