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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
NHTC icon
9426
PUT
Natural Health Trends
NHTC
$15.4M
– –
-400
Closed -$2K
NI icon
9427
NiSource
NI
$22.4B
– –
-1,287
Closed -$34.8K
NKTX icon
9428
CALL
Nkarta
NKTX
$165M
– –
-4,200
Closed -$9K
NKTX icon
9429
PUT
Nkarta
NKTX
$165M
– –
-7,300
Closed -$15K
NL icon
9430
CALL
NLI Holdings
NL
$283M
– –
-500
Closed -$2K
NMFC icon
9431
CALL
New Mountain Finance
NMFC
$644M
– –
-100
Closed -$1K
NMG
9432
CALL
Nouveau Monde Graphite
NMG
$431M
– –
-5,400
Closed -$16K
NMG
9433
Nouveau Monde Graphite
NMG
$431M
– –
-3,251
Closed -$9K
NMG
9434
PUT
Nouveau Monde Graphite
NMG
$431M
– –
-3,300
Closed -$10K
NMM icon
9435
Navios Maritime Partners
NMM
$2.18B
– –
-119,446
Closed -$2.73M
NMTC icon
9436
NeuroOne Medical Technologies
NMTC
$16.1M
$0 ﹤0.01%
4
-1
-20% -$7
NNBR icon
9437
NN Inc
NNBR
$264M
– –
-12,089
Closed -$28.4K
NNBR icon
9438
PUT
NN Inc
NNBR
$264M
– –
-5,800
Closed -$13K
NNVC icon
9439
NanoViricides
NNVC
$35.2M
– –
-2,964
Closed -$4.19K
NOA
9440
North American Construction
NOA
$378M
– –
-233
Closed -$5.26K
NOAH
9441
PUT
Noah Holdings
NOAH
$593M
– –
-100
Closed -$1K
NOMD icon
9442
PUT
Nomad Foods
NOMD
$1.63B
– –
-100
Closed -$1K
NOV icon
9443
NOV
NOV
$7.22B
– –
-56,018
Closed -$1.11M
NOW icon
9444
ServiceNow
NOW
$94.8B
– –
-30,965
Closed -$3.53M
NPO icon
9445
CALL
Enpro
NPO
$7.12B
– –
-100
Closed -$13K
NRC icon
9446
NRC Health Common Stock
NRC
$469M
– –
-211
Closed -$9K
NRC icon
9447
PUT
NRC Health Common Stock
NRC
$469M
– –
-500
Closed -$21K
NREF
9448
PUT
NexPoint Real Estate Finance
NREF
$309M
– –
-100
Closed -$1K
NRG icon
9449
NRG Energy
NRG
$30.2B
– –
-52,523
Closed -$1.99M
NRT
9450
North European Oil Royalty Trust
NRT
$78.2M
$0 ﹤0.01%
47
-65
-58% -$847
376 377
378
379 380

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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.