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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
TPIC
11426
DELISTED
TPI Composites
TPIC
– –
-216
Closed -$5.3K
TPST icon
11427
CALL
Tempest Therapeutics
TPST
$17M
– –
-1,169
Closed -$168K
TPST icon
11428
PUT
Tempest Therapeutics
TPST
$17M
– –
-1,531
Closed -$220K
TPVG icon
11429
TriplePoint Venture Growth BDC
TPVG
$213M
– –
-893
Closed -$15.6K
TQQQ icon
11430
ProShares UltraPro QQQ
TQQQ
$35.9B
– –
-14,744
Closed -$451K
TR icon
11431
Tootsie Roll Industries
TR
$2.91B
– –
-33,898
Closed -$981K
TRAK icon
11432
PUT
ReposiTrak
TRAK
$144M
– –
-15,900
Closed -$87K
TRC icon
11433
Tejon Ranch
TRC
$444M
– –
-3,546
Closed -$54K
TRMK icon
11434
CALL
Trustmark
TRMK
$2.71B
– –
-4,800
Closed -$150K
TRMK icon
11435
PUT
Trustmark
TRMK
$2.71B
– –
-100
Closed -$3K
TRNO icon
11436
Terreno Realty
TRNO
$7.15B
– –
-47
Closed -$3.54K
TRNO icon
11437
PUT
Terreno Realty
TRNO
$7.15B
– –
-100
Closed -$6K
TRS icon
11438
CALL
TriMas Corp
TRS
$1.42B
– –
-80
Closed -$2K
TRST
11439
CALL
Trustco Bank Corp NY
TRST
$986M
– –
-2,500
Closed -$86K
TRUP icon
11440
Trupanion
TRUP
$1.22B
– –
-1,891
Closed -$220K
TRX icon
11441
CALL
TRX Gold Corp
TRX
$377M
– –
-49,000
Closed -$24K
TS icon
11442
Tenaris
TS
$28.5B
– –
-12,373
Closed -$270K
TS icon
11443
PUT
Tenaris
TS
$28.5B
– –
-25,000
Closed -$553K
TSQ icon
11444
CALL
Townsquare Media
TSQ
$102M
– –
-1,200
Closed -$16K
TSQ icon
11445
Townsquare Media
TSQ
$102M
– –
-295
Closed -$3K
TSQ icon
11446
PUT
Townsquare Media
TSQ
$102M
– –
-500
Closed -$6K
TTC icon
11447
Toro Company
TTC
$8.83B
– –
-8,168
Closed -$813K
TTEC icon
11448
TTEC Holdings
TTEC
$68M
– –
-1,917
Closed -$174K
TTI icon
11449
TETRA Technologies
TTI
$1.02B
– –
-24,201
Closed -$74.6K
TTMI icon
11450
TTM Technologies
TTMI
$13.2B
– –
-8,755
Closed -$122K
456 457
458
459 460

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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.