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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
MTRN icon
9576
CALL
Materion
MTRN
$5.09B
– –
-1
Closed -$6K
MTW icon
9577
CALL
Manitowoc
MTW
$772M
– –
-946
Closed -$1.26M
MTW icon
9578
PUT
Manitowoc
MTW
$772M
– –
-67
Closed -$89K
MUR icon
9579
CALL
Murphy Oil
MUR
$5.22B
– –
-585
Closed -$707K
MUR icon
9580
Murphy Oil
MUR
$5.22B
$0 ﹤0.01%
2,286
-2,884
-56% -$45.1K
MUR icon
9581
PUT
Murphy Oil
MUR
$5.22B
– –
-411
Closed -$497K
MUX icon
9582
CALL
McEwen Inc
MUX
$1.23B
– –
-133
Closed -$131K
MUX icon
9583
McEwen Inc
MUX
$1.23B
$0 ﹤0.01%
23,084
+13,092
+131% +$144K
MUX icon
9584
PUT
McEwen Inc
MUX
$1.23B
– –
-487
Closed -$479K
MVIS icon
9585
CALL
Microvision
MVIS
$50.5M
– –
-236
Closed -$1.9M
MVIS icon
9586
Microvision
MVIS
$50.5M
$0 ﹤0.01%
13,904
+4,504
+48% +$849K
MVIS icon
9587
PUT
Microvision
MVIS
$50.5M
– –
-197
Closed -$1.59M
MYE icon
9588
CALL
Myers Industries
MYE
$1.2B
– –
-16
Closed -$33K
MYE icon
9589
Myers Industries
MYE
$1.2B
– –
-1,183
Closed -$25.4K
MYE icon
9590
PUT
Myers Industries
MYE
$1.2B
– –
-8
Closed -$16K
MZZ icon
9591
ProShares UltraShort MidCap400
MZZ
$4.27M
– –
-2
Closed –
NAAS
9592
CALL
NaaS Technology Inc
NAAS
$51.6M
– –
0
– -$2K
NAAS
9593
PUT
NaaS Technology Inc
NAAS
$51.6M
– –
0
– -$4K
NAIL icon
9594
Direxion Daily Homebuilders & Supplies Bull 3X ETF
NAIL
$542M
– –
-9,891
Closed –
NAK
9595
CALL
Northern Dynasty Minerals
NAK
$826M
– –
-2,160
Closed -$69K
NAK
9596
Northern Dynasty Minerals
NAK
$826M
$0 ﹤0.01%
+297,910
New +$194K
NAK
9597
PUT
Northern Dynasty Minerals
NAK
$826M
– –
-304
Closed -$9K
NAT icon
9598
CALL
Nordic American Tanker
NAT
$1.54B
– –
-514
Closed -$151K
NAT icon
9599
Nordic American Tanker
NAT
$1.54B
$0 ﹤0.01%
45,862
-5,898
-11% -$19K
NAT icon
9600
PUT
Nordic American Tanker
NAT
$1.54B
– –
-855
Closed -$252K
382 383
384
385 386

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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.