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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
ATOM icon
6326
PUT
Atomera
ATOM
$173M
$43K ﹤0.01%
27
-153
-85% -$1.6K
BBW icon
6327
PUT
Build-A-Bear
BBW
$445M
$43K ﹤0.01%
103
+73
+243% +$281
CENX icon
6328
PUT
Century Aluminum
CENX
$4.22B
$43K ﹤0.01%
39
+22
+129% +$200
DNOW icon
6329
CALL
DNOW Inc
DNOW
$2.44B
$43K ﹤0.01%
60
-27
-31% -$152
DORM icon
6330
PUT
Dorman Products
DORM
$4.22B
$43K ﹤0.01%
5
-142
-97% -$13.2K
DRRX
6331
DELISTED
DURECT Corp
DRRX
$43K ﹤0.01%
2,109
+1,941
+1,155% +$36.9K
EFV icon
6332
iShares MSCI EAFE Value ETF
EFV
$28.3B
$43K ﹤0.01%
915
+115
+14% +$5.07K
GFF icon
6333
Griffon
GFF
$4.02B
$43K ﹤0.01%
2,121
+1,736
+451% +$37.3K
HCAT icon
6334
CALL
Health Catalyst
HCAT
$160M
$43K ﹤0.01%
10
-27
-73% -$996
IONS icon
6335
Ionis Pharmaceuticals
IONS
$8.93B
$43K ﹤0.01%
+775
New +$38.6K
KBR icon
6336
PUT
KBR
KBR
$4.56B
$43K ﹤0.01%
14
-101
-88% -$2.66K
ONT
6337
Onterris Inc
ONT
$731M
$43K ﹤0.01%
+1,407
New +$40K
MRCC
6338
PUT
DELISTED
Monroe Capital Corp
MRCC
$43K ﹤0.01%
54
-150
-74% -$1.16K
NGNE icon
6339
PUT
Neurogene
NGNE
$672M
$43K ﹤0.01%
2
– –
NHTC icon
6340
PUT
Natural Health Trends
NHTC
$14.8M
$43K ﹤0.01%
88
+36
+69% +$200
IMDX
6341
Insight Molecular Diagnostics
IMDX
$141M
$43K ﹤0.01%
+911
New +$33.4K
PLUR icon
6342
PUT
Pluri
PLUR
$17M
$43K ﹤0.01%
8
-55
-87% -$4.01K
AIXC
6343
PUT
AIxCrypto Holdings Inc
AIXC
$13.2M
– –
0
– –
RPAY icon
6344
CALL
Repay Holdings
RPAY
$335M
$43K ﹤0.01%
16
-67
-81% -$1.63K
SHEN icon
6345
CALL
Shenandoah Telecom
SHEN
$703M
$43K ﹤0.01%
10
+9
+900% +$404
SLRC icon
6346
CALL
SLR Investment Corp
SLRC
$704M
$43K ﹤0.01%
25
+22
+733% +$373
TIGR
6347
CALL
UP Fintech Holding
TIGR
$856M
$43K ﹤0.01%
55
+49
+817% +$272
TMQ
6348
PUT
Trilogy Metals
TMQ
$504M
$43K ﹤0.01%
+218
New +$387
VCEL icon
6349
CALL
Vericel Corp
VCEL
$2.38B
$43K ﹤0.01%
14
-390
-97% -$9.28K
XNCR icon
6350
PUT
Xencor
XNCR
$1.45B
$43K ﹤0.01%
+10
New +$414
252 253
254
255 256

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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.