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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
+8.29%
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
$114B
AUM Growth
+$21.9B
Cap. Flow
-$49.6M
Cap. Flow %
-0.04%
Top 10 Hldgs %
37.97%
Holding
10,803
New
1,536
Increased
3,663
Reduced
3,631
Closed
1,728

Top Buys

Rank Stock Value
1
WMT icon
Walmart Inc
WMT
+$43.6M
2
AAPL icon
Apple
AAPL
+$40.9M
3
OIH icon
VanEck Oil Services ETF
OIH
+$37.7M
4
C icon
Citigroup
C
+$34.2M
5
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$32.7M

Top Sells

Rank Stock Value
1
AMZN icon
Amazon
AMZN
+$189M
2
QQQ icon
Invesco QQQ Trust
QQQ
+$123M
3
NVDA icon
NVIDIA
NVDA
+$115M
4
TSLA icon
Tesla
TSLA
+$52M
5
META icon
Meta Platforms (Facebook)
META
+$49M

Sector Composition

Rank Sector Weight
1 Miscellaneous 98.51%
2 Technology 0.42%
3 Consumer Discretionary 0.2%
4 Healthcare 0.17%
5 Industrials 0.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NGS icon
9751
Natural Gas Services Group
NGS
$469M
– –
-21,686
Closed -$239K
NGS icon
9752
PUT
Natural Gas Services Group
NGS
$469M
– –
-30,600
Closed -$350K
NGVC icon
9753
Vitamin Cottage Natural Grocers
NGVC
$644M
– –
-71
Closed -$734
NGVT icon
9754
Ingevity
NGVT
$2.43B
– –
-61
Closed -$4.84K
NHTC icon
9755
Natural Health Trends
NHTC
$13.6M
$0 ﹤0.01%
+167
New +$826
NKTR icon
9756
PUT
Nektar Therapeutics
NKTR
$2.53B
– –
-333
Closed -$11K
NKTX icon
9757
PUT
Nkarta
NKTX
$209M
– –
-3,900
Closed -$23K
NMG
9758
Nouveau Monde Graphite
NMG
$461M
– –
-2,911
Closed -$14.9K
NMR icon
9759
Nomura Holdings
NMR
$31.1B
$0 ﹤0.01%
174
-195
-53% -$770
NMRK icon
9760
PUT
Newmark Group
NMRK
$2.76B
– –
-4,200
Closed -$33K
NMTC icon
9761
CALL
NeuroOne Medical Technologies
NMTC
$14.8M
– –
-200
Closed -$1K
NMTC icon
9762
NeuroOne Medical Technologies
NMTC
$14.8M
$0 ﹤0.01%
54
+9
+20% +$83
NNBR icon
9763
CALL
NN Inc
NNBR
$302M
– –
-2,000
Closed -$3K
NRDS icon
9764
NerdWallet
NRDS
$632M
– –
-8,692
Closed -$131K
NRDY icon
9765
Nerdy
NRDY
$79.5M
– –
-68
Closed -$3.12K
NRIX icon
9766
Nurix Therapeutics
NRIX
$2.71B
– –
-100
Closed -$1.04K
NRP icon
9767
Natural Resource Partners
NRP
$1.51B
– –
-2,588
Closed -$139K
NRXP icon
9768
PUT
NRX Pharmaceuticals
NRXP
$151M
– –
-100
Closed -$1K
NSIT icon
9769
Insight Enterprises
NSIT
$4.72B
– –
-6
Closed -$746
NSIT icon
9770
PUT
Insight Enterprises
NSIT
$4.72B
– –
-300
Closed -$30K
NSP icon
9771
Insperity
NSP
$1.98B
– –
-223
Closed -$26.1K
NSPR icon
9772
InspireMD
NSPR
$40M
$0 ﹤0.01%
56
– –
NTNX icon
9773
Nutanix
NTNX
$18.4B
– –
-64,641
Closed -$1.75M
NTR icon
9774
Nutrien
NTR
$37.9B
– –
-6,090
Closed -$470K
NTST
9775
PUT
NETSTREIT Corp
NTST
$2.04B
– –
-300
Closed -$5K
389 390
391
392 393

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Simplex Trading's Q1 2023 Portfolio in Review

As of Q1 2023, Simplex Trading held 10,803 positions worth $114B, up 24% from $91.9B the previous quarter. Its ten largest holdings account for 38% of the portfolio.

Simplex Trading's Q1 2023 filing shows 1,536 new, 3,663 increased, 3,631 reduced and 1,728 closed positions. Its largest new stake was Walmart Inc: 918,957 shares worth $45.2M. The largest sale was Amazon, an estimated $189M.

By sector, the portfolio is most concentrated in Miscellaneous at 99% of assets, up from 98% a quarter earlier, followed by Technology and Consumer Discretionary.

  • Simplex Trading's largest Q1 2023 buy was Walmart Inc: 918,957 shares worth $45.2M.
  • Simplex Trading added most to Apple in Q1 2023, an estimated $40.9M increase.
  • Simplex Trading's biggest Q1 2023 reduction was Meta Platforms (Facebook), cutting an estimated $49M.
  • Simplex Trading fully exited Amazon in Q1 2023, selling an estimated $189M.
  • Simplex Trading's ten largest holdings make up 38% of its $114B portfolio in Q1 2023.
  • Simplex Trading opened 1,536 new positions and closed 1,728 in Q1 2023.
  • Simplex Trading's portfolio value rose 24% quarter-over-quarter to $114B.

Based on Simplex Trading's 13F filing for Q1 2023, filed 27 Apr 2023.