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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
+2.77%
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
$99B
AUM Growth
-$8.03B
Cap. Flow
+$505M
Cap. Flow %
0.51%
Top 10 Hldgs %
33.11%
Holding
12,077
New
2,268
Increased
3,786
Reduced
4,257
Closed
1,643

Top Buys

Rank Stock Value
1
XLF icon
State Street Financial Select Sector SPDR ETF
XLF
+$42.6M
2
SHOP icon
Shopify
SHOP
+$39.6M
3
FXI icon
iShares China Large-Cap ETF
FXI
+$35.4M
4
VZ icon
Verizon
VZ
+$34.1M
5
KWEB icon
KraneShares CSI China Internet ETF
KWEB
+$34.1M

Top Sells

Rank Stock Value
1
AMC icon
AMC Entertainment Holdings
AMC
+$49.5M
2
GE icon
GE Aerospace
GE
+$35.2M
3
CCL icon
Carnival Corporation Ltd
CCL
+$30.5M
4
AMD icon
Advanced Micro Devices
AMD
+$28.8M
5
MU icon
Micron Technology
MU
+$23.7M

Sector Composition

Rank Sector Weight
1 Miscellaneous 97.43%
2 Technology 0.63%
3 Consumer Discretionary 0.43%
4 Healthcare 0.36%
5 Communication Services 0.23%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ALV icon
10376
Autoliv
ALV
$8.8B
– –
-3,751
Closed -$368K
ALV icon
10377
PUT
Autoliv
ALV
$8.8B
– –
-5,200
Closed -$509K
AMED
10378
DELISTED
Amedisys
AMED
– –
-529
Closed -$85K
AMGN icon
10379
Amgen
AMGN
$214B
– –
-4,231
Closed -$893K
AMPH icon
10380
Amphastar Pharmaceuticals
AMPH
$975M
– –
-800
Closed -$16.4K
AMSF icon
10381
CALL
AMERISAFE
AMSF
$462M
– –
-1,000
Closed -$60K
AMTX icon
10382
Aemetis
AMTX
$131M
– –
-39,610
Closed -$700K
ANAB icon
10383
CALL
AnaptysBio
ANAB
$1.7B
– –
-1,400
Closed -$36K
ANAB icon
10384
PUT
AnaptysBio
ANAB
$1.7B
– –
-600
Closed -$15K
ANDE icon
10385
PUT
Andersons Inc
ANDE
$2.4B
– –
-400
Closed -$12K
ANIK icon
10386
CALL
Anika Therapeutics
ANIK
$282M
– –
-600
Closed -$26K
ANIK icon
10387
Anika Therapeutics
ANIK
$282M
– –
-512
Closed -$20.5K
ANIP icon
10388
ANI Pharmaceuticals
ANIP
$1.62B
– –
-174
Closed -$7.48K
YDKG
10389
CALL
Yueda Digital Holding
YDKG
$4.89M
– –
-40
Closed -$43K
YDKG
10390
PUT
Yueda Digital Holding
YDKG
$4.89M
– –
-41
Closed -$45K
AON icon
10391
Aon
AON
$67.6B
– –
-31,923
Closed -$9.57M
AORT icon
10392
PUT
Artivion
AORT
$1.24B
– –
-600
Closed -$17K
AP icon
10393
CALL
Ampco-Pittsburgh
AP
$181M
– –
-600
Closed -$3K
APA icon
10394
APA Corp
APA
$15.4B
– –
-29,521
Closed -$784K
APG icon
10395
PUT
APi Group
APG
$17.4B
– –
-13,200
Closed -$189K
APEI icon
10396
CALL
American Public Education
APEI
$836M
– –
-1,100
Closed -$31K
APEI icon
10397
American Public Education
APEI
$836M
– –
-457
Closed -$13K
APEI icon
10398
PUT
American Public Education
APEI
$836M
– –
-2,600
Closed -$73K
API
10399
Agora
API
$347M
– –
-8,960
Closed -$199K
APLT
10400
PUT
DELISTED
Applied Therapeutics
APLT
– –
-9,200
Closed -$198K
414 415
416
417 418

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Simplex Trading's Q4 2021 Portfolio in Review

As of Q4 2021, Simplex Trading held 12,077 positions worth $99B, down 7.5% from $107B the previous quarter. Its ten largest holdings account for 33% of the portfolio.

Simplex Trading's Q4 2021 filing shows 2,268 new, 3,786 increased, 4,257 reduced and 1,643 closed positions. Its largest new stake was iShares China Large-Cap ETF: 902,666 shares worth $33M. The largest sale was AMC Entertainment Holdings, an estimated $49.5M.

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 Q4 2021 buy was iShares China Large-Cap ETF: 902,666 shares worth $33M.
  • Simplex Trading added most to State Street Financial Select Sector SPDR ETF in Q4 2021, an estimated $42.6M increase.
  • Simplex Trading's biggest Q4 2021 reduction was AMC Entertainment Holdings, cutting an estimated $49.5M.
  • Simplex Trading fully exited Carnival Corporation Ltd in Q4 2021, selling an estimated $30.5M.
  • Simplex Trading's ten largest holdings make up 33% of its $99B portfolio in Q4 2021.
  • Simplex Trading opened 2,268 new positions and closed 1,643 in Q4 2021.
  • Simplex Trading's portfolio value fell 7.5% quarter-over-quarter to $99B.

Based on Simplex Trading's 13F filing for Q4 2021, filed 4 Feb 2022.