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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
VLUE icon
10126
iShares MSCI USA Value Factor ETF
VLUE
$9.82B
– –
-253
Closed -$21K
VMC icon
10127
Vulcan Materials
VMC
$34B
– –
-5,816
Closed -$943K
VNQ icon
10128
Vanguard Real Estate ETF
VNQ
$37.9B
– –
-200
Closed -$16K
VNRX icon
10129
PUT
VolitionRx Ltd
VNRX
$6.61M
– –
0
– -$1K
VOD icon
10130
Vodafone
VOD
$39.1B
– –
-104,764
Closed -$1.89M
VREX icon
10131
Varex Imaging
VREX
$780M
– –
-9,528
Closed -$204K
VREX icon
10132
PUT
Varex Imaging
VREX
$780M
– –
-4
Closed -$6K
VRNT
10133
DELISTED
Verint Systems
VRNT
– –
-34,190
Closed -$1.53M
VSAT icon
10134
CALL
Viasat
VSAT
$10.4B
– –
-39
Closed -$127K
VSAT icon
10135
Viasat
VSAT
$10.4B
$0 ﹤0.01%
28,868
+19,687
+214% +$953K
VSAT icon
10136
PUT
Viasat
VSAT
$10.4B
– –
-27
Closed -$88K
VSTM icon
10137
Verastem
VSTM
$743M
– –
-784
Closed -$22K
VT icon
10138
Vanguard Total World Stock ETF
VT
$82.5B
– –
-1,016
Closed -$94K
VTRS icon
10139
CALL
Viatris
VTRS
$19.4B
– –
-403
Closed -$755K
VTRS icon
10140
Viatris
VTRS
$19.4B
$0 ﹤0.01%
173,472
-5,230
-3% -$85.2K
VTRS icon
10141
PUT
Viatris
VTRS
$19.4B
– –
-4,481
Closed -$8.4M
VXX icon
10142
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$128M
$0 ﹤0.01%
22,660
+22,208
+4,913% +$22.2M
VYM icon
10143
CALL
Vanguard High Dividend Yield ETF
VYM
$83.3B
– –
-348
Closed -$3.18M
VYM icon
10144
Vanguard High Dividend Yield ETF
VYM
$83.3B
$0 ﹤0.01%
7,715
+6,874
+817% +$663K
VYM icon
10145
PUT
Vanguard High Dividend Yield ETF
VYM
$83.3B
– –
-266
Closed -$2.43M
VYX icon
10146
NCR Voyix
VYX
$1.26B
– –
-1,381
Closed -$30.4K
WATT icon
10147
Energous
WATT
$59.3M
– –
-460
Closed -$1.06M
WB icon
10148
CALL
Weibo
WB
$1.65B
– –
-777
Closed -$3.18M
WB icon
10149
Weibo
WB
$1.65B
$0 ﹤0.01%
4,436
-5,778
-57% -$291K
WB icon
10150
PUT
Weibo
WB
$1.65B
– –
-639
Closed -$2.62M
404 405
406
407 408

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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.