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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
SVC
9976
Service Properties Trust
SVC
$986M
$0 ﹤0.01%
270
-2,231
-89% -$134K
SVC
9977
PUT
Service Properties Trust
SVC
$986M
– –
-36
Closed -$207K
SVXY icon
9978
ProShares Short VIX Short-Term Futures ETF
SVXY
$258M
$0 ﹤0.01%
31,420
+31,220
+15,610% +$651K
SWK icon
9979
Stanley Black & Decker
SWK
$14.7B
– –
-20,277
Closed -$3.68M
SWBI icon
9980
Smith & Wesson
SWBI
$578M
– –
-32,538
Closed -$592K
SYK icon
9981
Stryker
SYK
$116B
– –
-4,889
Closed -$1.17M
SYNA icon
9982
Synaptics
SYNA
$3.87B
– –
-6,569
Closed -$800K
SYRE icon
9983
Spyre Therapeutics
SYRE
$7.85B
– –
-5
Closed -$959
TALO icon
9984
Talos Energy
TALO
$2.81B
– –
-487
Closed -$5.25K
TAN icon
9985
Invesco Solar ETF
TAN
$1.03B
$0 ﹤0.01%
27,598
+25,976
+1,601% +$2.73M
TBBK icon
9986
CALL
The Bancorp
TBBK
$2.73B
– –
-30
Closed -$40K
TBI
9987
Trueblue
TBI
$300M
– –
-145
Closed -$2K
TBI
9988
PUT
Trueblue
TBI
$300M
– –
-98
Closed -$183K
TBPH icon
9989
Theravance Biopharma
TBPH
$887M
– –
-15
Closed -$285
TBT icon
9990
ProShares Trust UltraShort Lehman 20+ Year Treasury
TBT
$302M
$0 ﹤0.01%
116,746
-141,081
-55% -$2.73M
TCMD icon
9991
Tactile Systems Technology
TCMD
$495M
– –
-5,102
Closed -$273K
TDS icon
9992
Telephone and Data Systems
TDS
$4.35B
– –
-3,104
Closed -$63.4K
TDW icon
9993
CALL
Tidewater
TDW
$4.69B
– –
-9
Closed -$7K
TEAM icon
9994
CALL
Atlassian
TEAM
$48B
– –
-900
Closed -$21M
TEAM icon
9995
Atlassian
TEAM
$48B
$0 ﹤0.01%
13,168
-5,972
-31% -$1.39M
TEAM icon
9996
PUT
Atlassian
TEAM
$48B
– –
-2,853
Closed -$66.7M
TEO icon
9997
CALL
Telecom Argentina
TEO
$5.61B
– –
-35
Closed -$22K
TEO icon
9998
Telecom Argentina
TEO
$5.61B
– –
-2,046
Closed -$12.5K
TEO icon
9999
PUT
Telecom Argentina
TEO
$5.61B
– –
-103
Closed -$66K
TFIN icon
10000
CALL
Triumph Financial Inc
TFIN
$1.66B
– –
-3
Closed -$14K
398 399
400
401 402

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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.