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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
WCN
10151
PUT
Waste Connections
WCN
$41.5B
– –
-5
Closed -$51K
WELL icon
10152
Welltower
WELL
$170B
– –
-22,830
Closed -$1.53M
WFC icon
10153
CALL
Wells Fargo
WFC
$272B
– –
-23,655
Closed -$71.4M
WFC icon
10154
Wells Fargo
WFC
$272B
$0 ﹤0.01%
455,784
+455,584
+227,792% +$16.1M
WFC icon
10155
PUT
Wells Fargo
WFC
$272B
– –
-11,546
Closed -$34.8M
WHD icon
10156
CALL
Cactus
WHD
$4.89B
– –
-7
Closed -$18K
WING icon
10157
CALL
Wingstop
WING
$2.97B
– –
-170
Closed -$2.25M
WING icon
10158
Wingstop
WING
$2.97B
$0 ﹤0.01%
+1,168
New +$164K
WING icon
10159
PUT
Wingstop
WING
$2.97B
– –
-346
Closed -$4.59M
WIX icon
10160
WIX.com
WIX
$3.19B
– –
-6,090
Closed -$1.74M
WKC icon
10161
CALL
World Kinect Corp
WKC
$1.81B
– –
-10
Closed -$31K
WKC icon
10162
World Kinect Corp
WKC
$1.81B
$0 ﹤0.01%
+721
New +$24.5K
WKC icon
10163
PUT
World Kinect Corp
WKC
$1.81B
– –
-32
Closed -$99K
WLDN icon
10164
Willdan Group
WLDN
$1.31B
– –
-53
Closed -$2.44K
WM icon
10165
Waste Management
WM
$87.5B
– –
-7,318
Closed -$855K
WMT icon
10166
CALL
Walmart Inc
WMT
$850B
– –
-32,208
Closed -$155M
WMT icon
10167
Walmart Inc
WMT
$850B
$0 ﹤0.01%
228,996
-215,625
-48% -$9.99M
WMT icon
10168
PUT
Walmart Inc
WMT
$850B
– –
-22,530
Closed -$108M
WSM icon
10169
CALL
Williams-Sonoma
WSM
$26.8B
– –
-170
Closed -$865K
WSM icon
10170
Williams-Sonoma
WSM
$26.8B
$0 ﹤0.01%
13,728
+4,852
+55% +$328K
WSM icon
10171
PUT
Williams-Sonoma
WSM
$26.8B
– –
-1,076
Closed -$5.48M
WTI icon
10172
CALL
W&T Offshore
WTI
$577M
– –
-293
Closed -$63K
WTI icon
10173
W&T Offshore
WTI
$577M
$0 ﹤0.01%
10,530
-10,251
-49% -$31.9K
WTI icon
10174
PUT
W&T Offshore
WTI
$577M
– –
-19
Closed -$4K
WTTR icon
10175
Select Water Solutions
WTTR
$2.59B
– –
-35
Closed -$203
405 406
407
408 409

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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.