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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
CRWS icon
10576
Crown Crafts
CRWS
$29.1M
– –
-135
Closed -$1K
CSCO icon
10577
Cisco
CSCO
$429B
– –
-129,467
Closed -$7.4M
CSGS
10578
DELISTED
CSG Systems International
CSGS
– –
-116
Closed -$6.15K
CSR
10579
Centerspace
CSR
$886M
– –
-144
Closed -$14.9K
CSR
10580
PUT
Centerspace
CSR
$886M
– –
-100
Closed -$7K
CSTE icon
10581
PUT
Caesarstone
CSTE
$104M
– –
-10,600
Closed -$157K
CSV icon
10582
Carriage Services
CSV
$531M
– –
-1,421
Closed -$73.6K
CSTL icon
10583
CALL
Castle Biosciences
CSTL
$1,000M
– –
-700
Closed -$49K
CTMX icon
10584
CytomX Therapeutics
CTMX
$789M
– –
-6,168
Closed -$36.1K
CTOS icon
10585
CALL
Custom Truck One Source
CTOS
$2.11B
– –
-1,400
Closed -$13K
CTOS icon
10586
PUT
Custom Truck One Source
CTOS
$2.11B
– –
-4,500
Closed -$42K
CTRE icon
10587
CareTrust REIT
CTRE
$9.3B
– –
-193
Closed -$4.09K
CTRN icon
10588
Citi Trends
CTRN
$580M
– –
-3,904
Closed -$312K
CTSO icon
10589
PUT
Cytosorbents Corp
CTSO
$424M
– –
-1,655
Closed -$249K
CTXR icon
10590
PUT
Citius Pharmaceuticals
CTXR
$16.5M
– –
-1,368
Closed -$88K
CULP icon
10591
Culp Inc
CULP
$44.1M
– –
-10,504
Closed -$121K
CULP icon
10592
PUT
Culp Inc
CULP
$44.1M
– –
-79,300
Closed -$1.29M
CVE icon
10593
Cenovus Energy
CVE
$60.9B
– –
-128,580
Closed -$1.54M
CVI icon
10594
PUT
CVR Energy
CVI
$4.6B
– –
-11,400
Closed -$67K
CVM icon
10595
CEL-SCI Corp
CVM
$30.1M
– –
-1,748
Closed -$453K
CVNA icon
10596
Carvana
CVNA
$53.9B
– –
-42,125
Closed -$2.32M
CVS icon
10597
CVS Health
CVS
$123B
– –
-37,397
Closed -$3.46M
CW icon
10598
Curtiss-Wright
CW
$21.3B
– –
-231
Closed -$27K
CW icon
10599
PUT
Curtiss-Wright
CW
$21.3B
– –
-1,000
Closed -$119K
CWCO icon
10600
Consolidated Water Co
CWCO
$463M
– –
-281
Closed -$3.14K
422 423
424
425 426

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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.