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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
BHE icon
5851
CALL
Benchmark Electronics
BHE
$2.85B
$67K ﹤0.01%
25
– –
DESP
5852
CALL
DELISTED
Despegar.com
DESP
$67K ﹤0.01%
+53
New +$509
DMLP icon
5853
CALL
Dorchester Minerals
DMLP
$1.3B
$67K ﹤0.01%
62
-7
-10% -$76
DMC
5854
CALL
Del Monte Corp
DMC
$1.41B
$67K ﹤0.01%
28
+19
+211% +$458
FLS icon
5855
Flowserve
FLS
$9.63B
$67K ﹤0.01%
+1,841
New +$60.2K
HLIT icon
5856
Harmonic Inc
HLIT
$1.22B
$67K ﹤0.01%
9,106
+4,487
+97% +$29.5K
MATW icon
5857
CALL
Matthews International
MATW
$866M
$67K ﹤0.01%
23
+15
+188% +$388
TEF
5858
CALL
DELISTED
Telefonica
TEF
$67K ﹤0.01%
187
+98
+110% +$331
TPH
5859
PUT
DELISTED
Tri Pointe Homes
TPH
$67K ﹤0.01%
39
-123
-76% -$2.17K
TZOO icon
5860
CALL
Travelzoo
TZOO
$73.3M
$67K ﹤0.01%
71
+27
+61% +$232
WIT icon
5861
CALL
Wipro
WIT
$19.3B
$67K ﹤0.01%
238
+188
+376% +$485
EFOR
5862
CALL
Everforth Inc
EFOR
$1.13B
$66K ﹤0.01%
8
+7
+700% +$538
ENS icon
5863
CALL
EnerSys
ENS
$6.74B
$66K ﹤0.01%
8
+7
+700% +$549
ERY icon
5864
Direxion Daily Energy Bear 2X ETF
ERY
$39.8M
$66K ﹤0.01%
+193
New +$98K
GERN icon
5865
Geron
GERN
$860M
$66K ﹤0.01%
41,814
+16,238
+63% +$29.6K
HVT icon
5866
CALL
Haverty Furniture Companies
HVT
$403M
$66K ﹤0.01%
24
+10
+71% +$264
KALV
5867
CALL
DELISTED
KalVista Pharmaceuticals
KALV
$66K ﹤0.01%
+35
New +$600
NOMD icon
5868
PUT
Nomad Foods
NOMD
$1.73B
$66K ﹤0.01%
26
+18
+225% +$445
PFGC icon
5869
CALL
Performance Food Group
PFGC
$18B
$66K ﹤0.01%
14
-6
-30% -$253
PRG icon
5870
PUT
PROG Holdings
PRG
$1.71B
$66K ﹤0.01%
+23
New +$1.19K
TEO icon
5871
PUT
Telecom Argentina
TEO
$5.99B
$66K ﹤0.01%
103
+97
+1,617% +$717
TTNP
5872
PUT
DELISTED
Titan Pharmaceuticals
TTNP
$66K ﹤0.01%
+10
New +$790
VEON icon
5873
CALL
VEON
VEON
$3.66B
$66K ﹤0.01%
18
+13
+260% +$463
WSR
5874
CALL
DELISTED
Whitestone REIT
WSR
$66K ﹤0.01%
84
+34
+68% +$245
WT icon
5875
PUT
WisdomTree
WT
$2.88B
$66K ﹤0.01%
125
+87
+229% +$374
233 234
235
236 237

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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.