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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
MIDD icon
9526
CALL
Middleby
MIDD
$5.05B
– –
-38
Closed -$489K
MIDU icon
9527
Direxion Daily Mid Cap Bull 3X ETF
MIDU
$69.4M
– –
-7,345
Closed -$295K
MITK icon
9528
CALL
Mitek Systems
MITK
$838M
– –
-300
Closed -$533K
MITK icon
9529
Mitek Systems
MITK
$838M
– –
-30,297
Closed -$486K
MITK icon
9530
PUT
Mitek Systems
MITK
$838M
– –
-234
Closed -$416K
MITT
9531
CALL
TPG Mortgage Investment Trust
MITT
$216M
– –
-246
Closed -$218K
MITT
9532
TPG Mortgage Investment Trust
MITT
$216M
$0 ﹤0.01%
31,697
-45,918
-59% -$522K
MITT
9533
PUT
TPG Mortgage Investment Trust
MITT
$216M
– –
-2,675
Closed -$2.37M
MLCO icon
9534
CALL
Melco Resorts & Entertainment
MLCO
$1.98B
– –
-1,158
Closed -$2.15M
MLCO icon
9535
Melco Resorts & Entertainment
MLCO
$1.98B
$0 ﹤0.01%
178,606
+115,110
+181% +$2.18M
MLCO icon
9536
PUT
Melco Resorts & Entertainment
MLCO
$1.98B
– –
-1,327
Closed -$2.46M
MLI icon
9537
CALL
Mueller Industries
MLI
$14.1B
– –
-4
Closed -$3K
MLR icon
9538
PUT
Miller Industries
MLR
$636M
– –
-1
Closed -$3K
MMM icon
9539
CALL
3M
MMM
$86.9B
– –
-1,653
Closed -$24.2M
MMM icon
9540
3M
MMM
$86.9B
– –
-26,839
Closed -$4.02M
MMM icon
9541
PUT
3M
MMM
$86.9B
– –
-2,280
Closed -$33.3M
MMSI icon
9542
Merit Medical Systems
MMSI
$5.35B
– –
-4,327
Closed -$248K
MMSI icon
9543
PUT
Merit Medical Systems
MMSI
$5.35B
– –
-183
Closed -$1.01M
MNKD icon
9544
CALL
MannKind Corp
MNKD
$1.31B
– –
-1,305
Closed -$408K
MNKD icon
9545
MannKind Corp
MNKD
$1.31B
$0 ﹤0.01%
233,212
+58,999
+34% +$242K
MNKD icon
9546
PUT
MannKind Corp
MNKD
$1.31B
– –
-1,809
Closed -$566K
MNRO icon
9547
Monro
MNRO
$415M
– –
-1,014
Closed -$63.4K
MNST icon
9548
CALL
Monster Beverage
MNST
$85.8B
– –
-632
Closed -$1.46M
MNST icon
9549
Monster Beverage
MNST
$85.8B
– –
-54,920
Closed -$1.23M
MNST icon
9550
PUT
Monster Beverage
MNST
$85.8B
– –
-372
Closed -$860K
380 381
382
383 384

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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.