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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
HMC icon
9101
Honda
HMC
$36.5B
– –
-54,073
Closed -$1.74M
HNRG icon
9102
CALL
Hallador Energy
HNRG
$718M
– –
-1,600
Closed -$13K
HOFT icon
9103
CALL
Hooker Furnishings Corp
HOFT
$148M
– –
-700
Closed -$13K
HOFT icon
9104
Hooker Furnishings Corp
HOFT
$148M
– –
-322
Closed -$6K
HOFT icon
9105
PUT
Hooker Furnishings Corp
HOFT
$148M
– –
-1,000
Closed -$18K
HOLX
9106
DELISTED
Hologic
HOLX
– –
-19,652
Closed -$1.49M
HOOK
9107
PUT
DELISTED
HOOKIPA Pharma
HOOK
– –
-170
Closed -$1K
HONE
9108
PUT
DELISTED
HarborOne Bancorp
HONE
– –
-900
Closed -$7K
HOPE icon
9109
Hope Bancorp
HOPE
$1.72B
$0 ﹤0.01%
+90
New +$859
HOUS
9110
DELISTED
Anywhere Real Estate
HOUS
– –
-15,113
Closed -$110K
HOWL icon
9111
CALL
Werewolf Therapeutics
HOWL
$20.8M
– –
-500
Closed -$1K
HRI icon
9112
Herc Holdings
HRI
$5.43B
– –
-1,126
Closed -$147K
HRTX icon
9113
Heron Therapeutics
HRTX
$86.3M
– –
-9,224
Closed -$13.1K
HRTX icon
9114
PUT
Heron Therapeutics
HRTX
$86.3M
– –
-1,000
Closed -$1K
HTH icon
9115
PUT
Hilltop Holdings
HTH
$2.29B
– –
-100
Closed -$3K
HTHT icon
9116
Huazhu Hotels Group
HTHT
$12.4B
– –
-768
Closed -$32.4K
HTOO icon
9117
PUT
Fusion Fuel Green
HTOO
$8.57M
– –
-11
Closed -$1K
HUBB icon
9118
PUT
Hubbell
HUBB
$25.7B
– –
-9,600
Closed -$3.18M
AGIG
9119
CALL
Abundia Global Impact Group
AGIG
$43.5M
– –
-180
Closed -$3K
HWC icon
9120
CALL
Hancock Whitney
HWC
$6.13B
– –
-400
Closed -$15K
HWC icon
9121
Hancock Whitney
HWC
$6.13B
– –
-131
Closed -$5K
HWKN icon
9122
Hawkins
HWKN
$2.91B
– –
-110
Closed -$5.96K
HWM icon
9123
Howmet Aerospace
HWM
$116B
– –
-2,224
Closed -$108K
HY icon
9124
CALL
Hyster-Yale Materials Handling
HY
$593M
– –
-400
Closed -$22K
HY icon
9125
PUT
Hyster-Yale Materials Handling
HY
$593M
– –
-200
Closed -$11K
363 364
365
366 367

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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.