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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
RGEN icon
9826
Repligen
RGEN
$9.46B
– –
-2,707
Closed -$555K
RGEN icon
9827
PUT
Repligen
RGEN
$9.46B
– –
-138
Closed -$2.64M
RHP icon
9828
Ryman Hospitality Properties
RHP
$8.52B
– –
-11,613
Closed -$858K
RIG icon
9829
CALL
Transocean
RIG
$6.53B
– –
-5,522
Closed -$1.27M
RIG icon
9830
Transocean
RIG
$6.53B
$0 ﹤0.01%
167,219
+101,837
+156% +$354K
RIG icon
9831
PUT
Transocean
RIG
$6.53B
– –
-3,197
Closed -$738K
RIO icon
9832
Rio Tinto
RIO
$168B
– –
-56,152
Closed -$4.61M
RL icon
9833
Ralph Lauren
RL
$20.9B
– –
-14,819
Closed -$1.69M
RMAX
9834
DELISTED
RE/MAX Holdings
RMAX
– –
-171
Closed -$6K
RMAX
9835
PUT
DELISTED
RE/MAX Holdings
RMAX
– –
-1
Closed -$3K
RM icon
9836
CALL
Regional Management Corp
RM
$311M
– –
-5
Closed -$14K
RM icon
9837
Regional Management Corp
RM
$311M
– –
-2,042
Closed -$60K
RMTI icon
9838
Rockwell Medical
RMTI
$32.2M
– –
-127
Closed -$18.8K
RNST icon
9839
PUT
Renasant Corp
RNST
$3.78B
– –
-1
Closed -$3K
ROKU icon
9840
Roku
ROKU
$23.1B
– –
-22,947
Closed -$8.99M
ROL icon
9841
Rollins
ROL
$17.3B
– –
-2,321
Closed -$83.1K
ROOT icon
9842
Root
ROOT
$877M
– –
-1,919
Closed -$580K
RPAY icon
9843
CALL
Repay Holdings
RPAY
$322M
– –
-16
Closed -$43K
RRX icon
9844
Regal Rexnord
RRX
$10.8B
– –
-1,654
Closed -$227K
RS icon
9845
Reliance Steel & Aluminium
RS
$20.4B
– –
-8,346
Closed -$1.12M
RSG icon
9846
Republic Services
RSG
$68.2B
– –
-197
Closed -$18.5K
RSPH icon
9847
Invesco S&P 500 Equal Weight Health Care ETF
RSPH
$849M
– –
-4,600
Closed -$120K
RVMD icon
9848
Revolution Medicines
RVMD
$45B
– –
-701
Closed -$31.4K
RWM icon
9849
ProShares Short Russell2000
RWM
$131M
– –
-3,196
Closed -$81K
SAFT icon
9850
CALL
Safety Insurance
SAFT
$1.51B
– –
-64
Closed -$498K
392 393
394
395 396

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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.