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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
+18.73%
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
$55.7B
AUM Growth
-$21.5B
Cap. Flow
-$23.5B
Cap. Flow %
-42.23%
Top 10 Hldgs %
43.23%
Holding
10,706
New
2,258
Increased
3,361
Reduced
3,151
Closed
1,706

Top Buys

Rank Stock Value
1
IWM icon
iShares Russell 2000 ETF
IWM
+$67.5M
2
PLTR icon
Palantir
PLTR
+$64.7M
3
PARA
Paramount Global Class B
PARA
+$31.5M
4
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$30.7M
5
CCL icon
Carnival Corporation Ltd
CCL
+$25.7M

Top Sells

Rank Stock Value
1
AMZN icon
Amazon
AMZN
+$66M
2
TSLA icon
Tesla
TSLA
+$53.7M
3
GOOG icon
Alphabet (Google) Class C
GOOG
+$38.1M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$37.6M
5
AZO icon
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
CSIQ icon
8976
PUT
Canadian Solar
CSIQ
$906M
– –
-1,486
Closed -$7.61M
CSL icon
8977
CALL
Carlisle Companies
CSL
$13.6B
– –
-1
Closed -$15K
CSL icon
8978
Carlisle Companies
CSL
$13.6B
– –
-365
Closed -$57K
CSL icon
8979
PUT
Carlisle Companies
CSL
$13.6B
– –
-3
Closed -$46K
CSWC icon
8980
Capital Southwest
CSWC
$1.46B
– –
-632
Closed -$12.9K
CSX icon
8981
CALL
CSX Corp
CSX
$98.6B
– –
-9,195
Closed -$27.8M
CSX icon
8982
CSX Corp
CSX
$98.6B
– –
-505,785
Closed -$15.4M
CSX icon
8983
PUT
CSX Corp
CSX
$98.6B
– –
-5,814
Closed -$17.6M
CTOS icon
8984
CALL
Custom Truck One Source
CTOS
$2.47B
– –
-39
Closed -$28K
CTOS icon
8985
PUT
Custom Truck One Source
CTOS
$2.47B
– –
-50
Closed -$36K
CUZ icon
8986
CALL
Cousins Properties
CUZ
$5.29B
– –
-1
Closed -$3K
CVAC
8987
DELISTED
CureVac
CVAC
– –
-181
Closed -$17.6K
CVBF icon
8988
CVB Financial
CVBF
$3.98B
– –
-465
Closed -$9K
CVBF icon
8989
PUT
CVB Financial
CVBF
$3.98B
– –
-44
Closed -$85K
CVE icon
8990
CALL
Cenovus Energy
CVE
$54.6B
– –
-922
Closed -$556K
CVE icon
8991
Cenovus Energy
CVE
$54.6B
$0 ﹤0.01%
62,918
-17,720
-22% -$125K
CVE icon
8992
PUT
Cenovus Energy
CVE
$54.6B
– –
-1,253
Closed -$756K
CVEO icon
8993
PUT
Civeo
CVEO
$379M
– –
-3
Closed -$3K
CVNA icon
8994
CALL
Carvana
CVNA
$43.3B
– –
-4,680
Closed -$22.4M
CVNA icon
8995
Carvana
CVNA
$43.3B
$0 ﹤0.01%
91,520
+55,730
+156% +$3.07M
CVNA icon
8996
PUT
Carvana
CVNA
$43.3B
– –
-6,755
Closed -$32.4M
CVX icon
8997
Chevron
CVX
$388B
– –
-15
Closed -$1.47K
CW icon
8998
CALL
Curtiss-Wright
CW
$27.7B
– –
-3
Closed -$34K
CW icon
8999
Curtiss-Wright
CW
$27.7B
– –
-107
Closed -$12K
CWH icon
9000
Camping World
CWH
$363M
– –
-60,513
Closed -$2.15M
358 359
360
361 362

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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.