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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
-4.08%
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
$127B
AUM Growth
+$5.5B
Cap. Flow
+$11.9B
Cap. Flow %
9.37%
Top 10 Hldgs %
44.01%
Holding
10,417
New
1,399
Increased
3,690
Reduced
3,364
Closed
1,719

Top Buys

Rank Stock Value
1
AMZN icon
Amazon
AMZN
+$113M
2
GLD icon
SPDR Gold Trust
GLD
+$68.6M
3
NVDA icon
NVIDIA
NVDA
+$63.4M
4
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$55.2M
5
AAPL icon
Apple
AAPL
+$54.9M

Top Sells

Rank Stock Value
1
NFLX icon
Netflix
NFLX
+$27.1M
2
QCOM icon
Qualcomm
QCOM
+$24.6M
3
DIS icon
Walt Disney
DIS
+$21.2M
4
AMD icon
Advanced Micro Devices
AMD
+$18.2M
5
SNOW icon
Snowflake
SNOW
+$16.1M

Sector Composition

Rank Sector Weight
1 Technology 0.44%
2 Consumer Discretionary 0.32%
3 Healthcare 0.22%
4 Financials 0.17%
5 Communication Services 0.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CWT icon
8826
PUT
California Water Service
CWT
$3.04B
– –
-500
Closed -$25K
CX icon
8827
Cemex
CX
$17.4B
– –
-35,318
Closed -$262K
CXT icon
8828
CALL
Crane NXT
CXT
$3.04B
– –
-200
Closed -$4K
CYD icon
8829
CALL
China Yuchai International
CYD
$1.69B
– –
-100
Closed -$1K
BGMS
8830
Bio Green Med Solution Inc
BGMS
$5.05M
– –
0
– –
CYN icon
8831
Cyngn
CYN
$15.6M
– –
0
– –
CYTK icon
8832
Cytokinetics
CYTK
$11B
– –
-10,073
Closed -$335K
CZNC icon
8833
Citizens & Northern Corp
CZNC
$436M
$0 ﹤0.01%
+56
New +$1.08K
CZR icon
8834
Caesars Entertainment
CZR
$6.1B
– –
-86,348
Closed -$4.59M
D icon
8835
Dominion Energy
D
$62.5B
– –
-43,268
Closed -$2.15M
DAKT icon
8836
Daktronics
DAKT
$941M
– –
-7,095
Closed -$56K
DAL icon
8837
Delta Air Lines
DAL
$55.9B
– –
-186,119
Closed -$8.08M
DAPP icon
8838
VanEck Digital Transformation ETF
DAPP
$241M
– –
-979
Closed -$6K
DAWN
8839
DELISTED
Day One Biopharmaceuticals
DAWN
– –
-107
Closed -$1.4K
DB icon
8840
Deutsche Bank
DB
$66.3B
– –
-77,477
Closed -$838K
DBA icon
8841
Invesco DB Agriculture Fund
DBA
$1.26B
– –
-3,054
Closed -$64K
DBE icon
8842
Invesco DB Energy Fund
DBE
$93.4M
– –
-7
Closed –
DBMF icon
8843
CALL
iMGP DBi Managed Futures Strategy ETF
DBMF
$3.95B
– –
-1,300
Closed -$35K
DBO icon
8844
Invesco DB Oil Fund
DBO
$425M
– –
-4,093
Closed -$57K
DBRG icon
8845
DigitalBridge
DBRG
$2.94B
– –
-172,701
Closed -$2.85M
DCBO
8846
CALL
Docebo
DCBO
$492M
– –
-4,300
Closed -$169K
DCGO icon
8847
DocGo
DCGO
$58.9M
– –
-55,186
Closed -$448K
DCI icon
8848
PUT
Donaldson
DCI
$10.8B
– –
-100
Closed -$6K
DCO icon
8849
CALL
Ducommun
DCO
$2.68B
– –
-200
Closed -$8K
DCOM icon
8850
CALL
Dime Commercial Bancshares
DCOM
$1.75B
– –
-2,100
Closed -$37K
352 353
354
355 356

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Simplex Trading's Q3 2023 Portfolio in Review

As of Q3 2023, Simplex Trading held 10,417 positions worth $127B, up 4.5% from $122B the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Simplex Trading deployed $11.9B of net new capital in Q3 2023, opening 1,399 new positions and adding to 3,690 existing holdings. Its largest new stake was Amazon: 841,102 shares worth $107M.

By sector, the portfolio is most concentrated in Technology at 0.44% of assets, up from 0.41% a quarter earlier, followed by Consumer Discretionary and Healthcare.

On the sell side, the largest reduction was Netflix, an estimated $27.1M trimmed.

  • Simplex Trading's largest Q3 2023 buy was Amazon: 841,102 shares worth $107M.
  • Simplex Trading added most to SPDR Gold Trust in Q3 2023, an estimated $68.6M increase.
  • Simplex Trading's biggest Q3 2023 reduction was Netflix, cutting an estimated $27.1M.
  • Simplex Trading fully exited Qualcomm in Q3 2023, selling an estimated $24.6M.
  • Simplex Trading's ten largest holdings make up 44% of its $127B portfolio in Q3 2023.
  • Simplex Trading opened 1,399 new positions and closed 1,719 in Q3 2023.
  • Simplex Trading's portfolio value rose 4.5% quarter-over-quarter to $127B.

Based on Simplex Trading's 13F filing for Q3 2023, filed 1 Nov 2023.