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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
OTRK
9501
PUT
DELISTED
Ontrak
OTRK
– –
-204
Closed -$8K
OUT icon
9502
CALL
Outfront Media
OUT
$5.1B
– –
-2,235
Closed -$34K
OVID icon
9503
PUT
Ovid Therapeutics
OVID
$547M
– –
-1,500
Closed -$4K
OXM icon
9504
PUT
Oxford Industries
OXM
$462M
– –
-600
Closed -$59K
OXY icon
9505
Occidental Petroleum
OXY
$60B
– –
-200
Closed -$12.6K
PANL icon
9506
PUT
Pangaea Logistics
PANL
$560M
– –
-400
Closed -$2K
PANW icon
9507
Palo Alto Networks
PANW
$272B
– –
-20,306
Closed -$2.4M
PARAA
9508
DELISTED
Paramount Global Class A
PARAA
– –
-99
Closed -$1K
PARR icon
9509
Par Pacific Holdings
PARR
$4.07B
– –
-5,336
Closed -$175K
PAY icon
9510
Paymentus
PAY
$4.56B
– –
-1,260
Closed -$16.7K
PAY icon
9511
PUT
Paymentus
PAY
$4.56B
– –
-1,000
Closed -$10K
PBE icon
9512
Invesco Biotechnology & Genome ETF
PBE
$411M
$0 ﹤0.01%
2
-398
-100% -$24.3K
PBH icon
9513
CALL
Prestige Consumer Healthcare
PBH
$2.48B
– –
-500
Closed -$29K
PCT icon
9514
PureCycle Technologies
PCT
$1.28B
– –
-13,966
Closed -$131K
PCTY icon
9515
Paylocity
PCTY
$8.08B
– –
-1,534
Closed -$308K
PDP icon
9516
Invesco Dorsey Wright Momentum ETF
PDP
$1.47B
– –
-200
Closed -$16K
PDS
9517
PUT
Precision Drilling
PDS
$1.16B
– –
-100
Closed -$4K
PEB icon
9518
PUT
Pebblebrook Hotel Trust
PEB
$2.03B
– –
-2,400
Closed -$33K
PECO icon
9519
PUT
Phillips Edison & Co
PECO
$5.01B
– –
-1,400
Closed -$47K
PEO
9520
CALL
Adams Natural Resources Fund
PEO
$810M
– –
-1,559
Closed -$31K
PEO
9521
Adams Natural Resources Fund
PEO
$810M
– –
-759
Closed -$15K
PEO
9522
PUT
Adams Natural Resources Fund
PEO
$810M
– –
-2,079
Closed -$41K
PESI icon
9523
Perma-Fix Environmental Services
PESI
$397M
– –
-9,573
Closed -$105K
PFBC icon
9524
CALL
Preferred Bank
PFBC
$1.23B
– –
-200
Closed -$10K
PFFA icon
9525
Virtus InfraCap US Preferred Stock ETF
PFFA
$2.53B
– –
-1,083
Closed -$21K
379 380
381
382 383

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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.