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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
MNOV icon
11026
MediciNova
MNOV
$80.2M
– –
-13,718
Closed -$45.8K
MNOV icon
11027
PUT
MediciNova
MNOV
$80.2M
– –
-3,200
Closed -$13K
MNRO icon
11028
CALL
Monro
MNRO
$415M
– –
-1,300
Closed -$83K
MNRO icon
11029
Monro
MNRO
$415M
– –
-507
Closed -$30K
MNSO icon
11030
MINISO
MNSO
$2.86B
– –
-2,297
Closed -$31.9K
MNST icon
11031
Monster Beverage
MNST
$85.8B
– –
-1,384
Closed -$30.8K
MO icon
11032
Altria Group
MO
$115B
– –
-162,316
Closed -$7.44M
CALY
11033
Callaway Golf Company
CALY
$2.84B
– –
-5,354
Closed -$149K
MODV
11034
DELISTED
ModivCare
MODV
$0 ﹤0.01%
3
-478
-99% -$73.9K
MODV
11035
PUT
DELISTED
ModivCare
MODV
– –
-4,100
Closed -$712K
MOG.A icon
11036
Moog Inc Class A
MOG.A
$11.8B
– –
-200
Closed -$16K
MOG.A icon
11037
PUT
Moog Inc Class A
MOG.A
$11.8B
– –
-200
Closed -$16K
MOMO
11038
Hello Group
MOMO
$710M
– –
-114,286
Closed -$1.31M
MPAA icon
11039
CALL
Motorcar Parts of America
MPAA
$229M
– –
-500
Closed -$11K
MPX
11040
PUT
DELISTED
Marine Products Corp
MPX
– –
-100
Closed -$1K
MRCC
11041
DELISTED
Monroe Capital Corp
MRCC
– –
-26
Closed -$282
MREO
11042
CALL
Mereo BioPharma
MREO
$39.9M
– –
-7,800
Closed -$24K
MRKR icon
11043
CALL
Marker Therapeutics
MRKR
$19.7M
– –
-8,640
Closed -$248K
MRSN
11044
DELISTED
Mersana Therapeutics
MRSN
– –
-7
Closed -$1.36K
MRSN
11045
PUT
DELISTED
Mersana Therapeutics
MRSN
– –
-112
Closed -$38K
MRVI icon
11046
Maravai LifeSciences
MRVI
$1.09B
– –
-2,171
Closed -$87.9K
MS icon
11047
Morgan Stanley
MS
$342B
– –
-95,934
Closed -$9.56M
MSCI icon
11048
MSCI
MSCI
$41.7B
– –
-1,827
Closed -$1.15M
MSTB icon
11049
PUT
LHA Market State Tactical Beta ETF
MSTB
$199M
– –
-23,300
Closed -$608K
MSTR icon
11050
Strategy Inc
MSTR
$56.7B
– –
-281,790
Closed -$19.4M
440 441
442
443 444

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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.