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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
+18.73%
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
$55.7B
AUM Growth
-$21.5B
Cap. Flow
+$185M
Cap. Flow %
0.33%
Top 10 Hldgs %
43.23%
Holding
10,706
New
2,255
Increased
3,360
Reduced
3,150
Closed
1,707

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 Miscellaneous 97.22%
2 Technology 0.66%
3 Consumer Discretionary 0.49%
4 Healthcare 0.33%
5 Financials 0.3%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LYV icon
9476
PUT
Live Nation Entertainment
LYV
$40.4B
– –
-1,258
Closed -$9.24M
LZB icon
9477
La-Z-Boy
LZB
$1.31B
– –
-17,792
Closed -$745K
MA icon
9478
CALL
Mastercard
MA
$507B
– –
-3,345
Closed -$119M
MA icon
9479
Mastercard
MA
$507B
$0 ﹤0.01%
71,394
-22,757
-24% -$7.94M
MA icon
9480
PUT
Mastercard
MA
$507B
– –
-4,697
Closed -$168M
MAC icon
9481
CALL
Macerich
MAC
$6.59B
– –
-3,205
Closed -$3.42M
MAC icon
9482
Macerich
MAC
$6.59B
$0 ﹤0.01%
+173,581
New +$2.32M
MAC icon
9483
PUT
Macerich
MAC
$6.59B
– –
-3,064
Closed -$3.27M
MAG
9484
CALL
DELISTED
MAG Silver
MAG
– –
-854
Closed -$1.75M
MAG
9485
DELISTED
MAG Silver
MAG
$0 ﹤0.01%
40,905
+38,666
+1,727% +$712K
MAG
9486
PUT
DELISTED
MAG Silver
MAG
– –
-447
Closed -$917K
MAIN icon
9487
Main Street Capital
MAIN
$5.39B
– –
-5,789
Closed -$203K
MAN icon
9488
ManpowerGroup
MAN
$2.88B
– –
-4,318
Closed -$413K
MANH icon
9489
CALL
Manhattan Associates
MANH
$12.5B
– –
-28
Closed -$294K
MAS icon
9490
Masco
MAS
$14.3B
– –
-24,846
Closed -$1.39M
MATW icon
9491
CALL
Matthews International
MATW
$660M
– –
-23
Closed -$67K
MATW icon
9492
Matthews International
MATW
$660M
$0 ﹤0.01%
243
-26
-10% -$915
MATW icon
9493
PUT
Matthews International
MATW
$660M
– –
-25
Closed -$73K
MBI icon
9494
CALL
MBIA
MBI
$243M
– –
-345
Closed -$227K
MBI icon
9495
MBIA
MBI
$243M
$0 ﹤0.01%
+47,563
New +$368K
MBI icon
9496
PUT
MBIA
MBI
$243M
– –
-119
Closed -$78K
MBWM icon
9497
CALL
Mercantile Bank Corp
MBWM
$1.07B
– –
-1
Closed -$2K
MCD icon
9498
CALL
McDonald's
MCD
$181B
– –
-1,513
Closed -$32.5M
MCD icon
9499
McDonald's
MCD
$181B
– –
-39,193
Closed -$8.38M
MCD icon
9500
PUT
McDonald's
MCD
$181B
– –
-3,353
Closed -$71.9M
378 379
380
381 382

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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's Q1 2021 filing shows 2,255 new, 3,360 increased, 3,150 reduced and 1,707 closed positions. Its largest new stake was Pfizer: 464,628 shares worth $16.8M. The largest sale was Amazon, an estimated $66M.

By sector, the portfolio is most concentrated in Miscellaneous at 97% of assets, down from 98% a quarter earlier, followed by Technology and Consumer Discretionary.

  • 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 2,255 new positions and closed 1,707 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.