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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
NCNO icon
9401
nCino
NCNO
$1.78B
– –
-23,957
Closed -$739K
NDLS icon
9402
Noodles & Co
NDLS
$72.8M
– –
-17,719
Closed -$427K
NDLS icon
9403
PUT
Noodles & Co
NDLS
$72.8M
– –
-24,450
Closed -$661K
NECB icon
9404
PUT
Northeast Community Bancorp
NECB
$365M
– –
-200
Closed -$2K
NEE icon
9405
NextEra Energy
NEE
$187B
– –
-4,150
Closed -$287K
NEON icon
9406
PUT
Neonode
NEON
$13.3M
– –
-6,000
Closed -$48K
NEWT icon
9407
NewtekOne
NEWT
$414M
– –
-285
Closed -$4.88K
NEWT icon
9408
PUT
NewtekOne
NEWT
$414M
– –
-200
Closed -$3K
NEXA icon
9409
Nexa Resources
NEXA
$1.75B
– –
-5,836
Closed -$31.9K
NEXN
9410
Nexxen International
NEXN
$542M
– –
-2,777
Closed -$19K
NEXN
9411
PUT
Nexxen International
NEXN
$542M
– –
-13,000
Closed -$93K
NFBK
9412
CALL
DELISTED
Northfield Bancorp
NFBK
– –
-100
Closed -$1K
NFBK
9413
DELISTED
Northfield Bancorp
NFBK
– –
-399
Closed -$4K
NFBK
9414
PUT
DELISTED
Northfield Bancorp
NFBK
– –
-1,800
Closed -$19K
NEXT icon
9415
NextDecade
NEXT
$2.11B
– –
-98,003
Closed -$596K
NFGC
9416
CALL
New Found Gold
NFGC
$553M
– –
-1,300
Closed -$6K
NG icon
9417
PUT
NovaGold Resources
NG
$2.6B
– –
-400
Closed -$1K
NGD
9418
DELISTED
New Gold Inc
NGD
– –
-15,651
Closed -$16.7K
NGVC icon
9419
CALL
Vitamin Cottage Natural Grocers
NGVC
$676M
– –
-100
Closed -$1K
NGVC icon
9420
Vitamin Cottage Natural Grocers
NGVC
$676M
$0 ﹤0.01%
70
+66
+1,650% +$841
NGVT icon
9421
CALL
Ingevity
NGVT
$2.56B
– –
-2,700
Closed -$157K
NGVT icon
9422
PUT
Ingevity
NGVT
$2.56B
– –
-400
Closed -$23K
NHI icon
9423
National Health Investors
NHI
$3.88B
– –
-15
Closed -$785
NHC icon
9424
CALL
National Healthcare
NHC
$3.46B
– –
-500
Closed -$30K
NHTC icon
9425
Natural Health Trends
NHTC
$15.4M
$0 ﹤0.01%
97
+2
+2% +$11
375 376
377
378 379

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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.