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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
NKTX icon
10551
Nkarta
NKTX
$165M
– –
-6,561
Closed -$93.9K
NL icon
10552
CALL
NLI Holdings
NL
$283M
– –
-600
Closed -$5K
NMFC icon
10553
New Mountain Finance
NMFC
$644M
$0 ﹤0.01%
65
-1,695
-96% -$21.6K
NMR icon
10554
CALL
Nomura Holdings
NMR
$28.6B
– –
-500
Closed -$1K
NMR icon
10555
Nomura Holdings
NMR
$28.6B
$0 ﹤0.01%
69
– –
NNBR icon
10556
NN Inc
NNBR
$264M
– –
-4,006
Closed -$9.71K
NNBR icon
10557
PUT
NN Inc
NNBR
$264M
– –
-1,800
Closed -$4K
NNI icon
10558
PUT
Nelnet
NNI
$4.73B
– –
-100
Closed -$8K
NOBL icon
10559
ProShares S&P 500 Dividend Aristocrats ETF
NOBL
$11.5B
– –
-2,348
Closed -$100K
NOG icon
10560
Northern Oil and Gas
NOG
$2.37B
– –
-33,210
Closed -$938K
NOK icon
10561
Nokia
NOK
$54.3B
– –
-416,803
Closed -$2.03M
NOMD icon
10562
CALL
Nomad Foods
NOMD
$1.63B
– –
-5,600
Closed -$111K
NOTV
10563
DELISTED
Inotiv
NOTV
– –
-87
Closed -$1.6K
NOV icon
10564
NOV
NOV
$7.22B
– –
-51,418
Closed -$865K
NOVA
10565
DELISTED
Sunnova Energy
NOVA
– –
-113,450
Closed -$2.75M
NOW icon
10566
ServiceNow
NOW
$94.8B
– –
-850
Closed -$76.5K
NSP icon
10567
Insperity
NSP
$1.83B
– –
-104
Closed -$11.2K
NSP icon
10568
PUT
Insperity
NSP
$1.83B
– –
-500
Closed -$49K
NSPR icon
10569
InspireMD
NSPR
$32.5M
$0 ﹤0.01%
56
-3
-5% -$5
NSSC icon
10570
Napco Security Technologies
NSSC
$1.27B
– –
-24,821
Closed -$663K
NUVB icon
10571
Nuvation Bio
NUVB
$2.26B
– –
-300
Closed –
NVNO
10572
PUT
enVVeno Medical
NVNO
$6.75M
– –
-20
Closed -$2K
NVST icon
10573
Envista
NVST
$4.26B
– –
-14,094
Closed -$534K
NWN icon
10574
PUT
Northwest Natural Holdings
NWN
$2.16B
– –
-100
Closed -$5K
NWPX icon
10575
NWPX Infrastructure Inc
NWPX
$1.28B
– –
-1,092
Closed -$33.5K
421 422
423
424 425

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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.