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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
AOS icon
6126
A.O. Smith
AOS
$8.55B
$52K ﹤0.01%
964
+565
+142% +$31.1K
BHR
6127
Braemar Hotels & Resorts
BHR
$163M
$52K ﹤0.01%
11,333
+4,536
+67% +$15.9K
BOOT icon
6128
PUT
Boot Barn
BOOT
$4.58B
$52K ﹤0.01%
12
+5
+71% +$188
CLW icon
6129
PUT
Clearwater Paper
CLW
$349M
$52K ﹤0.01%
14
-86
-86% -$3.21K
GOSS icon
6130
PUT
Gossamer Bio
GOSS
$101M
$52K ﹤0.01%
54
-30
-36% -$296
HCI icon
6131
CALL
HCI Group
HCI
$2.34B
$52K ﹤0.01%
10
+9
+900% +$455
IBOC icon
6132
PUT
International Bancshares
IBOC
$4.77B
$52K ﹤0.01%
14
+4
+40% +$127
IGMS
6133
CALL
DELISTED
IGM Biosciences
IGMS
$52K ﹤0.01%
6
-1
-14% -$70
NTCT icon
6134
CALL
NETSCOUT
NTCT
$2.83B
$52K ﹤0.01%
19
-4
-17% -$96
OLP
6135
One Liberty Properties
OLP
$542M
$52K ﹤0.01%
+2,592
New +$46.4K
OPRX icon
6136
CALL
OptimizeRx
OPRX
$120M
$52K ﹤0.01%
17
-40
-70% -$980
ORC
6137
CALL
Orchid Island Capital
ORC
$1.31B
$52K ﹤0.01%
20
-268
-93% -$7.11K
SLS icon
6138
CALL
SELLAS Life Sciences
SLS
$1.99B
$52K ﹤0.01%
+91
New +$364
THRM icon
6139
Gentherm
THRM
$1.32B
$52K ﹤0.01%
807
+320
+66% +$17.3K
ABTC
6140
CALL
American Bitcoin Corp
ABTC
$379M
– –
0
– –
SIEN
6141
CALL
DELISTED
Sientra, Inc.
SIEN
$52K ﹤0.01%
13
-104
-89% -$4.66K
SRC
6142
CALL
DELISTED
SPIRIT REALTY CAPITAL, INC.
SRC
$52K ﹤0.01%
13
-46
-78% -$1.66K
ZNH
6143
DELISTED
China Southern Airlines Company Limited
ZNH
$52K ﹤0.01%
1,780
+1,380
+345% +$40.8K
SAFM
6144
DELISTED
Sanderson Farms Inc
SAFM
$52K ﹤0.01%
396
-98
-20% -$12.9K
PEI
6145
PUT
DELISTED
Pennsylvania Real Estate Investment Trust
PEI
$52K ﹤0.01%
35
+25
+250% +$282
AIA icon
6146
iShares Asia 50 ETF
AIA
$4.3B
$51K ﹤0.01%
+596
New +$47.6K
BEPC icon
6147
PUT
Brookfield Renewable
BEPC
$5.86B
$51K ﹤0.01%
7
-5
-42% -$240
BPT
6148
CALL
DELISTED
BP Prudhoe Bay Royalty Trust
BPT
$51K ﹤0.01%
215
-56
-21% -$113
CMP icon
6149
Compass Minerals
CMP
$1.23B
$51K ﹤0.01%
+831
New +$51.5K
DADA
6150
DELISTED
Dada Nexus
DADA
$51K ﹤0.01%
+1,401
New +$52K
244 245
246
247 248

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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.