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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
ANH
10551
CALL
DELISTED
Anworth Mortgage Asset Corporation
ANH
– –
-12
Closed -$3K
ANH
10552
PUT
DELISTED
Anworth Mortgage Asset Corporation
ANH
– –
-13
Closed -$3K
QEP
10553
CALL
DELISTED
QEP RESOURCES, INC.
QEP
– –
-1,842
Closed -$440K
QEP
10554
DELISTED
QEP RESOURCES, INC.
QEP
– –
-32,360
Closed -$77K
QEP
10555
PUT
DELISTED
QEP RESOURCES, INC.
QEP
– –
-765
Closed -$182K
RLH
10556
CALL
DELISTED
Red Lions Hotel Corporation
RLH
– –
-8
Closed -$2K
VIE
10557
DELISTED
Viela Bio, Inc. Common Stock
VIE
– –
-29
Closed -$1K
VIE
10558
PUT
DELISTED
Viela Bio, Inc. Common Stock
VIE
– –
-4
Closed -$14K
OXFD
10559
CALL
DELISTED
Oxford Immunotec Global PLC Ordinary Shares
OXFD
– –
-4
Closed -$6K
CZZ
10560
CALL
DELISTED
Cosan Limited
CZZ
– –
-95
Closed -$175K
CZZ
10561
PUT
DELISTED
Cosan Limited
CZZ
– –
-7
Closed -$12K
TCP
10562
CALL
DELISTED
TC Pipelines LP
TCP
– –
-19
Closed -$55K
TCP
10563
DELISTED
TC Pipelines LP
TCP
– –
-1,205
Closed -$35K
TCP
10564
PUT
DELISTED
TC Pipelines LP
TCP
– –
-95
Closed -$279K
PRGX
10565
DELISTED
PRGX Global, Inc.
PRGX
– –
-245
Closed -$1K
ACIA
10566
CALL
DELISTED
Acacia Communications Inc
ACIA
– –
-126
Closed -$919K
ACIA
10567
DELISTED
Acacia Communications Inc
ACIA
– –
-6,739
Closed -$491K
ACIA
10568
PUT
DELISTED
Acacia Communications Inc
ACIA
– –
-490
Closed -$3.58M
EV
10569
DELISTED
Eaton Vance Corp.
EV
– –
-565
Closed –
ZAGG
10570
CALL
DELISTED
ZAGG Inc Common Stock (Delaware)
ZAGG
– –
-165
Closed -$68K
ZAGG
10571
DELISTED
ZAGG Inc Common Stock (Delaware)
ZAGG
– –
-4,171
Closed -$17K
ZAGG
10572
PUT
DELISTED
ZAGG Inc Common Stock (Delaware)
ZAGG
– –
-59
Closed -$24K
CBMG
10573
DELISTED
Cellular Biomedicine Group, Inc.
CBMG
– –
-26,210
Closed –
TNAV
10574
CALL
DELISTED
Telenav Inc.
TNAV
– –
-47
Closed -$22K
VRTU
10575
DELISTED
Virtusa Corporation
VRTU
– –
-252
Closed -$12K
421 422
423
424 425

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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.