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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
-4.08%
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
$127B
AUM Growth
+$5.5B
Cap. Flow
+$559M
Cap. Flow %
0.44%
Top 10 Hldgs %
44.01%
Holding
10,417
New
1,401
Increased
3,688
Reduced
3,363
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 Miscellaneous 98.25%
2 Technology 0.44%
3 Consumer Discretionary 0.32%
4 Healthcare 0.22%
5 Financials 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RTB
9651
RTB Digital
RTB
$160M
– –
-12
Closed -$3K
RTB
9652
PUT
RTB Digital
RTB
$160M
– –
-27
Closed -$7K
RXO icon
9653
RXO
RXO
$3.41B
– –
-49,489
Closed -$975K
RYZ
9654
Ryerson Holding Corp
RYZ
$1.37B
– –
-51
Closed -$1.73K
RYZ
9655
PUT
Ryerson Holding Corp
RYZ
$1.37B
– –
-200
Closed -$8K
S icon
9656
SentinelOne
S
$6.92B
– –
-53,706
Closed -$848K
SACH
9657
CALL
Sachem Capital Corp
SACH
$42.9M
– –
-1,200
Closed -$4K
SAGE
9658
DELISTED
Sage Therapeutics
SAGE
– –
-2,562
Closed -$74K
SAM icon
9659
Boston Beer
SAM
$1.74B
– –
-1,283
Closed -$450K
SANM icon
9660
Sanmina
SANM
$10.6B
– –
-813
Closed -$45.7K
SANW
9661
CALL
DELISTED
S&W Seed Co
SANW
– –
-179
Closed -$4K
SANW
9662
DELISTED
S&W Seed Co
SANW
$0 ﹤0.01%
+7
New +$141
SAR icon
9663
CALL
Saratoga Investment
SAR
$284M
– –
-900
Closed -$24K
SAR icon
9664
PUT
Saratoga Investment
SAR
$284M
– –
-1,900
Closed -$51K
SATO icon
9665
Invesco Alerian Galaxy Crypto Economy ETF
SATO
$8.51M
– –
-68
Closed –
FLNA
9666
Filana Therapeutics
FLNA
$39.6M
– –
-38,751
Closed -$768K
SCHA icon
9667
Schwab U.S Small- Cap ETF
SCHA
$22.9B
– –
-534
Closed -$11K
SCHL icon
9668
Scholastic
SCHL
$673M
– –
-600
Closed -$24.9K
SCJ icon
9669
iShares MSCI Japan Small-Cap ETF
SCJ
$266M
– –
-276
Closed -$18K
SCL icon
9670
Stepan Co
SCL
$1.44B
– –
-659
Closed -$62K
SCPH
9671
DELISTED
scPharmaceuticals
SCPH
– –
-23,528
Closed -$185K
SCPH
9672
PUT
DELISTED
scPharmaceuticals
SCPH
– –
-59,600
Closed -$607K
SCS
9673
DELISTED
Steelcase
SCS
– –
-9,956
Closed -$87.1K
SHOE
9674
Shoe Station Group
SHOE
$382M
– –
-902
Closed -$21.4K
SCYX icon
9675
CALL
SCYNEXIS
SCYX
$52.7M
– –
-2,200
Closed -$51K
385 386
387
388 389

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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's Q3 2023 filing shows 1,401 new, 3,688 increased, 3,363 reduced and 1,719 closed positions. Its largest new stake was Amazon: 841,102 shares worth $107M. The largest sale was Netflix, an estimated $27.1M.

By sector, the portfolio is most concentrated in Miscellaneous at 98% of assets, down from 98% a quarter earlier, followed by Technology and Consumer Discretionary.

  • 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 1,401 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.