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 |
Alibaba
BABA
|
+$39.9M |
| 2 |
Invesco QQQ Trust
QQQ
|
+$39M |
| 3 |
Mastercard
MA
|
+$31.3M |
| 4 |
Apple
AAPL
|
+$25.3M |
| 5 |
Alphabet (Google) Class C
GOOG
|
+$25.1M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
JPMorgan Chase
JPM
|
+$52.8M |
| 2 |
TSMC
TSM
|
+$43M |
| 3 |
Amazon
AMZN
|
+$24.7M |
| 4 |
iShares Silver Trust
SLV
|
+$24.2M |
| 5 |
Netflix
NFLX
|
+$21.1M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Consumer Discretionary | 0.65% |
| 2 | Technology | 0.37% |
| 3 | Healthcare | 0.33% |
| 4 | Industrials | 0.21% |
| 5 | Communication Services | 0.19% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
|
ODP
3551
DELISTED
ODP
ODP
| $454K | ﹤0.01% |
+15,518
| New | +$392K |
|
3552
PUT
Simply Good Foods
SMPL
$979M
| $454K | ﹤0.01% |
145
+90
| +164% | +$2.09K |
|
|
UCTT
3553
CALL
Ultra Clean Holdings
UCTT
$3.34B
| $454K | ﹤0.01% |
146
+28
| +24% | +$781 |
|
|
NSTG
3554
PUT
DELISTED
NanoString Technologies, Inc.
NSTG
| $454K | ﹤0.01% |
68
+7
| +11% | +$351 |
|
|
FLY
3555
PUT
DELISTED
Fly Leasing Limited
FLY
| $454K | ﹤0.01% |
461
+447
| +3,193% | +$3.49K |
|
3556
Mattel
MAT
$4.47B
| $452K | ﹤0.01% |
25,935
-106,310
| -80% | -$1.57M |
|
|
CVSA
3557
CALL
Covista Inc
CVSA
$4.15B
| $451K | ﹤0.01% |
133
+125
| +1,563% | +$3.56K |
|
3558
PUT
Carter's
CRI
$1.45B
| $451K | ﹤0.01% |
48
-13
| -21% | -$1.14K |
|
3559
PUT
Green Plains
GPRE
$1.16B
| $451K | ﹤0.01% |
343
+195
| +132% | +$2.96K |
|
3560
CALL
Annaly Capital Management
NLY
$17.2B
| $451K | ﹤0.01% |
134
-23
| -15% | -$712 |
|
3561
CALL
Option Care Health
OPCH
$3.55B
| $451K | ﹤0.01% |
289
+281
| +3,513% | +$4.18K |
|
3562
PUT
Pembina Pipeline
PBA
$29.3B
| $451K | ﹤0.01% |
191
-162
| -46% | -$3.81K |
|
3563
PUT
WD-40
WDFC
$3.16B
| $451K | ﹤0.01% |
17
+2
| +13% | +$484 |
|
3564
Williams-Sonoma
WSM
$28.4B
| $451K | ﹤0.01% |
8,876
-23,246
| -72% | -$1.19M |
|
|
BRFS
3565
PUT
DELISTED
BRF SA
BRFS
| $450K | ﹤0.01% |
1,073
-106
| -9% | -$396 |
|
3566
iShares MSCI Hong Kong ETF
EWH
$1.23B
| $450K | ﹤0.01% |
18,297
-21,656
| -54% | -$505K |
|
3567
PUT
DTE Energy
DTE
$31.2B
| $449K | ﹤0.01% |
43
+32
| +291% | +$3.37K |
|
3568
CALL
Fidus Investment
FDUS
$750M
| $449K | ﹤0.01% |
343
+44
| +15% | +$523 |
|
3569
National Grid
NGG
$82.3B
| $449K | ﹤0.01% |
8,604
-29,285
| -77% | -$1.55M |
|
3570
PUT
Barclays
BCS
$89.1B
| $448K | ﹤0.01% |
561
-419
| -43% | -$2.8K |
|
3571
PUT
Cedar Fair
FUN
$1.83B
| $448K | ﹤0.01% |
114
+45
| +65% | +$1.5K |
|
|
SA
3572
CALL
Seabridge Gold
SA
$2.64B
| $448K | ﹤0.01% |
213
+49
| +30% | +$948 |
|
3573
PUT
Independence Realty Trust
IRT
$3.92B
| $447K | ﹤0.01% |
333
-240
| -42% | -$3.07K |
|
3574
AdvisorShares Pure US Cannabis ETF
MSOS
$846M
| $447K | ﹤0.01% |
+12,254
| New | +$365K |
|
3575
CALL
Pool Corp
POOL
$6.88B
| $447K | ﹤0.01% |
12
-12
| -50% | -$4.18K |
|
Similar funds
Simplex Trading's Q4 2020 Portfolio in Review
As of Q4 2020, Simplex Trading held 9,568 positions worth $77.2B, up 5% from $73.5B the previous quarter. Its ten largest holdings account for 42% of the portfolio.
Simplex Trading's Q4 2020 filing shows 1,711 new, 3,402 increased, 3,106 reduced and 1,157 closed positions. Its largest new stake was Alibaba: 143,630 shares worth $33.4M. The largest sale was JPMorgan Chase, an estimated $52.8M.
By sector, the portfolio is most concentrated in Consumer Discretionary at 0.65% of assets, up from 0.53% a quarter earlier, followed by Technology and Healthcare.
- Simplex Trading's largest Q4 2020 buy was Alibaba: 143,630 shares worth $33.4M.
- Simplex Trading added most to Invesco QQQ Trust in Q4 2020, an estimated $39M increase.
- Simplex Trading's biggest Q4 2020 reduction was JPMorgan Chase, cutting an estimated $52.8M.
- Simplex Trading fully exited Target in Q4 2020, selling an estimated $14.3M.
- Simplex Trading's ten largest holdings make up 42% of its $77.2B portfolio in Q4 2020.
- Simplex Trading opened 1,711 new positions and closed 1,157 in Q4 2020.
- Simplex Trading's portfolio value rose 5% quarter-over-quarter to $77.2B.
Based on Simplex Trading's 13F filing for Q4 2020, filed 2 Feb 2021.