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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
AVNS icon
8701
CALL
Avanos Medical
AVNS
$1.17B
$14K ﹤0.01%
400
– –
BKKT icon
8702
CALL
Bakkt Inc
BKKT
$333M
$14K ﹤0.01%
3,488
+60
+2% +$15K
BQ
8703
CALL
Boqii Holding Ltd
BQ
$6.2M
$14K ﹤0.01%
17
– –
BUR icon
8704
CALL
Burford Capital
BUR
$907M
$14K ﹤0.01%
1,400
-100
-7% -$1.11K
CKPT
8705
CALL
DELISTED
Checkpoint Therapeutics
CKPT
$14K ﹤0.01%
490
+100
+26% +$2.96K
CTS icon
8706
CALL
CTS Corp
CTS
$1.72B
$14K ﹤0.01%
400
+300
+300% +$10.3K
CZNC icon
8707
CALL
Citizens & Northern Corp
CZNC
$436M
$14K ﹤0.01%
600
– –
DGII icon
8708
Digi International
DGII
$2.52B
$14K ﹤0.01%
725
– –
DIV icon
8709
Global X SuperDividend US ETF
DIV
$787M
$14K ﹤0.01%
745
– –
DRRX
8710
CALL
DELISTED
DURECT Corp
DRRX
$14K ﹤0.01%
930
-10
-1% -$136
EBIZ icon
8711
Global X E-commerce ETF
EBIZ
$26.9M
$14K ﹤0.01%
413
– –
FFIN icon
8712
PUT
First Financial Bankshares
FFIN
$4.97B
$14K ﹤0.01%
300
– –
FTK icon
8713
Flotek Industries
FTK
$935M
$14K ﹤0.01%
1,322
+888
+205% +$8K
GNLN icon
8714
CALL
Greenlane Holdings
GNLN
$1.33M
– –
0
– –
HCKT icon
8715
CALL
Hackett Group
HCKT
$245M
$14K ﹤0.01%
800
– –
HEI.A icon
8716
PUT
HEICO Corp Class A
HEI.A
$35.4B
$14K ﹤0.01%
100
– –
HIBS icon
8717
Direxion Daily S&P 500 High Beta Bear 3X ETF
HIBS
$24.6M
$14K ﹤0.01%
13
– –
IRT icon
8718
CALL
Independence Realty Trust
IRT
$3.92B
$14K ﹤0.01%
800
– –
KFY icon
8719
CALL
Korn Ferry
KFY
$3.98B
$14K ﹤0.01%
200
-200
-50% -$13.9K
OPI
8720
PUT
DELISTED
Office Properties Income Trust
OPI
$14K ﹤0.01%
500
– –
OTTR icon
8721
PUT
Otter Tail
OTTR
$3.88B
$14K ﹤0.01%
300
– –
PGRE
8722
CALL
DELISTED
Paramount Group
PGRE
$14K ﹤0.01%
1,400
– –
PLG
8723
PUT
Platinum Group Metals
PLG
$164M
$14K ﹤0.01%
4,000
– –
SANA icon
8724
Sana Biotechnology
SANA
$885M
$14K ﹤0.01%
752
-100
-12% -$2.1K
SHOE
8725
CALL
Shoe Station Group
SHOE
$395M
$14K ﹤0.01%
200
-200
-50% -$6.97K
347 348
349
350 351

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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.