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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
SAFT icon
9851
Safety Insurance
SAFT
$1.51B
$0 ﹤0.01%
137
-412
-75% -$33.1K
SAFT icon
9852
PUT
Safety Insurance
SAFT
$1.51B
– –
-19
Closed -$148K
SAH icon
9853
CALL
Sonic Automotive
SAH
$2.56B
– –
-2
Closed -$7K
SAH icon
9854
Sonic Automotive
SAH
$2.56B
– –
-139
Closed -$6.45K
SAH icon
9855
PUT
Sonic Automotive
SAH
$2.56B
– –
-2
Closed -$7K
SANW
9856
PUT
DELISTED
S&W Seed Co
SANW
– –
0
– -$1K
SB icon
9857
CALL
Safe Bulkers
SB
$934M
– –
-113
Closed -$14K
SBAC icon
9858
CALL
SBA Communications
SBAC
$20.1B
– –
-12
Closed -$338K
SBAC icon
9859
SBA Communications
SBAC
$20.1B
$0 ﹤0.01%
1,498
-1,448
-49% -$384K
SBAC icon
9860
PUT
SBA Communications
SBAC
$20.1B
– –
-126
Closed -$3.55M
SBH icon
9861
Sally Beauty Holdings
SBH
$1.56B
– –
-36,535
Closed -$611K
SBIO icon
9862
ALPS Medical Breakthroughs ETF
SBIO
$244M
– –
-1,096
Closed -$56K
SBLK icon
9863
Star Bulk Carriers
SBLK
$3.62B
– –
-2,287
Closed -$29.5K
SCHG icon
9864
Schwab US Large-Cap Growth ETF
SCHG
$62.9B
– –
-6,128
Closed -$98K
SCHM icon
9865
Schwab US Mid-Cap ETF
SCHM
$15B
– –
-1,152
Closed -$26K
SCHW
9866
CALL
Charles Schwab
SCHW
$189B
– –
-4,300
Closed -$22.8M
SCHW
9867
PUT
Charles Schwab
SCHW
$189B
– –
-4,488
Closed -$23.8M
SCI icon
9868
CALL
Service Corp International
SCI
$11.2B
– –
-781
Closed -$3.83M
SCI icon
9869
Service Corp International
SCI
$11.2B
$0 ﹤0.01%
+11,765
New +$589K
SCI icon
9870
PUT
Service Corp International
SCI
$11.2B
– –
-126
Closed -$618K
SCM icon
9871
PUT
Stellus Capital Investment Corp
SCM
$250M
– –
-7
Closed -$7K
SCOR icon
9872
CALL
Comscore
SCOR
$78.5M
– –
-2
Closed -$12K
SCSC icon
9873
PUT
Scansource
SCSC
$1.19B
– –
-1
Closed -$2K
SHOE
9874
Shoe Station Group
SHOE
$382M
– –
-38
Closed -$937
SCZ icon
9875
iShares MSCI EAFE Small-Cap ETF
SCZ
$13.2B
$0 ﹤0.01%
+5
New +$355
393 394
395
396 397

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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.