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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
PSFE icon
9576
Paysafe
PSFE
$399M
– –
-5,468
Closed -$66.5K
PSNL icon
9577
Personalis
PSNL
$1.31B
– –
-385
Closed –
PSR icon
9578
CALL
Invesco Active US Real Estate Fund
PSR
$59.4M
– –
-200
Closed -$9K
PTCT icon
9579
PTC Therapeutics
PTCT
$6.52B
– –
-2,403
Closed -$89.4K
PTEN icon
9580
Patterson-UTI
PTEN
$3.99B
– –
-14,538
Closed -$213K
PTGX icon
9581
Protagonist Therapeutics
PTGX
$8.72B
– –
-25,214
Closed -$489K
PTN
9582
CALL
Palatin Technologies
PTN
$14.7M
– –
-72
Closed -$7K
PTN
9583
PUT
Palatin Technologies
PTN
$14.7M
– –
-60
Closed -$6K
PVL
9584
Permianville Royalty Trust
PVL
$57.4M
$0 ﹤0.01%
+391
New +$1.06K
RPC
9585
PUT
Ridgepost Capital
RPC
$909M
– –
-6,000
Closed -$67K
PXE icon
9586
Invesco Energy Exploration & Production ETF
PXE
$87.5M
– –
-452
Closed -$12K
PXLW icon
9587
Pixelworks
PXLW
$38.6M
$0 ﹤0.01%
+10
New +$172
PYXS icon
9588
CALL
Pyxis Oncology
PYXS
$168M
– –
-1,400
Closed -$3K
QCOM icon
9589
Qualcomm
QCOM
$178B
– –
-212,035
Closed -$24.6M
QLYS icon
9590
PUT
Qualys
QLYS
$4.71B
– –
-100
Closed -$12K
QRHC icon
9591
Quest Resource Holding
QRHC
$26.3M
– –
-348
Closed -$2.51K
QRHC icon
9592
PUT
Quest Resource Holding
QRHC
$26.3M
– –
-1,400
Closed -$9K
QSI icon
9593
Quantum-Si Incorporated
QSI
$174M
– –
-9,322
Closed -$22.4K
QUBT icon
9594
PUT
Quantum Computing Inc
QUBT
$1.76B
– –
-1,400
Closed -$1K
QUIK icon
9595
QuickLogic
QUIK
$235M
– –
-364
Closed -$3.06K
R icon
9596
Ryder
R
$10.3B
– –
-166
Closed -$16.2K
RAIL icon
9597
FreightCar America
RAIL
$266M
– –
-6,783
Closed -$19.4K
RAIL icon
9598
PUT
FreightCar America
RAIL
$266M
– –
-10,600
Closed -$31K
RBOT
9599
DELISTED
Vicarious Surgical
RBOT
$0 ﹤0.01%
31
-157
-84% -$5.72K
RBOT
9600
PUT
DELISTED
Vicarious Surgical
RBOT
– –
-73
Closed -$4K
382 383
384
385 386

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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.