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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
-4.86%
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
$88.5B
AUM Growth
-$5.62B
Cap. Flow
-$2.04B
Cap. Flow %
-2.3%
Top 10 Hldgs %
38.07%
Holding
11,570
New
1,564
Increased
4,281
Reduced
3,851
Closed
1,575

Top Buys

Rank Stock Value
1
MSFT icon
Microsoft
MSFT
+$114M
2
NVDA icon
NVIDIA
NVDA
+$85.9M
3
C icon
Citigroup
C
+$61.5M
4
BRK.B icon
Berkshire Hathaway Class B
BRK.B
+$45.5M
5
PFE icon
Pfizer
PFE
+$41.6M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$467M
2
VOO icon
Vanguard S&P 500 ETF
VOO
+$71.2M
3
META icon
Meta Platforms (Facebook)
META
+$47.6M
4
INTC icon
Intel
INTC
+$41.9M
5
TSM icon
TSMC
TSM
+$35.9M

Sector Composition

Rank Sector Weight
1 Technology 0.51%
2 Financials 0.35%
3 Consumer Discretionary 0.3%
4 Healthcare 0.25%
5 Industrials 0.18%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FR icon
10201
PUT
First Industrial Realty Trust
FR
$8.88B
– –
-100
Closed -$4K
FRHC icon
10202
PUT
Freedom Holding
FRHC
$9.61B
– –
-8,700
Closed -$385K
FRSH icon
10203
Freshworks
FRSH
$2.84B
– –
-23,564
Closed -$333K
FRSX
10204
CALL
Foresight Autonomous Holdings
FRSX
$4.02M
– –
-14
Closed -$1K
FSK icon
10205
PUT
FS KKR Capital
FSK
$2.98B
– –
-91,100
Closed -$1.77M
FSP
10206
CALL
Franklin Street Properties
FSP
$44.8M
– –
-1,300
Closed -$5K
FTEK icon
10207
CALL
Fuel Tech
FTEK
$48M
– –
-5,100
Closed -$6K
FTEK icon
10208
PUT
Fuel Tech
FTEK
$48M
– –
-31,900
Closed -$39K
FTGC icon
10209
PUT
First Trust Global Tactical Commodity Strategy Fund
FTGC
$2.99B
– –
-200
Closed -$5K
FTHM icon
10210
CALL
Fathom Holdings
FTHM
$28.2M
– –
-17,700
Closed -$138K
FTHM icon
10211
PUT
Fathom Holdings
FTHM
$28.2M
– –
-1,600
Closed -$12K
FTV icon
10212
Fortive
FTV
$19B
– –
-1,502
Closed -$70.2K
FUL icon
10213
CALL
H.B. Fuller
FUL
$3B
– –
-100
Closed -$6K
FULC icon
10214
Fulcrum Therapeutics
FULC
$248M
– –
-14,005
Closed -$100K
FWONK icon
10215
Liberty Media Series C
FWONK
$24.3B
– –
-2,091
Closed -$128K
FXP icon
10216
ProShares UltraShort FTSE China 50 of ProShares Trust
FXP
$6.3M
– –
-36
Closed -$2K
GAIA icon
10217
Gaia
GAIA
$47.3M
– –
-3,875
Closed -$13.6K
GAIA icon
10218
PUT
Gaia
GAIA
$47.3M
– –
-20,200
Closed -$85K
GAIN icon
10219
Gladstone Investment Corp
GAIN
$635M
$0 ﹤0.01%
20
-4,712
-100% -$67.8K
GAME icon
10220
GameSquare
GAME
$36.8M
$0 ﹤0.01%
159
-6
-4% -$20
GAN
10221
DELISTED
GAN Ltd
GAN
– –
-7,586
Closed -$23K
GANX icon
10222
Gain Therapeutics
GANX
$74.6M
$0 ﹤0.01%
+100
New +$376
GASS icon
10223
CALL
StealthGas
GASS
$328M
– –
-800
Closed -$2K
GAU
10224
Galiano Gold
GAU
$486M
– –
-200
Closed –
GBDC icon
10225
Golub Capital BDC
GBDC
$3.33B
– –
-7,524
Closed -$102K
407 408
409
410 411

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Simplex Trading's Q3 2022 Portfolio in Review

As of Q3 2022, Simplex Trading held 11,570 positions worth $88.5B, down 6% from $94.1B the previous quarter. Its ten largest holdings account for 38% of the portfolio.

Simplex Trading's Q3 2022 filing shows 1,564 new, 4,281 increased, 3,851 reduced and 1,575 closed positions. Its largest new stake was Microsoft: 432,062 shares worth $101M. The largest sale was Apple, an estimated $467M.

By sector, the portfolio is most concentrated in Technology at 0.51% of assets, down from 0.84% a quarter earlier, followed by Financials and Consumer Discretionary.

  • Simplex Trading's largest Q3 2022 buy was Microsoft: 432,062 shares worth $101M.
  • Simplex Trading added most to NVIDIA in Q3 2022, an estimated $85.9M increase.
  • Simplex Trading's biggest Q3 2022 reduction was Apple, cutting an estimated $467M.
  • Simplex Trading fully exited iShares Core S&P 500 ETF in Q3 2022, selling an estimated $34.3M.
  • Simplex Trading's ten largest holdings make up 38% of its $88.5B portfolio in Q3 2022.
  • Simplex Trading opened 1,564 new positions and closed 1,575 in Q3 2022.
  • Simplex Trading's portfolio value fell 6% quarter-over-quarter to $88.5B.

Based on Simplex Trading's 13F filing for Q3 2022, filed 4 Nov 2022.