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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
CATO icon
10501
Cato Corp
CATO
$51M
– –
-8,816
Closed -$152K
CATY icon
10502
CALL
Cathay General Bancorp
CATY
$4.15B
– –
-100
Closed -$3K
CB icon
10503
Chubb
CB
$131B
– –
-15
Closed -$2.82K
CBOE icon
10504
Cboe Global Markets
CBOE
$30.7B
– –
-39,143
Closed -$5.05M
CBRE icon
10505
CBRE Group
CBRE
$41.6B
– –
-95
Closed -$9.73K
CBRL icon
10506
Cracker Barrel
CBRL
$1.19B
– –
-6,311
Closed -$842K
CBT icon
10507
Cabot Corp
CBT
$4.16B
– –
-9,296
Closed -$511K
CBU icon
10508
CALL
Community Bank
CBU
$3.34B
– –
-1,500
Closed -$114K
CBZ icon
10509
CBIZ
CBZ
$2.97B
– –
-383
Closed -$12K
CCI icon
10510
Crown Castle
CCI
$32.6B
– –
-4,668
Closed -$862K
CCL icon
10511
Carnival Corporation Ltd
CCL
$32B
– –
-1,428,103
Closed -$30.5M
CCO icon
10512
PUT
Clear Channel Outdoor Holdings
CCO
$1.22B
– –
-1,200
Closed -$3K
CDLX icon
10513
Cardlytics
CDLX
$21.1M
– –
-38
Closed -$29.1K
CDTX
10514
CALL
DELISTED
Cidara Therapeutics
CDTX
– –
-30
Closed -$1K
CECO icon
10515
CALL
Ceco Environmental
CECO
$4.68B
– –
-200
Closed -$1K
CECO icon
10516
PUT
Ceco Environmental
CECO
$4.68B
– –
-500
Closed -$3K
CERT icon
10517
Certara
CERT
$1.18B
– –
-176
Closed -$5.92K
CFFN icon
10518
CALL
Capitol Federal Financial
CFFN
$1.09B
– –
-500
Closed -$5K
CFR icon
10519
Cullen/Frost Bankers
CFR
$10.2B
– –
-1,084
Closed -$139K
CGBD icon
10520
PUT
Carlyle Secured Lending
CGBD
$790M
– –
-800
Closed -$10K
CGC
10521
Canopy Growth
CGC
$444M
$0 ﹤0.01%
11
-6,685
-100% -$794K
CHAU icon
10522
Direxion Daily CSI 300 China A Share Bull 2X ETF
CHAU
$94M
– –
-5,743
Closed -$244K
CHDN icon
10523
Churchill Downs
CHDN
$6.03B
– –
-1,976
Closed -$235K
CHDN icon
10524
PUT
Churchill Downs
CHDN
$6.03B
– –
-32,600
Closed -$3.26M
CHEF icon
10525
Chefs' Warehouse
CHEF
$4.56B
– –
-4,637
Closed -$153K
419 420
421
422 423

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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.