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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
NWS icon
9651
News Corp Class B
NWS
$18.2B
$0 ﹤0.01%
477
-15,425
-97% -$334K
NXPI icon
9652
CALL
NXP Semiconductors
NXPI
$57.5B
– –
-1,322
Closed -$21M
NXPI icon
9653
NXP Semiconductors
NXPI
$57.5B
$0 ﹤0.01%
+25,062
New +$4.58M
NXPI icon
9654
PUT
NXP Semiconductors
NXPI
$57.5B
– –
-1,524
Closed -$24.2M
NXTC icon
9655
PUT
NextCure
NXTC
$35.8M
– –
-1
Closed -$14K
O icon
9656
Realty Income
O
$58B
– –
-6,184
Closed -$366K
OBDC icon
9657
Blue Owl Capital
OBDC
$5.62B
– –
-10,106
Closed -$138K
OCUL icon
9658
CALL
Ocular Therapeutix
OCUL
$2.34B
– –
-256
Closed -$529K
OCUL icon
9659
Ocular Therapeutix
OCUL
$2.34B
$0 ﹤0.01%
33,850
-6,243
-16% -$120K
OCUL icon
9660
PUT
Ocular Therapeutix
OCUL
$2.34B
– –
-80
Closed -$165K
ODFL icon
9661
Old Dominion Freight Line
ODFL
$38.5B
– –
-1,716
Closed -$184K
OEC icon
9662
Orion
OEC
$344M
– –
-501
Closed -$9.02K
OHI icon
9663
Omega Healthcare
OHI
$14.1B
– –
-12,838
Closed -$473K
OII icon
9664
Oceaneering
OII
$5.12B
– –
-9,461
Closed -$105K
OIS icon
9665
CALL
Oil States International
OIS
$528M
– –
-4
Closed -$2K
OIS icon
9666
Oil States International
OIS
$528M
– –
-3,705
Closed -$25.3K
OKE icon
9667
Oneok
OKE
$60.2B
– –
-30,874
Closed -$1.4M
OKTA icon
9668
CALL
Okta
OKTA
$29.8B
– –
-1,239
Closed -$31.5M
OKTA icon
9669
Okta
OKTA
$29.8B
$0 ﹤0.01%
+21,647
New +$5.44M
OKTA icon
9670
PUT
Okta
OKTA
$29.8B
– –
-887
Closed -$22.6M
OLN icon
9671
CALL
Olin
OLN
$1.98B
– –
-796
Closed -$1.95M
OLN icon
9672
PUT
Olin
OLN
$1.98B
– –
-205
Closed -$503K
OMCL icon
9673
Omnicell
OMCL
$1.57B
– –
-658
Closed -$84.4K
OMEX icon
9674
PUT
Odyssey Marine Exploration
OMEX
$47.9M
– –
-4
Closed -$2K
OMF icon
9675
CALL
OneMain Financial
OMF
$7.44B
– –
-88
Closed -$423K
385 386
387
388 389

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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.