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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
+26.79%
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
$77.2B
AUM Growth
+$3.66B
Cap. Flow
-$1.09B
Cap. Flow %
-1.41%
Top 10 Hldgs %
42.09%
Holding
9,568
New
1,711
Increased
3,402
Reduced
3,106
Closed
1,157

Top Buys

Rank Stock Value
1
BABA icon
Alibaba
BABA
+$39.9M
2
QQQ icon
Invesco QQQ Trust
QQQ
+$39M
3
MA icon
Mastercard
MA
+$31.3M
4
AAPL icon
Apple
AAPL
+$25.3M
5
GOOG icon
Alphabet (Google) Class C
GOOG
+$25.1M

Top Sells

Rank Stock Value
1
JPM icon
JPMorgan Chase
JPM
+$52.8M
2
TSM icon
TSMC
TSM
+$43M
3
AMZN icon
Amazon
AMZN
+$24.7M
4
SLV icon
iShares Silver Trust
SLV
+$24.2M
5
NFLX icon
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
COHR
5551
CALL
DELISTED
Coherent Inc
COHR
$90K ﹤0.01%
6
-36
-86% -$4.61K
FPRX
5552
DELISTED
Five Prime Therapeutics, Inc.
FPRX
$90K ﹤0.01%
5,292
+5,108
+2,776% +$64K
HPR
5553
PUT
DELISTED
HighPoint Resources Corporation
HPR
$90K ﹤0.01%
+99
New +$920
JE
5554
CALL
DELISTED
Just Energy Group Inc
JE
$90K ﹤0.01%
193
– –
AEG icon
5555
PUT
Aegon
AEG
$14B
$89K ﹤0.01%
246
-1,375
-85% -$4.2K
AGEN
5556
PUT
Agenus
AGEN
$312M
$89K ﹤0.01%
14
-1
-7% -$74
CLDX icon
5557
PUT
Celldex Therapeutics
CLDX
$2.99B
$89K ﹤0.01%
51
-422
-89% -$7.59K
CRH icon
5558
CALL
CRH
CRH
$63.2B
$89K ﹤0.01%
+21
New +$826
FTEK icon
5559
Fuel Tech
FTEK
$43.9M
$89K ﹤0.01%
+23,070
New +$52.4K
JLL icon
5560
PUT
Jones Lang LaSalle
JLL
$16.5B
$89K ﹤0.01%
6
-74
-93% -$9.5K
MTW icon
5561
PUT
Manitowoc
MTW
$497M
$89K ﹤0.01%
67
-70
-51% -$746
MWA icon
5562
PUT
Mueller Water Products
MWA
$3.95B
$89K ﹤0.01%
72
+57
+380% +$655
SBH icon
5563
CALL
Sally Beauty Holdings
SBH
$1.43B
$89K ﹤0.01%
69
-394
-85% -$4.21K
SLV icon
5564
iShares Silver Trust
SLV
$28B
$89K ﹤0.01%
3,645
-1,065,491
-100% -$24.2M
SNX icon
5565
PUT
TD Synnex
SNX
$20.4B
$89K ﹤0.01%
11
-63
-85% -$4.82K
BERY
5566
PUT
DELISTED
Berry Global Group, Inc.
BERY
$89K ﹤0.01%
17
-40
-70% -$1.91K
GTT
5567
DELISTED
GTT Communications, Inc.
GTT
$89K ﹤0.01%
25,039
-29,749
-54% -$129K
ACLS icon
5568
Axcelis
ACLS
$4.01B
$88K ﹤0.01%
+3,039
New +$78.6K
GMS
5569
PUT
DELISTED
GMS Inc
GMS
$88K ﹤0.01%
+29
New +$808
INVE icon
5570
Identive
INVE
$63.4M
$88K ﹤0.01%
+10,443
New +$71.9K
RJET
5571
CALL
Republic Airways Holdings
RJET
$967M
$88K ﹤0.01%
+9
New +$670
OSW icon
5572
PUT
OneSpaWorld
OSW
$2.62B
$88K ﹤0.01%
87
-231
-73% -$1.83K
TIMB icon
5573
TIM SA
TIMB
$9.16B
$88K ﹤0.01%
6,353
+698
+12% +$8.71K
VSAT icon
5574
PUT
Viasat
VSAT
$10.6B
$88K ﹤0.01%
27
+10
+59% +$344
CORE
5575
CALL
DELISTED
Core Mark Holding Co., Inc.
CORE
$88K ﹤0.01%
30
-7
-19% -$214
221 222
223
224 225

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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.