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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
PFIX icon
9526
Simplify Interest Rate Hedge ETF
PFIX
$171M
– –
-4,282
Closed -$268K
PFXF icon
9527
VanEck Preferred Securities ex Financials ETF
PFXF
$2.39B
– –
-1,641
Closed -$28K
PGRE
9528
DELISTED
Paramount Group
PGRE
– –
-102
Closed -$504
PGX icon
9529
Invesco Preferred ETF
PGX
$3.84B
– –
-64
Closed –
PGY icon
9530
Pagaya Technologies
PGY
$1.35B
– –
-6,961
Closed -$169K
PHG icon
9531
Philips
PHG
$25.3B
– –
-73,305
Closed -$1.41M
PHUN icon
9532
CALL
Phunware
PHUN
$43.1M
– –
-58
Closed -$1K
PHUN icon
9533
Phunware
PHUN
$43.1M
$0 ﹤0.01%
95
+66
+228% +$1.09K
PHX
9534
CALL
DELISTED
PHX Minerals
PHX
– –
-8,500
Closed -$26K
PHX
9535
PUT
DELISTED
PHX Minerals
PHX
– –
-2,200
Closed -$6K
IMVP
9536
Invesco India ETF
IMVP
$122M
$0 ﹤0.01%
+24
New +$563
PINS icon
9537
Pinterest
PINS
$12.3B
– –
-500
Closed -$13.6K
PINE
9538
Alpine Income Property Trust
PINE
$339M
$0 ﹤0.01%
+14
New +$235
PIPR icon
9539
Piper Sandler
PIPR
$5.12B
– –
-196
Closed -$7.08K
PKE icon
9540
CALL
Park Aerospace
PKE
$746M
– –
-300
Closed -$4K
PKOH icon
9541
CALL
Park-Ohio Holdings
PKOH
$550M
– –
-15,700
Closed -$298K
PLAY icon
9542
Dave & Buster's
PLAY
$339M
– –
-5,872
Closed -$240K
PLG
9543
CALL
Platinum Group Metals
PLG
$166M
– –
-8,400
Closed -$11K
PLNT icon
9544
Planet Fitness
PLNT
$4.29B
– –
-8,434
Closed -$510K
PLOW icon
9545
CALL
Douglas Dynamics
PLOW
$1.07B
– –
-200
Closed -$5K
PLSE icon
9546
Pulse Biosciences
PLSE
$2.15B
– –
-5,516
Closed -$34.3K
PLSE icon
9547
PUT
Pulse Biosciences
PLSE
$2.15B
– –
-200
Closed -$1K
PLTR icon
9548
Palantir
PLTR
$296B
– –
-461,460
Closed -$7.35M
PLUR icon
9549
CALL
Pluri
PLUR
$19.3M
– –
-325
Closed -$2K
PLX icon
9550
PUT
Protalix BioTherapeutics
PLX
$191M
– –
-700
Closed -$1K
380 381
382
383 384

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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.