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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
+8.29%
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
$114B
AUM Growth
+$21.9B
Cap. Flow
+$10.1B
Cap. Flow %
8.87%
Top 10 Hldgs %
37.97%
Holding
10,803
New
1,536
Increased
3,665
Reduced
3,633
Closed
1,729

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 Technology 0.42%
2 Consumer Discretionary 0.2%
3 Healthcare 0.17%
4 Industrials 0.15%
5 Communication Services 0.13%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
OXSQ icon
9826
Oxford Square Capital
OXSQ
$151M
– –
-1,867
Closed -$6.34K
OXSQ icon
9827
PUT
Oxford Square Capital
OXSQ
$151M
– –
-1,000
Closed -$3K
PACB icon
9828
Pacific Biosciences
PACB
$435M
– –
-151,610
Closed -$1.51M
PACK icon
9829
PUT
Ranpak Holdings
PACK
$540M
– –
-500
Closed -$2K
PASG icon
9830
Passage Bio
PASG
$15.7M
$0 ﹤0.01%
+16
New +$434
PBI icon
9831
Pitney Bowes
PBI
$2.42B
– –
-40,439
Closed -$170K
PBPB
9832
DELISTED
Potbelly
PBPB
– –
-400
Closed -$3.01K
PCG icon
9833
PG&E
PCG
$38.6B
– –
-35,295
Closed -$558K
PCH
9834
DELISTED
PotlatchDeltic
PCH
– –
-1,356
Closed -$63.6K
PCVX icon
9835
Vaxcyte
PCVX
$8.03B
– –
-9,776
Closed -$415K
PDBA icon
9836
CALL
Invesco Agriculture Commodity Strategy No K-1 ETF
PDBA
$313M
– –
-150,200
Closed -$2.22M
PDBC icon
9837
Invesco Actively Managed Exch-Traded Commodity Fd Tr Invesco Optimum Yield Diversified Commodity Strategy No K-1 ETF
PDBC
$5.85B
– –
-110
Closed -$1K
PDM
9838
Piedmont Realty Trust
PDM
$1.2B
– –
-748
Closed -$6.87K
PEG icon
9839
Public Service Enterprise Group
PEG
$39.8B
– –
-12,799
Closed -$775K
PEN icon
9840
Penumbra
PEN
$12.5B
– –
-4,359
Closed -$1.11M
PFI icon
9841
Invesco Dorsey Wright Financial Momentum ETF
PFI
$54.2M
– –
-100
Closed -$4K
PG icon
9842
Procter & Gamble
PG
$342B
– –
-256,289
Closed -$36.6M
PGX icon
9843
Invesco Preferred ETF
PGX
$3.84B
$0 ﹤0.01%
+84
New +$1.01K
PHM icon
9844
Pultegroup
PHM
$23.7B
– –
-1,400
Closed -$75.6K
PHUN icon
9845
Phunware
PHUN
$43.1M
– –
-567
Closed -$26.2K
PHUN icon
9846
PUT
Phunware
PHUN
$43.1M
– –
-84
Closed -$3K
PHX
9847
PUT
DELISTED
PHX Minerals
PHX
– –
-3,300
Closed -$12K
IMVP
9848
Invesco India ETF
IMVP
$122M
– –
-9,037
Closed -$192K
PINC
9849
CALL
DELISTED
Premier
PINC
– –
-200
Closed -$6K
PIPR icon
9850
Piper Sandler
PIPR
$5.12B
– –
-5,284
Closed -$188K
392 393
394
395 396

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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 deployed $10.1B of net new capital in Q1 2023, opening 1,536 new positions and adding to 3,665 existing holdings. Its largest new stake was Walmart Inc: 918,957 shares worth $45.2M.

By sector, the portfolio is most concentrated in Technology at 0.42% of assets, up from 0.35% a quarter earlier, followed by Consumer Discretionary and Healthcare.

On the sell side, the largest reduction was Meta Platforms (Facebook), an estimated $49M trimmed.

  • 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 1,729 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.