Simplex Trading Portfolio holdings
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.
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
State Street Financial Select Sector SPDR ETF
XLF
|
+$42.6M |
| 2 |
Shopify
SHOP
|
+$39.6M |
| 3 |
iShares China Large-Cap ETF
FXI
|
+$35.4M |
| 4 |
Verizon
VZ
|
+$34.1M |
| 5 |
KraneShares CSI China Internet ETF
KWEB
|
+$34.1M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
AMC Entertainment Holdings
AMC
|
+$49.5M |
| 2 |
GE Aerospace
GE
|
+$35.2M |
| 3 |
Carnival Corporation Ltd
CCL
|
+$30.5M |
| 4 |
Advanced Micro Devices
AMD
|
+$28.8M |
| 5 |
Micron Technology
MU
|
+$23.7M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Technology | 0.61% |
| 2 | Consumer Discretionary | 0.43% |
| 3 | Healthcare | 0.35% |
| 4 | Communication Services | 0.23% |
| 5 | Financials | 0.21% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
|
ANAT
1626
CALL
DELISTED
American National Group, Inc. Common Stock
ANAT
| $3.02M | ﹤0.01% |
16,000
+15,300
| +2,186% | +$2.9M |
|
|
NVTA
1627
CALL
DELISTED
Invitae Corporation
NVTA
| $3.02M | ﹤0.01% |
197,600
+128,600
| +186% | +$2.78M |
|
1628
CALL
AGNC Investment
AGNC
$12.3B
| $3.02M | ﹤0.01% |
200,500
-254,600
| -56% | -$4.03M |
|
|
AUY
1629
DELISTED
Yamana Gold, Inc.
AUY
| $3.01M | ﹤0.01% |
714,407
+510,096
| +250% | +$2.11M |
|
|
HAPN
1630
PUT
Happen Inc
HAPN
$2.08B
| $3.01M | ﹤0.01% |
124,600
+63,000
| +102% | +$2.13M |
|
1631
CALL
Tyler Technologies
TYL
$12.2B
| $3.01M | ﹤0.01% |
5,600
+4,200
| +300% | +$2.17M |
|
1632
PUT
Truist Financial
TFC
$63.2B
| $3.01M | ﹤0.01% |
55,900
-64,313
| -53% | -$3.93M |
|
1633
CALL
ALPS REIT Dividend Dogs ETF
RDOG
$11.6M
| $3.01M | ﹤0.01% |
285,900
-44,100
| -13% | -$2.25M |
|
|
DQ
1634
CALL
Daqo New Energy
DQ
$790M
| $3M | ﹤0.01% |
74,500
+12,900
| +21% | +$750K |
|
1635
CALL
State Street
STT
$50.9B
| $3M | ﹤0.01% |
32,300
+21,300
| +194% | +$2.01M |
|
1636
PUT
H&R Block
HRB
$5.18B
| $3M | ﹤0.01% |
127,400
-7,800
| -6% | -$189K |
|
1637
Invesco S&P 500 Equal Weight ETF
RSP
$96.1B
| $3M | ﹤0.01% |
18,408
-80
| -0.4% | -$12.6K |
|
1638
Elastic
ESTC
$6.1B
| $2.99M | ﹤0.01% |
24,281
+10,852
| +81% | +$1.64M |
|
|
HZON
1639
CALL
DELISTED
Horizon Acquisition Corporation II
HZON
| $2.98M | ﹤0.01% |
303,500
-158,400
| -34% | -$1.56M |
|
1640
Vertex Pharmaceuticals
VRTX
$121B
| $2.98M | ﹤0.01% |
13,565
+4,265
| +46% | +$829K |
|
1641
CALL
KKR & Co
KKR
$89.2B
| $2.97M | ﹤0.01% |
39,900
+300
| +0.8% | +$22.1K |
|
1642
CALL
Lumentum
LITE
$59.4B
| $2.97M | ﹤0.01% |
28,100
-5,500
| -16% | -$501K |
|
1643
PUT
Lamb Weston
LW
$6.82B
| $2.97M | ﹤0.01% |
46,800
+39,500
| +541% | +$2.28M |
|
1644
PUT
Editas Medicine
EDIT
$399M
| $2.96M | ﹤0.01% |
111,700
-2,400
| -2% | -$82.6K |
|
1645
Sherwin-Williams
SHW
$78.3B
| $2.96M | ﹤0.01% |
8,419
-3,338
| -28% | -$1.08M |
|
1646
PUT
New Oriental
EDU
$7.84B
| $2.96M | ﹤0.01% |
141,090
+72,480
| +106% | +$1.56M |
|
|
DVAX
1647
CALL
DELISTED
Dynavax Technologies
DVAX
| $2.96M | ﹤0.01% |
210,400
+10,700
| +5% | +$176K |
|
1648
CALL
Parker-Hannifin
PH
$125B
| $2.96M | ﹤0.01% |
9,300
+7,000
| +304% | +$2.17M |
|
|
PIPP
1649
CALL
DELISTED
Pine Island Acquisition Corp.
PIPP
| $2.96M | ﹤0.01% |
300,100
+279,000
| +1,322% | +$2.78M |
|
|
CONX
1650
CALL
DELISTED
CONX Corp. Class A Common Stock
CONX
| $2.95M | ﹤0.01% |
300,700
+274,200
| +1,035% | +$2.69M |
|
Similar funds
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 withdrew a net $10.8B in Q4 2021, closing 1,645 positions and reducing 4,258 holdings. Its most notable exit was Carnival Corporation Ltd, an estimated $30.5M position sold in full.
By sector, the portfolio is most concentrated in Technology at 0.61% of assets, up from 0.49% a quarter earlier, followed by Consumer Discretionary and Healthcare.
Against the trend, Simplex Trading opened a new position in iShares China Large-Cap ETF worth $33M.
- 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 2,269 new positions and closed 1,645 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.