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Simplex Trading

Simplex Trading Portfolio holdings

AUM $171B
1-Year Est. Return 85%
 

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
+85%
3 Year Est. Return
+183.25%
5 Year Est. Return
+145.21%
10 Year Est. Return
+1,056.84%
AUM
$127B
AUM Growth
+$5.5B
Cap. Flow
+$559M
Cap. Flow %
0.44%
Top 10 Hldgs %
44.01%
Holding
10,417
New
1,401
Increased
3,688
Reduced
3,363
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 Miscellaneous 98.25%
2 Technology 0.44%
3 Consumer Discretionary 0.32%
4 Healthcare 0.22%
5 Financials 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NSP icon
9451
PUT
Insperity
NSP
$1.98B
– –
-1,200
Closed -$142K
NSPR icon
9452
CALL
InspireMD
NSPR
$40M
– –
-4,200
Closed -$10K
NSSC icon
9453
Napco Security Technologies
NSSC
$1.32B
– –
-5,287
Closed -$160K
NTES icon
9454
NetEase
NTES
$76.4B
– –
-11,979
Closed -$1.23M
NTLA icon
9455
Intellia Therapeutics
NTLA
$1.79B
– –
-36,386
Closed -$1.41M
NTNX icon
9456
Nutanix
NTNX
$18.4B
– –
-3,292
Closed -$103K
NUVB icon
9457
Nuvation Bio
NUVB
$2.39B
– –
-18
Closed -$30
NVAX icon
9458
Novavax
NVAX
$1.69B
– –
-200
Closed -$1.6K
NVCR icon
9459
NovoCure
NVCR
$2.09B
– –
-11,174
Closed -$322K
NVRI icon
9460
Enviri
NVRI
$645M
$0 ﹤0.01%
82
-308
-79% -$2.49K
NVT icon
9461
nVent Electric
NVT
$25.3B
– –
-40,888
Closed -$2.21M
NVX
9462
NOVONIX
NVX
$75.1M
$0 ﹤0.01%
26
-3
-10% -$75
NWBI icon
9463
Northwest Bancshares
NWBI
$2.29B
$0 ﹤0.01%
+62
New +$692
NWL icon
9464
Newell Brands
NWL
$2.6B
– –
-52,982
Closed -$527K
NX icon
9465
Quanex
NX
$1.05B
– –
-47
Closed -$1K
NX icon
9466
PUT
Quanex
NX
$1.05B
– –
-300
Closed -$8K
NXRT
9467
CALL
NexPoint Residential Trust
NXRT
$608M
– –
-100
Closed -$4K
NXRT
9468
NexPoint Residential Trust
NXRT
$608M
– –
-15
Closed –
OABI icon
9469
OmniAb
OABI
$630M
– –
-7
Closed -$37
OCFC icon
9470
PUT
OceanFirst Financial
OCFC
$1.88B
– –
-1,700
Closed -$26K
OCGN icon
9471
PUT
Ocugen
OCGN
$461M
– –
-2,800
Closed -$1K
OCUL icon
9472
Ocular Therapeutix
OCUL
$2.34B
– –
-142,822
Closed -$584K
OESX icon
9473
Orion Energy Systems
OESX
$102M
$0 ﹤0.01%
59
-2
-3% -$31
OFS icon
9474
OFS Capital
OFS
$52.4M
– –
-6
Closed -$64
OGE icon
9475
PUT
OGE Energy
OGE
$9.69B
– –
-100
Closed -$3K
377 378
379
380 381

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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's Q3 2023 filing shows 1,401 new, 3,688 increased, 3,363 reduced and 1,719 closed positions. Its largest new stake was Amazon: 841,102 shares worth $107M. The largest sale was Netflix, an estimated $27.1M.

By sector, the portfolio is most concentrated in Miscellaneous at 98% of assets, down from 98% a quarter earlier, followed by Technology and Consumer Discretionary.

  • 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 1,401 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.