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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
EGAN icon
5576
CALL
eGain
EGAN
$187M
$87K ﹤0.01%
74
+64
+640% +$905
MERC icon
5577
CALL
Mercer International
MERC
$42.3M
$87K ﹤0.01%
+85
New +$680
MNSO icon
5578
CALL
MINISO
MNSO
$3.88B
$87K ﹤0.01%
+33
New +$714
NUS icon
5579
CALL
Nu Skin
NUS
$252M
$87K ﹤0.01%
16
-23
-59% -$1.21K
RGS icon
5580
CALL
Regis Corp
RGS
$68.4M
$87K ﹤0.01%
5
+4
+400% +$609
NARI
5581
CALL
DELISTED
Inari Medical, Inc. Common Stock
NARI
$87K ﹤0.01%
10
+8
+400% +$565
SRCL
5582
DELISTED
Stericycle Inc
SRCL
$87K ﹤0.01%
+1,261
New +$86.3K
EVOP
5583
DELISTED
EVO Payments, Inc. Class A Common Stock
EVOP
$87K ﹤0.01%
+3,243
New +$81.4K
ARD
5584
PUT
DELISTED
Ardagh Group S.A. Class A Common Shares
ARD
$87K ﹤0.01%
51
+21
+70% +$349
SGG
5585
DELISTED
iPath Series B Bloomberg Sugar Subindex Total ReturnSM ETN
SGG
$87K ﹤0.01%
1,885
+932
+98% +$40.8K
ACHC icon
5586
Acadia Healthcare
ACHC
$2.76B
$86K ﹤0.01%
+1,729
New +$68.9K
AMRX icon
5587
Amneal Pharmaceuticals
AMRX
$5.85B
$86K ﹤0.01%
18,905
+6,875
+57% +$30.5K
ARAY icon
5588
PUT
Accuray
ARAY
$32M
$86K ﹤0.01%
207
+181
+696% +$664
ATEN icon
5589
A10 Networks
ATEN
$2.13B
$86K ﹤0.01%
8,790
-25,448
-74% -$200K
CRBP icon
5590
Corbus Pharmaceuticals
CRBP
$166M
$86K ﹤0.01%
2,298
-6,736
-75% -$252K
EBC icon
5591
CALL
Eastern Bankshares
EBC
$5.26B
$86K ﹤0.01%
+53
New +$753
EEFT icon
5592
CALL
Euronet Worldwide
EEFT
$2.72B
$86K ﹤0.01%
6
-10
-63% -$1.16K
ESNT icon
5593
PUT
Essent Group
ESNT
$6.08B
$86K ﹤0.01%
20
-69
-78% -$2.98K
IYJ icon
5594
iShares US Industrials ETF
IYJ
$1.98B
$86K ﹤0.01%
894
+36
+4% +$3.29K
NFBK
5595
CALL
DELISTED
Northfield Bancorp
NFBK
$86K ﹤0.01%
+70
New +$776
NGL icon
5596
PUT
NGL Energy Partners
NGL
$2.05B
$86K ﹤0.01%
361
+347
+2,479% +$1.03K
OPCH icon
5597
Option Care Health
OPCH
$3.45B
$86K ﹤0.01%
5,525
-2,577
-32% -$38.3K
OPI
5598
CALL
DELISTED
Office Properties Income Trust
OPI
$86K ﹤0.01%
38
+24
+171% +$524
PLAB icon
5599
Photronics
PLAB
$1.79B
$86K ﹤0.01%
+7,786
New +$85.2K
QNCX icon
5600
CALL
Quince Therapeutics
QNCX
$22.9M
– –
0
– –
222 223
224
225 226

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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.