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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
LFUS icon
9276
PUT
Littelfuse
LFUS
$10.5B
– –
-100
Closed -$29K
LGND icon
9277
Ligand Pharmaceuticals
LGND
$6.06B
– –
-187
Closed -$12.3K
LGND icon
9278
PUT
Ligand Pharmaceuticals
LGND
$6.06B
– –
-1,400
Closed -$100K
LI icon
9279
Li Auto
LI
$12.9B
– –
-82,963
Closed -$3.27M
LINC icon
9280
CALL
Lincoln Educational Services
LINC
$1.31B
– –
-2,100
Closed -$14K
LIND icon
9281
Lindblad Expeditions
LIND
$1.77B
$0 ﹤0.01%
+87
New +$829
LIT icon
9282
Global X Lithium & Battery Tech ETF
LIT
$1.52B
– –
-11,970
Closed -$778K
FNUC
9283
Frontier Nuclear and Minerals Inc
FNUC
$46.1M
$0 ﹤0.01%
17
-123
-88% -$3.05K
LIVN icon
9284
LivaNova
LIVN
$4.32B
– –
-9,580
Closed -$525K
LMNR icon
9285
CALL
Limoneira
LMNR
$238M
– –
-300
Closed -$4K
LNN icon
9286
PUT
Lindsay Corp
LNN
$1.15B
– –
-100
Closed -$11K
LNT icon
9287
Alliant Energy
LNT
$19.2B
– –
-3,925
Closed -$203K
LNW
9288
DELISTED
Light & Wonder
LNW
– –
-2,958
Closed -$215K
LOAN
9289
CALL
Manhattan Bridge Capital
LOAN
$46.9M
– –
-400
Closed -$2K
LOAN
9290
Manhattan Bridge Capital
LOAN
$46.9M
– –
-1,124
Closed -$5K
LOAN
9291
PUT
Manhattan Bridge Capital
LOAN
$46.9M
– –
-3,000
Closed -$15K
LOB icon
9292
PUT
Live Oak Bancshares
LOB
$1.97B
– –
-200
Closed -$5K
LODE icon
9293
Comstock
LODE
$295M
$0 ﹤0.01%
+8
New +$42
LOOP icon
9294
CALL
Loop Industries
LOOP
$39.9M
– –
-400
Closed -$1K
LOVE icon
9295
LoveSac
LOVE
$240M
– –
-15,156
Closed -$374K
LPLA icon
9296
LPL Financial
LPLA
$25.9B
– –
-522
Closed -$121K
LPRO
9297
Open Lending Corp
LPRO
$370M
– –
-2,306
Closed -$21.1K
LPRO
9298
PUT
Open Lending Corp
LPRO
$370M
– –
-5,100
Closed -$53K
CYPH
9299
CALL
Cypherpunk Technologies Inc
CYPH
$70.4M
– –
-6,600
Closed -$20K
CYPH
9300
PUT
Cypherpunk Technologies Inc
CYPH
$70.4M
– –
-3,600
Closed -$11K
370 371
372
373 374

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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.