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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
-4.08%
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
$127B
AUM Growth
+$5.5B
Cap. Flow
+$11.9B
Cap. Flow %
9.37%
Top 10 Hldgs %
44.01%
Holding
10,417
New
1,399
Increased
3,690
Reduced
3,364
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 Technology 0.44%
2 Consumer Discretionary 0.32%
3 Healthcare 0.22%
4 Financials 0.17%
5 Communication Services 0.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
UIS icon
9876
Unisys
UIS
$248M
– –
-2,294
Closed -$9.7K
UIS icon
9877
PUT
Unisys
UIS
$248M
– –
-400
Closed -$1K
UNF icon
9878
Unifirst Corp
UNF
$5.25B
– –
-40
Closed -$6K
UNF icon
9879
PUT
Unifirst Corp
UNF
$5.25B
– –
-100
Closed -$15K
UNL icon
9880
United States 12 Month Natural Gas Fund
UNL
$13.8M
– –
-611
Closed -$6.85K
UNM icon
9881
Unum
UNM
$14B
– –
-46,643
Closed -$2.28M
UONE icon
9882
Urban One Class A
UONE
$22.5M
– –
-375
Closed -$20.7K
UPS icon
9883
United Parcel Service
UPS
$98.5B
– –
-9,932
Closed -$1.71M
URA icon
9884
Global X Uranium ETF
URA
$5.67B
– –
-56,341
Closed -$1.22M
URE icon
9885
ProShares Ultra Real Estate
URE
$57.9M
– –
-257
Closed -$14K
USAC icon
9886
USA Compression Partners
USAC
$3.9B
– –
-8,217
Closed -$172K
USAU icon
9887
US Gold Corp
USAU
$232M
– –
-8,991
Closed -$35.5K
USIO icon
9888
CALL
Usio Inc
USIO
$55.7M
– –
-1,300
Closed -$2K
AD
9889
Array Digital Infrastructure
AD
$3B
– –
-1,160
Closed -$37.6K
USNA icon
9890
Usana Health Sciences
USNA
$409M
– –
-102
Closed -$6.38K
USPH icon
9891
US Physical Therapy
USPH
$1.13B
– –
-116
Closed -$12.5K
UTSL icon
9892
Direxion Daily Utilities Bull 3X ETF
UTSL
$47M
$0 ﹤0.01%
+11
New +$261
UTZ icon
9893
Utz Brands
UTZ
$1.24B
– –
-2,429
Closed -$37.4K
UXIN
9894
Uxin Ltd
UXIN
$337M
– –
-801
Closed -$13K
VAC icon
9895
Marriott Vacations Worldwide
VAC
$3.33B
– –
-729
Closed -$83.1K
VANI icon
9896
Vivani Medical
VANI
$120M
– –
-585
Closed -$644
VATE icon
9897
PUT
INNOVATE Corp
VATE
$110M
– –
-250
Closed -$4K
VAW icon
9898
Vanguard Materials ETF
VAW
$2.99B
– –
-37
Closed -$6K
VBTX
9899
PUT
DELISTED
Veritex Holdings
VBTX
– –
-500
Closed -$8K
VCTR icon
9900
CALL
Victory Capital Holdings
VCTR
$6B
– –
-300
Closed -$9K
394 395
396
397 398

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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 deployed $11.9B of net new capital in Q3 2023, opening 1,399 new positions and adding to 3,690 existing holdings. Its largest new stake was Amazon: 841,102 shares worth $107M.

By sector, the portfolio is most concentrated in Technology at 0.44% of assets, up from 0.41% a quarter earlier, followed by Consumer Discretionary and Healthcare.

On the sell side, the largest reduction was Netflix, an estimated $27.1M trimmed.

  • 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 1,399 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.