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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
DBC icon
6001
PUT
Invesco DB Commodity Index Tracking Fund
DBC
$1.69B
$32K ﹤0.01%
25
+12
+92% +$157
DMLP icon
6002
PUT
Dorchester Minerals
DMLP
$1.29B
$32K ﹤0.01%
31
-15
-33% -$168
EFV icon
6003
iShares MSCI EAFE Value ETF
EFV
$28.4B
$32K ﹤0.01%
800
+700
+700% +$29K
FUL icon
6004
PUT
H.B. Fuller
FUL
$3.01B
$32K ﹤0.01%
7
+2
+40% +$94
GLDD
6005
PUT
DELISTED
Great Lakes Dredge & Dock
GLDD
$32K ﹤0.01%
34
-242
-88% -$2.22K
GOCO
6006
PUT
DELISTED
GoHealth
GOCO
$32K ﹤0.01%
+2
New +$482
LNTH icon
6007
Lantheus
LNTH
$6.51B
$32K ﹤0.01%
2,543
-18,182
-88% -$249K
LYTS icon
6008
LSI Industries
LYTS
$844M
$32K ﹤0.01%
4,880
+4,042
+482% +$26.1K
MGNX icon
6009
PUT
MacroGenics
MGNX
$239M
$32K ﹤0.01%
13
-33
-72% -$901
NCMI icon
6010
PUT
National CineMedia
NCMI
$378M
$32K ﹤0.01%
12
+1
+9% +$31
PKG icon
6011
PUT
Packaging Corp of America
PKG
$22B
$32K ﹤0.01%
3
-45
-94% -$4.6K
ECHO
6012
PUT
EchoStar
ECHO
$24.7B
$32K ﹤0.01%
13
-138
-91% -$3.85K
SCL icon
6013
Stepan Co
SCL
$1.46B
$32K ﹤0.01%
+300
New +$32.8K
SM icon
6014
SM Energy
SM
$7.45B
$32K ﹤0.01%
+20,683
New +$57.8K
SM icon
6015
PUT
SM Energy
SM
$7.45B
$32K ﹤0.01%
204
-10
-5% -$28
TEO icon
6016
CALL
Telecom Argentina
TEO
$5.89B
$32K ﹤0.01%
50
+5
+11% +$40
XERS icon
6017
Xeris Biopharma Holdings
XERS
$1.46B
$32K ﹤0.01%
5,526
+5,053
+1,068% +$20.2K
ENZ
6018
PUT
DELISTED
Enzo Biochem, Inc.
ENZ
$32K ﹤0.01%
154
-35
-19% -$83
AVTA
6019
CALL
DELISTED
Avantax, Inc. Common Stock
AVTA
$32K ﹤0.01%
35
-70
-67% -$774
GLOP
6020
PUT
DELISTED
GASLOG PARTNERS LP
GLOP
$32K ﹤0.01%
98
-362
-79% -$1.43K
JNCE
6021
DELISTED
Jounce Therapeutics, Inc. Common Stock
JNCE
$32K ﹤0.01%
+3,993
New +$24.8K
TRQ
6022
CALL
DELISTED
Turquoise Hill Resources Ltd
TRQ
$32K ﹤0.01%
39
+37
+1,850% +$329
AGM.A icon
6023
CALL
Federal Agricultural Mortgage Class A
AGM.A
$31K ﹤0.01%
5
+1
+25% +$58
AKR icon
6024
Acadia Realty Trust
AKR
$3.04B
$31K ﹤0.01%
+2,984
New +$35.7K
ALEC icon
6025
PUT
Alector
ALEC
$172M
$31K ﹤0.01%
30
+29
+2,900% +$469
239 240
241
242 243

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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.