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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
QTTB icon
10026
CALL
Q32 Bio
QTTB
$448M
– –
-261
Closed -$4K
QTTB icon
10027
Q32 Bio
QTTB
$448M
$0 ﹤0.01%
+27
New +$550
TRAW icon
10028
CALL
Traws Pharma
TRAW
$8.26M
– –
-60
Closed -$1K
TRAW icon
10029
Traws Pharma
TRAW
$8.26M
$0 ﹤0.01%
+4
New +$91
XYLO
10030
CALL
DELISTED
Xylo Technologies
XYLO
– –
-338
Closed -$4K
XYLO
10031
DELISTED
Xylo Technologies
XYLO
– –
-11
Closed –
TE
10032
T1 Energy
TE
$1.68B
– –
-62,945
Closed -$452K
ATYR
10033
CALL
aTyr Pharma
ATYR
$47.8M
– –
-49,500
Closed -$106K
ONIT
10034
CALL
Onity Group
ONIT
$337M
– –
-1,700
Closed -$50K
CMBT
10035
CMB.TECH NV
CMBT
$4.45B
$0 ﹤0.01%
34
-37,099
-100% -$611K
UFOX
10036
Defiance Space and Connective Tech ETF
UFOX
$890M
– –
-240
Closed -$8K
SMC
10037
Summit Midstream
SMC
$419M
– –
-468
Closed -$7K
SMC
10038
PUT
Summit Midstream
SMC
$419M
– –
-1,000
Closed -$16K
TXNM
10039
CALL
TXNM Energy Inc
TXNM
$6.45B
– –
-100
Closed -$4K
NBIS
10040
Nebius Group N.V.
NBIS
$55.4B
$0 ﹤0.01%
25,787
– –
CCEC
10041
CALL
Capital Clean Energy Carriers
CCEC
$1.37B
– –
-2,500
Closed -$34K
CCEC
10042
Capital Clean Energy Carriers
CCEC
$1.37B
– –
-6,165
Closed -$85K
CCEC
10043
PUT
Capital Clean Energy Carriers
CCEC
$1.37B
– –
-7,000
Closed -$96K
ORKA
10044
CALL
Oruka Therapeutics
ORKA
$5.58B
– –
-108
Closed -$2K
INVX
10045
PUT
Innovex International
INVX
$1.9B
– –
-400
Closed -$9K
GPUS
10046
PUT
Hyperscale Data Inc
GPUS
$60.8M
– –
-7
Closed -$3K
IVF
10047
INVO Fertility Inc
IVF
$1.86M
– –
0
– –
LUCK
10048
Lucky Strike Entertainment
LUCK
$974M
– –
-7,604
Closed -$83.6K
PHLT
10049
DELISTED
Performant Healthcare Inc
PHLT
– –
-465
Closed -$1K
NPKI
10050
CALL
NPK International
NPKI
$1.25B
– –
-5,400
Closed -$28K
400 401
402
403 404

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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.