We are live on ! Find out more
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
-7.61%
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
$107B
AUM Growth
+$3.54B
Cap. Flow
+$2.61B
Cap. Flow %
2.43%
Top 10 Hldgs %
40.52%
Holding
10,062
New
86
Increased
2,774
Reduced
1,601
Closed
271

Top Buys

Rank Stock Value
1
GE icon
GE Aerospace
GE
+$36M
2
AMD icon
Advanced Micro Devices
AMD
+$19.4M
3
EFA icon
iShares MSCI EAFE ETF
EFA
+$10.2M
4
MU icon
Micron Technology
MU
+$6.31M
5
BABA icon
Alibaba
BABA
+$6.19M

Top Sells

Rank Stock Value
1
NVDA icon
NVIDIA
NVDA
+$25.9M
2
GLD icon
SPDR Gold Trust
GLD
+$15.3M
3
AMZN icon
Amazon
AMZN
+$9.53M
4
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$9.03M
5
XLK icon
State Street Technology Select Sector SPDR ETF
XLK
+$7.73M

Sector Composition

Rank Sector Weight
1 Technology 0.49%
2 Consumer Discretionary 0.39%
3 Communication Services 0.27%
4 Healthcare 0.25%
5 Financials 0.25%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
JRVR icon
9426
PUT
James River Group Holdings
JRVR
$209M
$3K ﹤0.01%
100
– –
KN icon
9427
PUT
Knowles
KN
$3.13B
$3K ﹤0.01%
200
-100
-33% -$1.96K
KRMD icon
9428
CALL
KORU Medical Systems
KRMD
$177M
$3K ﹤0.01%
800
– –
KVHI icon
9429
KVH Industries
KVHI
$181M
$3K ﹤0.01%
285
– –
LASR icon
9430
PUT
nLIGHT
LASR
$4.09B
$3K ﹤0.01%
100
– –
MDYV icon
9431
State Street SPDR S&P 400 Mid Cap Value ETF
MDYV
$2.75B
$3K ﹤0.01%
50
– –
MYND
9432
CALL
Mynd.ai
MYND
$18.1M
$3K ﹤0.01%
+70
New +$2.35K
NERV icon
9433
PUT
Minerva Neurosciences
NERV
$206M
$3K ﹤0.01%
200
– –
NGVC icon
9434
CALL
Vitamin Cottage Natural Grocers
NGVC
$720M
$3K ﹤0.01%
300
– –
NRDY icon
9435
PUT
Nerdy
NRDY
$105M
$3K ﹤0.01%
23,100
– –
NRT
9436
North European Oil Royalty Trust
NRT
$79.4M
$3K ﹤0.01%
+550
New +$4.06K
OEC icon
9437
CALL
Orion
OEC
$426M
$3K ﹤0.01%
200
– –
OEC icon
9438
PUT
Orion
OEC
$426M
$3K ﹤0.01%
200
– –
OESX icon
9439
PUT
Orion Energy Systems
OESX
$41.8M
$3K ﹤0.01%
60
– –
PCYO icon
9440
Pure Cycle
PCYO
$259M
$3K ﹤0.01%
241
– –
PGC icon
9441
CALL
Peapack-Gladstone Financial
PGC
$813M
$3K ﹤0.01%
100
– –
PROF
9442
Profound Medical
PROF
$254M
$3K ﹤0.01%
217
– –
PRTA icon
9443
Prothena Corp
PRTA
$442M
$3K ﹤0.01%
62
-500
-89% -$31.1K
RCEL icon
9444
Avita Medical
RCEL
$152M
$3K ﹤0.01%
164
– –
REPL icon
9445
PUT
Replimune Group
REPL
$902M
$3K ﹤0.01%
100
– –
REXR icon
9446
Rexford Industrial Realty
REXR
$8.3B
$3K ﹤0.01%
53
– –
RXRX icon
9447
CALL
Recursion Pharmaceuticals
RXRX
$1.58B
$3K ﹤0.01%
+100
New +$2.83K
SCS
9448
DELISTED
Steelcase
SCS
$3K ﹤0.01%
212
-700
-77% -$9.66K
SKM icon
9449
CALL
SK Telecom
SKM
$13B
$3K ﹤0.01%
61
– –
SMCI icon
9450
PUT
Super Micro Computer
SMCI
$19.8B
$3K ﹤0.01%
1,000
– –
376 377
378
379 380

Similar funds

Mitsubishi UFJ Asset Management
Mitsubishi UFJ Asset Management Tokyo, Japan $149B AUM 24.71% 1-Year Est. Return
Creative Planning
Creative Planning Overland Park, Kansas $147B AUM 18.73% 1-Year Est. Return
Jennison Associates
Jennison Associates New York $145B AUM 34.61% 1-Year Est. Return
T. Rowe Price Investment Management
T. Rowe Price Investment Management Baltimore, Maryland $145B AUM 22.78% 1-Year Est. Return
Sumitomo Mitsui Trust Group
Sumitomo Mitsui Trust Group Minato-Ku, Tokyo, Japan $154B AUM 29.96% 1-Year Est. Return
Canada Pension Plan Investment Board
Canada Pension Plan Investment Board Toronto Ontario, Ontario, Canada $155B AUM 29.93% 1-Year Est. Return
Victory Capital Management
Victory Capital Management San Antonio, Texas $156B AUM 27.51% 1-Year Est. Return
First Trust Advisors
First Trust Advisors Wheaton, Illinois $140B AUM 27.84% 1-Year Est. Return

Simplex Trading's Q3 2021 Portfolio in Review

As of Q3 2021, Simplex Trading held 10,062 positions worth $107B, up 3.4% from $104B the previous quarter. Its ten largest holdings account for 41% of the portfolio.

Trading was light in Q3 2021: portfolio turnover was 3.5%. Simplex Trading opened 86 new positions and exited 271, leaving the 10,062-position portfolio largely intact.

By sector, the portfolio is most concentrated in Technology at 0.49% of assets, up from 0.47% a quarter earlier, followed by Consumer Discretionary and Communication Services.

  • Simplex Trading's largest Q3 2021 buy was Olo Inc: 143,230 shares worth $4.91M.
  • Simplex Trading added most to GE Aerospace in Q3 2021, an estimated $36M increase.
  • Simplex Trading's biggest Q3 2021 reduction was NVIDIA, cutting an estimated $25.9M.
  • Simplex Trading fully exited Amazon in Q3 2021, selling an estimated $9.53M.
  • Simplex Trading's ten largest holdings make up 41% of its $107B portfolio in Q3 2021.
  • Simplex Trading opened 86 new positions and closed 271 in Q3 2021.
  • Simplex Trading's portfolio value rose 3.4% quarter-over-quarter to $107B.

Based on Simplex Trading's 13F filing for Q3 2021, filed 28 Oct 2021.