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Simplex Trading

Simplex Trading Portfolio holdings

AUM $149B
1-Year Est. Return 62.07%
 

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
+12.69%
1 Year Est. Return
+62.07%
3 Year Est. Return
+116.86%
5 Year Est. Return
+116.02%
10 Year Est. Return
+774.44%
AUM
$73.5B
AUM Growth
+$10.8B
Cap. Flow
-$1.16B
Cap. Flow %
-1.58%
Top 10 Hldgs %
42.78%
Holding
9,056
New
1,403
Increased
3,135
Reduced
3,122
Closed
1,191

Top Buys

Rank Stock Value
1
AMZN icon
Amazon
AMZN
+$102M
2
TSM icon
TSMC
TSM
+$27.8M
3
JPM icon
JPMorgan Chase
JPM
+$22.4M
4
BA icon
Boeing
BA
+$19.4M
5
XOM icon
ExxonMobil
XOM
+$14.7M

Top Sells

Rank Stock Value
1
GLD icon
SPDR Gold Trust
GLD
+$95.5M
2
QQQ icon
Invesco QQQ Trust
QQQ
+$79.6M
3
TSLA icon
Tesla
TSLA
+$75.3M
4
NVDA icon
NVIDIA
NVDA
+$51.6M
5
EFA icon
iShares MSCI EAFE ETF
EFA
+$40.5M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 0.53%
2 Technology 0.4%
3 Healthcare 0.22%
4 Financials 0.21%
5 Communication Services 0.18%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GSHD icon
5301
Goosehead Insurance
GSHD
$2.25B
$68K ﹤0.01%
794
-1,553
-66% -$141K
JEF icon
5302
PUT
Jefferies Financial Group
JEF
$12.4B
$68K ﹤0.01%
40
-83
-67% -$1.36K
LAUR icon
5303
Laureate Education
LAUR
$5.18B
$68K ﹤0.01%
5,176
-2,446
-32% -$29.4K
NWBI icon
5304
PUT
Northwest Bancshares
NWBI
$2.29B
$68K ﹤0.01%
74
+70
+1,750% +$692
OXM icon
5305
CALL
Oxford Industries
OXM
$557M
$68K ﹤0.01%
17
– –
PRTA icon
5306
Prothena Corp
PRTA
$429M
$68K ﹤0.01%
6,862
+5,561
+427% +$66.9K
SSL icon
5307
Sasol
SSL
$7.41B
$68K ﹤0.01%
8,996
-216
-2% -$1.78K
TFX icon
5308
CALL
Teleflex
TFX
$5.85B
$68K ﹤0.01%
2
-12
-86% -$4.44K
TRAK icon
5309
CALL
ReposiTrak
TRAK
$157M
$68K ﹤0.01%
139
+52
+60% +$242
TTMI icon
5310
CALL
TTM Technologies
TTMI
$12.3B
$68K ﹤0.01%
60
+20
+50% +$234
VOE icon
5311
Vanguard Morningstar Mid-Cap Value ETF
VOE
$23.7B
$68K ﹤0.01%
+679
New +$68.8K
X
5312
DELISTED
US Steel
X
$68K ﹤0.01%
9,400
– –
EMAN
5313
CALL
DELISTED
eMagin Corporation
EMAN
$68K ﹤0.01%
537
+377
+236% +$450
MRLN
5314
CALL
DELISTED
Marlin Business Services Corp
MRLN
$68K ﹤0.01%
97
+91
+1,517% +$663
AGIO icon
5315
Agios Pharmaceuticals
AGIO
$1.91B
$67K ﹤0.01%
1,915
-268
-12% -$11.7K
AZUL
5316
PUT
DELISTED
Azul
AZUL
$67K ﹤0.01%
51
-127
-71% -$1.63K
BF.B icon
5317
CALL
Brown-Forman Class B
BF.B
$13.2B
$67K ﹤0.01%
9
+7
+350% +$501
BGC icon
5318
CALL
BGC Group
BGC
$5.51B
$67K ﹤0.01%
281
+195
+227% +$509
COLD icon
5319
CALL
Americold
COLD
$4.06B
$67K ﹤0.01%
19
-429
-96% -$16.2K
COO icon
5320
CALL
Cooper Companies
COO
$13.9B
$67K ﹤0.01%
8
-332
-98% -$25.5K
GLAD icon
5321
CALL
Gladstone Capital
GLAD
$427M
$67K ﹤0.01%
46
-9
-16% -$133
GNSS icon
5322
CALL
Genasys
GNSS
$77.9M
$67K ﹤0.01%
110
-3
-3% -$14
HASI icon
5323
CALL
Hannon Armstrong Sustainable Infrastructure Capital
HASI
$4.82B
$67K ﹤0.01%
16
-16
-50% -$597
IBIO icon
5324
PUT
iBio
IBIO
$68.1M
$67K ﹤0.01%
+1
New +$1.45K
IRDM icon
5325
Iridium Communications
IRDM
$4.94B
$67K ﹤0.01%
2,657
-3,165
-54% -$87.1K
211 212
213
214 215

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Simplex Trading's Q3 2020 Portfolio in Review

As of Q3 2020, Simplex Trading held 9,056 positions worth $73.5B, up 17% from $62.7B the previous quarter. Its ten largest holdings account for 43% of the portfolio.

Simplex Trading's Q3 2020 filing shows 1,403 new, 3,135 increased, 3,122 reduced and 1,191 closed positions. Its largest new stake was Goldman Sachs: 60,397 shares worth $12.1M. The largest sale was SPDR Gold Trust, an estimated $95.5M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 0.53% of assets, up from 0.47% a quarter earlier, followed by Technology and Healthcare.

  • Simplex Trading's largest Q3 2020 buy was Goldman Sachs: 60,397 shares worth $12.1M.
  • Simplex Trading added most to Amazon in Q3 2020, an estimated $102M increase.
  • Simplex Trading's biggest Q3 2020 reduction was SPDR Gold Trust, cutting an estimated $95.5M.
  • Simplex Trading fully exited iShares MSCI EAFE ETF in Q3 2020, selling an estimated $40.5M.
  • Simplex Trading's ten largest holdings make up 43% of its $73.5B portfolio in Q3 2020.
  • Simplex Trading opened 1,403 new positions and closed 1,191 in Q3 2020.
  • Simplex Trading's portfolio value rose 17% quarter-over-quarter to $73.5B.

Based on Simplex Trading's 13F filing for Q3 2020, filed 14 Oct 2020.