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 |
iShares Russell 2000 ETF
IWM
|
+$67.5M |
| 2 |
Palantir
PLTR
|
+$64.7M |
| 3 |
PARA
Paramount Global Class B
PARA
|
+$31.5M |
| 4 |
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
|
+$30.7M |
| 5 |
Carnival Corporation Ltd
CCL
|
+$25.7M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
Amazon
AMZN
|
+$66M |
| 2 |
Tesla
TSLA
|
+$53.7M |
| 3 |
Alphabet (Google) Class C
GOOG
|
+$38.1M |
| 4 |
Invesco QQQ Trust
QQQ
|
+$37.6M |
| 5 |
AutoZone
AZO
|
+$28.5M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Technology | 0.65% |
| 2 | Consumer Discretionary | 0.49% |
| 3 | Healthcare | 0.32% |
| 4 | Financials | 0.3% |
| 5 | Industrials | 0.29% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
2026
CALL
Emergent Biosolutions
EBS
$375M
| $1.4M | ﹤0.01% |
+151
| New | +$15.5K |
|
2027
HDFC Bank
HDB
$119B
| $1.4M | ﹤0.01% |
+36,068
| New | +$1.41M |
|
2028
CALL
Sturm, Ruger & Co
RGR
$610M
| $1.4M | ﹤0.01% |
212
-163
| -43% | -$11.2K |
|
2029
CALL
SL Green Realty
SLG
$3.88B
| $1.4M | ﹤0.01% |
201
-43
| -18% | -$2.9K |
|
|
2030
PUT
SL Green Realty
SLG
$3.88B
| $1.4M | ﹤0.01% |
201
-186
| -48% | -$12.6K |
|
2031
PUT
Ecopetrol
EC
$32.9B
| $1.4M | ﹤0.01% |
1,092
+1,053
| +2,700% | +$13.6K |
|
2032
BGC Group
BGC
$5.58B
| $1.4M | ﹤0.01% |
289,397
+231,995
| +404% | +$987K |
|
2033
PUT
Axalta
AXTA
$7.01B
| $1.4M | ﹤0.01% |
472
-793
| -63% | -$22.7K |
|
2034
CALL
ProShares Ultra S&P500
SSO
$7.82B
| $1.4M | ﹤0.01% |
2,452
-1,856
| -43% | -$44.9K |
|
|
NAGE
2035
PUT
Niagen Bioscience
NAGE
$256M
| $1.39M | ﹤0.01% |
+1,491
| New | +$11.8K |
|
2036
CALL
Invesco Equal Weight 0-30 Year Treasury ETF
GOVI
$1.22B
| $1.39M | ﹤0.01% |
279
-424
| -60% | -$15.5K |
|
2037
PUT
Radware
RDWR
$1.24B
| $1.39M | ﹤0.01% |
533
+333
| +167% | +$9.11K |
|
|
DAY
2038
PUT
DELISTED
Dayforce
DAY
| $1.39M | ﹤0.01% |
165
-84
| -34% | -$7.85K |
|
|
THCA
2039
PUT
DELISTED
Tuscan Holdings Corp. II Common Stock
THCA
| $1.39M | ﹤0.01% |
+1,378
| New | +$14.7K |
|
2040
CALL
Itaú Unibanco
ITUB
$91.3B
| $1.39M | ﹤0.01% |
3,845
-763
| -17% | -$2.88K |
|
2041
MongoDB
MDB
$24B
| $1.39M | ﹤0.01% |
5,190
-7,777
| -60% | -$2.76M |
|
2042
CALL
Hawaiian Electric Industries
HE
$2.33B
| $1.39M | ﹤0.01% |
312
+278
| +818% | +$10.2K |
|
|
HAPN
2043
PUT
Happen Inc
HAPN
$2.08B
| $1.39M | ﹤0.01% |
839
+77
| +10% | +$1.01K |
|
2044
PUT
Jefferies Financial Group
JEF
$12.9B
| $1.38M | ﹤0.01% |
481
+400
| +494% | +$10.9K |
|
2045
CVS Health
CVS
$137B
| $1.38M | ﹤0.01% |
+18,390
| New | +$1.34M |
|
2046
CALL
UDR
UDR
$12.9B
| $1.38M | ﹤0.01% |
315
-132
| -30% | -$5.46K |
|
|
UPH
2047
PUT
DELISTED
UpHealth, Inc.
UPH
| $1.38M | ﹤0.01% |
138
+84
| +156% | +$8.68K |
|
|
TWNK
2048
CALL
DELISTED
Hostess Brands, Inc. Class A Common Stock
TWNK
| $1.38M | ﹤0.01% |
961
+771
| +406% | +$11.3K |
|
2049
PUT
PennyMac Financial
PFSI
$4.38B
| $1.38M | ﹤0.01% |
206
-323
| -61% | -$20K |
|
|
RBAC
2050
PUT
DELISTED
RedBall Acquisition Corp.
RBAC
| $1.38M | ﹤0.01% |
1,382
+138
| +11% | +$1.46K |
|
Similar funds
Simplex Trading's Q1 2021 Portfolio in Review
As of Q1 2021, Simplex Trading held 10,706 positions worth $55.7B, down 28% from $77.2B the previous quarter. Its ten largest holdings account for 43% of the portfolio.
Simplex Trading withdrew a net $23.5B in Q1 2021, closing 1,706 positions and reducing 3,151 holdings. Its most notable exit was Alphabet (Google) Class C, an estimated $38.1M position sold in full.
By sector, the portfolio is most concentrated in Technology at 0.65% of assets, up from 0.37% a quarter earlier, followed by Consumer Discretionary and Healthcare.
Against the trend, Simplex Trading opened a new position in Pfizer worth $16.8M.
- Simplex Trading's largest Q1 2021 buy was Pfizer: 464,628 shares worth $16.8M.
- Simplex Trading added most to iShares Russell 2000 ETF in Q1 2021, an estimated $67.5M increase.
- Simplex Trading's biggest Q1 2021 reduction was Amazon, cutting an estimated $66M.
- Simplex Trading fully exited Alphabet (Google) Class C in Q1 2021, selling an estimated $38.1M.
- Simplex Trading's ten largest holdings make up 43% of its $55.7B portfolio in Q1 2021.
- Simplex Trading opened 2,258 new positions and closed 1,706 in Q1 2021.
- Simplex Trading's portfolio value fell 28% quarter-over-quarter to $55.7B.
Based on Simplex Trading's 13F filing for Q1 2021, filed 26 Apr 2021.