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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
JKS
9376
PUT
JinkoSolar
JKS
$775M
– –
-813
Closed -$5.03M
JNUG icon
9377
Direxion Daily Junior Gold Miners Index Bull 2X ETF
JNUG
$351M
– –
-12,598
Closed -$1.52M
JOE icon
9378
St. Joe Company
JOE
$3.57B
– –
-2,209
Closed -$106K
K
9379
DELISTED
Kellanova
K
– –
-59,177
Closed -$3.31M
OPLN
9380
CALL
Openlane
OPLN
$4.17B
– –
-364
Closed -$677K
OPLN
9381
Openlane
OPLN
$4.17B
$0 ﹤0.01%
81,553
+68,123
+507% +$1.16M
OPLN
9382
PUT
Openlane
OPLN
$4.17B
– –
-253
Closed -$470K
KBE icon
9383
State Street SPDR S&P Bank ETF
KBE
$1.64B
$0 ﹤0.01%
31,318
+23,054
+279% +$1.12M
KBWB icon
9384
Invesco KBW Bank ETF
KBWB
$7.08B
– –
-947
Closed -$47K
KDP icon
9385
Keurig Dr Pepper
KDP
$40.4B
– –
-56,553
Closed -$1.83M
KEY icon
9386
CALL
KeyCorp
KEY
$24.3B
– –
-2,350
Closed -$3.86M
KEY icon
9387
KeyCorp
KEY
$24.3B
$0 ﹤0.01%
+5,328
New +$103K
KEY icon
9388
PUT
KeyCorp
KEY
$24.3B
– –
-1,287
Closed -$2.11M
KFRC icon
9389
Kforce
KFRC
$983M
– –
-388
Closed -$18.8K
KFY icon
9390
CALL
Korn Ferry
KFY
$3.98B
– –
-7
Closed -$30K
KGC icon
9391
CALL
Kinross Gold
KGC
$28.5B
– –
-1,180
Closed -$866K
KGC icon
9392
Kinross Gold
KGC
$28.5B
$0 ﹤0.01%
171,129
-210,457
-55% -$1.46M
KGC icon
9393
PUT
Kinross Gold
KGC
$28.5B
– –
-4,669
Closed -$3.43M
KIDS icon
9394
OrthoPediatrics
KIDS
$485M
– –
-200
Closed -$8K
KIDS icon
9395
PUT
OrthoPediatrics
KIDS
$485M
– –
-4
Closed -$16K
KMI icon
9396
CALL
Kinder Morgan
KMI
$73.1B
– –
-3,257
Closed -$4.45M
KMI icon
9397
Kinder Morgan
KMI
$73.1B
– –
-58,177
Closed -$888K
KMI icon
9398
PUT
Kinder Morgan
KMI
$73.1B
– –
-2,544
Closed -$3.48M
KMPR icon
9399
Kemper
KMPR
$1.7B
– –
-160
Closed -$12.3K
KMX icon
9400
CALL
CarMax
KMX
$8.27B
– –
-916
Closed -$8.65M
374 375
376
377 378

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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.