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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
+22.5%
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
$104B
AUM Growth
+$47.9B
Cap. Flow
+$109M
Cap. Flow %
0.11%
Top 10 Hldgs %
39.88%
Holding
11,184
New
2,248
Increased
6,668
Reduced
1,000
Closed
1,196

Top Buys

Rank Stock Value
1
AMC icon
AMC Entertainment Holdings
AMC
+$39.3M
2
T icon
AT&T
T
+$29.8M
3
NVDA icon
NVIDIA
NVDA
+$28.3M
4
MU icon
Micron Technology
MU
+$22.9M
5
BIDU icon
Baidu
BIDU
+$22.3M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$36.1M
2
TSLA icon
Tesla
TSLA
+$35.2M
3
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$25.9M
4
PLTR icon
Palantir
PLTR
+$25.7M
5
WFC icon
Wells Fargo
WFC
+$20.4M

Sector Composition

Rank Sector Weight
1 Miscellaneous 97.7%
2 Technology 0.48%
3 Consumer Discretionary 0.39%
4 Communication Services 0.28%
5 Healthcare 0.27%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AIXC
10576
CALL
AIxCrypto Holdings Inc
AIXC
$15M
– –
0
– -$15K
QMCO icon
10577
CALL
Quantum Corp
QMCO
$975M
– –
-5
Closed -$85K
QMCO icon
10578
PUT
Quantum Corp
QMCO
$975M
– –
0
– -$3K
QNST icon
10579
CALL
QuinStreet
QNST
$1.07B
– –
-77
Closed -$156K
QQQ icon
10580
Invesco QQQ Trust
QQQ
$490B
– –
-107,332
Closed -$36.1M
QSR icon
10581
Restaurant Brands International
QSR
$28B
– –
-12,127
Closed -$817K
QTEC icon
10582
First Trust NASDAQ-100 Technology Index Fund
QTEC
$4.68B
– –
-86
Closed -$12K
QTRX icon
10583
PUT
Quanterix
QTRX
$127M
– –
-10
Closed -$58K
QUAD icon
10584
Quad
QUAD
$551M
$0 ﹤0.01%
201
+1
+0.5% +$4
RARE icon
10585
PUT
Ultragenyx Pharmaceutical
RARE
$1.51B
– –
-1
Closed -$11K
RAVE icon
10586
RAVE Restaurant Group
RAVE
$43.2M
– –
-80
Closed -$111
RBA icon
10587
RB Global
RBA
$15.5B
– –
-184
Closed -$11.3K
RBBN icon
10588
Ribbon Communications
RBBN
$356M
– –
-52,940
Closed -$405K
RCEL icon
10589
CALL
Avita Medical
RCEL
$346M
– –
-1
Closed -$1K
RCEL icon
10590
PUT
Avita Medical
RCEL
$346M
– –
-33
Closed -$65K
RCKT icon
10591
Rocket Pharmaceuticals
RCKT
$424M
– –
-1,350
Closed -$58.6K
RCKT icon
10592
PUT
Rocket Pharmaceuticals
RCKT
$424M
– –
-38
Closed -$168K
REFR icon
10593
Research Frontiers
REFR
$14.5M
– –
-15,113
Closed -$37.6K
RFIL icon
10594
RF Industries
RFIL
$114M
$0 ﹤0.01%
91
-3,300
-97% -$23.3K
RFL icon
10595
Rafael Holdings
RFL
$133M
– –
-101
Closed -$4.4K
RFL icon
10596
PUT
Rafael Holdings
RFL
$133M
– –
-8
Closed -$31K
RGA icon
10597
Reinsurance Group of America
RGA
$16.5B
– –
-3,014
Closed -$380K
RGNX icon
10598
Regenxbio
RGNX
$590M
– –
-385
Closed -$13.8K
RH icon
10599
RH
RH
$2.8B
– –
-70
Closed -$45.5K
RICK icon
10600
RCI Hospitality Holdings
RICK
$224M
– –
-12,650
Closed -$888K
422 423
424
425 426

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Simplex Trading's Q2 2021 Portfolio in Review

As of Q2 2021, Simplex Trading held 11,184 positions worth $104B, up 86% from $55.7B the previous quarter. Its ten largest holdings account for 40% of the portfolio.

Simplex Trading's Q2 2021 filing shows 2,248 new, 6,668 increased, 1,000 reduced and 1,196 closed positions. Its largest new stake was AT&T: 1,311,180 shares worth $28.5M. The largest sale was Invesco QQQ Trust, an estimated $36.1M.

By sector, the portfolio is most concentrated in Miscellaneous at 98% of assets, up from 97% a quarter earlier, followed by Technology and Consumer Discretionary.

  • Simplex Trading's largest Q2 2021 buy was AT&T: 1,311,180 shares worth $28.5M.
  • Simplex Trading added most to AMC Entertainment Holdings in Q2 2021, an estimated $39.3M increase.
  • Simplex Trading's biggest Q2 2021 reduction was State Street SPDR Dow Jones Industrial Average ETF Trust, cutting an estimated $25.9M.
  • Simplex Trading fully exited Invesco QQQ Trust in Q2 2021, selling an estimated $36.1M.
  • Simplex Trading's ten largest holdings make up 40% of its $104B portfolio in Q2 2021.
  • Simplex Trading opened 2,248 new positions and closed 1,196 in Q2 2021.
  • Simplex Trading's portfolio value rose 86% quarter-over-quarter to $104B.

Based on Simplex Trading's 13F filing for Q2 2021, filed 12 Aug 2021.