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 | |
|---|---|---|---|---|---|---|
1
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$787B
| $10.1B | 18.15% |
254,877
+78,804
| +45% | +$30.4M |
|
|
2
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$787B
| $4.29B | 7.7% |
108,174
+20,769
| +24% | +$8.01M |
|
|
3
CALL
Amazon
AMZN
$2.66T
| $2.14B | 3.85% |
138,460
+1,200
| +0.9% | +$190K |
|
|
4
PUT
Amazon
AMZN
$2.66T
| $1.87B | 3.35% |
120,600
-6,980
| -5% | -$1.11M |
|
5
CALL
Apple
AAPL
$4.81T
| $1.62B | 2.92% |
132,877
+11,878
| +10% | +$1.52M |
|
|
6
PUT
Apple
AAPL
$4.81T
| $1.45B | 2.61% |
119,029
-1,196
| -1% | -$154K |
|
7
CALL
Meta Platforms (Facebook)
META
$1.63T
| $719M | 1.29% |
24,426
+9,041
| +59% | +$2.43M |
|
8
CALL
Microsoft
MSFT
$2.95T
| $660M | 1.19% |
28,004
+57
| +0.2% | +$13.2K |
|
9
CALL
SPDR Gold Trust
GLD
$132B
| $606M | 1.09% |
37,872
-7,798
| -17% | -$1.31M |
|
|
10
PUT
Microsoft
MSFT
$2.95T
| $599M | 1.08% |
25,401
+1,234
| +5% | +$286K |
|
|
11
PUT
Meta Platforms (Facebook)
META
$1.63T
| $594M | 1.07% |
20,161
+2,661
| +15% | +$716K |
|
|
12
PUT
SPDR Gold Trust
GLD
$132B
| $586M | 1.05% |
36,624
+6,451
| +21% | +$1.08M |
|
13
PUT
iShares S&P 100 ETF
OEF
$20.2B
| $408M | 0.73% |
235,121
-17,085
| -7% | -$3.01M |
|
14
CALL
Boeing
BA
$161B
| $396M | 0.71% |
15,563
+4,530
| +41% | +$1.01M |
|
15
PUT
Netflix
NFLX
$286B
| $379M | 0.68% |
72,670
-2,310
| -3% | -$123K |
|
|
16
PUT
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$46B
| $337M | 0.61% |
10,213
+2,210
| +28% | +$698K |
|
17
PUT
Advanced Micro Devices
AMD
$888B
| $334M | 0.6% |
42,554
+13,544
| +47% | +$1.17M |
|
18
CALL
Salesforce
CRM
$139B
| $292M | 0.53% |
12,554
+5,028
| +67% | +$1.12M |
|
|
19
PUT
Alphabet (Google) Class A
GOOGL
$4.24T
| $288M | 0.52% |
48,200
-26,700
| -36% | -$2.64M |
|
|
20
PUT
Boeing
BA
$161B
| $278M | 0.5% |
10,903
-4,358
| -29% | -$969K |
|
|
21
CALL
Advanced Micro Devices
AMD
$888B
| $262M | 0.47% |
33,327
+7,121
| +27% | +$613K |
|
22
CALL
Baidu
BIDU
$36.8B
| $261M | 0.47% |
12,001
+6,524
| +119% | +$1.7M |
|
|
23
CALL
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$46B
| $260M | 0.47% |
7,885
-915
| -10% | -$289K |
|
24
CALL
Visa
V
$677B
| $252M | 0.45% |
11,904
+3,807
| +47% | +$801K |
|
|
25
CALL
Alphabet (Google) Class A
GOOGL
$4.24T
| $245M | 0.44% |
43,360
-7,640
| -15% | -$754K |
|
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.