Simplex Trading Portfolio holdings
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.
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
iShares Russell 2000 ETF
IWM
|
+$67.5M |
| 2 |
Palantir
PLTR
|
+$64.7M |
| 3 |
PARA
Paramount Global Class B
PARA
|
+$31.5M |
| 4 |
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
|
+$30.7M |
| 5 |
Carnival Corporation Ltd
CCL
|
+$25.7M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
Amazon
AMZN
|
+$66M |
| 2 |
Tesla
TSLA
|
+$53.7M |
| 3 |
Alphabet (Google) Class C
GOOG
|
+$38.1M |
| 4 |
Invesco QQQ Trust
QQQ
|
+$37.6M |
| 5 |
AutoZone
AZO
|
+$28.5M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Technology | 0.65% |
| 2 | Consumer Discretionary | 0.49% |
| 3 | Healthcare | 0.32% |
| 4 | Financials | 0.3% |
| 5 | Industrials | 0.29% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
76
CALL
Snowflake
SNOW
$94.2B
| $94.9M | 0.17% |
+4,141
| New | +$1.11M |
|
77
PUT
Johnson & Johnson
JNJ
$603B
| $94.4M | 0.17% |
5,743
+715
| +14% | +$116K |
|
|
78
PUT
Snowflake
SNOW
$94.2B
| $92.7M | 0.17% |
+4,045
| New | +$1.08M |
|
79
PUT
Snap
SNAP
$7.67B
| $92.4M | 0.17% |
17,662
+2,008
| +13% | +$115K |
|
80
CALL
Applied Materials
AMAT
$448B
| $92M | 0.17% |
+6,883
| New | +$759K |
|
|
81
PUT
AutoZone
AZO
$49.2B
| $89.2M | 0.16% |
635
+493
| +347% | +$610K |
|
82
CALL
AT&T
T
$155B
| $87.2M | 0.16% |
38,154
+6,577
| +21% | +$145K |
|
83
PUT
Pfizer
PFE
$142B
| $86.7M | 0.16% |
31,934
+9,102
| +40% | +$323K |
|
84
CALL
JD.com
JD
$41.1B
| $86.4M | 0.16% |
10,251
+310
| +3% | +$28.4K |
|
85
PUT
General Motors
GM
$71.7B
| $86.2M | 0.15% |
14,998
+5,420
| +57% | +$288K |
|
|
86
CALL
General Motors
GM
$71.7B
| $86M | 0.15% |
14,969
+5,492
| +58% | +$292K |
|
87
PUT
Bank of America
BAC
$430B
| $83.5M | 0.15% |
21,577
+1,129
| +6% | +$39K |
|
88
CALL
Merck
MRK
$312B
| $83.2M | 0.15% |
+11,313
| New | +$834K |
|
89
CALL
Caterpillar
CAT
$410B
| $82.4M | 0.15% |
3,554
+425
| +14% | +$88K |
|
90
PUT
American Airlines Group
AAL
$10.1B
| $82.2M | 0.15% |
34,392
-2,653
| -7% | -$51.2K |
|
91
PUT
Beyond Meat
BYND
$314M
| $81M | 0.15% |
+6,226
| New | +$915K |
|
92
PUT
ServiceNow
NOW
$105B
| $80.8M | 0.15% |
8,075
+65
| +0.8% | +$6.86K |
|
93
CALL
Lockheed Martin
LMT
$117B
| $78.6M | 0.14% |
2,127
+1,097
| +107% | +$376K |
|
94
CALL
United Airlines
UAL
$38.2B
| $78.3M | 0.14% |
13,604
-139
| -1% | -$6.79K |
|
95
CALL
RTX Corp
RTX
$261B
| $75.3M | 0.14% |
4,292
-2,437
| -36% | -$178K |
|
96
CALL
iShares Morningstar Value ETF
ILCV
$1.3B
| $75.2M | 0.14% |
38,986
+8,846
| +29% | +$520K |
|
97
CALL
Starbucks
SBUX
$119B
| $75M | 0.13% |
6,868
-1,009
| -13% | -$106K |
|
98
CALL
Chevron
CVX
$381B
| $74M | 0.13% |
7,066
-224
| -3% | -$21.9K |
|
|
UWC
99
PUT
DELISTED
PROSHARES TR ULTRA RUSSELL3000
UWC
| $73.6M | 0.13% |
9,109
+2,588
| +40% | +$20.9M |
|
|
100
PUT
iShares Morningstar Value ETF
ILCV
$1.3B
| $72.4M | 0.13% |
55,896
+1,962
| +4% | +$115K |
|
Similar funds
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 withdrew a net $23.5B in Q1 2021, closing 1,706 positions and reducing 3,151 holdings. Its most notable exit was Alphabet (Google) Class C, an estimated $38.1M position sold in full.
By sector, the portfolio is most concentrated in Technology at 0.65% of assets, up from 0.37% a quarter earlier, followed by Consumer Discretionary and Healthcare.
Against the trend, Simplex Trading opened a new position in Pfizer worth $16.8M.
- 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 2,258 new positions and closed 1,706 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.