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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
WMK icon
6451
PUT
Weis Markets
WMK
$1.92B
$38K ﹤0.01%
+8
New +$384
SIEN
6452
DELISTED
Sientra, Inc.
SIEN
$38K ﹤0.01%
987
-243
-20% -$10.9K
MILE
6453
PUT
DELISTED
Metromile, Inc. Common Stock
MILE
$38K ﹤0.01%
+25
New +$336
TVTY
6454
PUT
DELISTED
Tivity Health, Inc. Common Stock
TVTY
$38K ﹤0.01%
20
-23
-53% -$382
COWN
6455
PUT
DELISTED
Cowen Inc. Class A Common Stock
COWN
$38K ﹤0.01%
15
-136
-90% -$3.07K
ATRC icon
6456
AtriCure
ATRC
$2.08B
$37K ﹤0.01%
+679
New +$29.4K
AWI icon
6457
PUT
Armstrong World Industries
AWI
$7.37B
$37K ﹤0.01%
+5
New +$361
CAL icon
6458
Caleres
CAL
$432M
$37K ﹤0.01%
2,415
-16,295
-87% -$182K
CLMT icon
6459
Calumet Specialty Products
CLMT
$3.7B
$37K ﹤0.01%
11,890
+4,788
+67% +$16.7K
DBI icon
6460
PUT
Designer Brands
DBI
$315M
$37K ﹤0.01%
49
-37
-43% -$246
ENLV icon
6461
CALL
Enlivex Ltd
ENLV
$37.9M
$37K ﹤0.01%
+3
New +$482
GL icon
6462
PUT
Globe Life
GL
$14B
$37K ﹤0.01%
4
+1
+33% +$89
ILMN icon
6463
Illumina
ILMN
$29.5B
$37K ﹤0.01%
103
– –
IPI icon
6464
Intrepid Potash
IPI
$476M
$37K ﹤0.01%
1,549
+1,166
+304% +$14.5K
MC icon
6465
PUT
Moelis & Co
MC
$4.85B
$37K ﹤0.01%
8
-8
-50% -$322
NFLX icon
6466
Netflix
NFLX
$307B
$37K ﹤0.01%
700
-415,660
-100% -$21.1M
NGVT icon
6467
PUT
Ingevity
NGVT
$2.46B
$37K ﹤0.01%
5
-40
-89% -$2.6K
PKX icon
6468
POSCO
PKX
$14.7B
$37K ﹤0.01%
+608
New +$32.3K
QUAD icon
6469
Quad
QUAD
$479M
$37K ﹤0.01%
+9,844
New +$30.2K
SAIC icon
6470
PUT
Saic
SAIC
$4.95B
$37K ﹤0.01%
4
-47
-92% -$4.13K
SIGA icon
6471
CALL
SIGA Technologies
SIGA
$240M
$37K ﹤0.01%
+52
New +$366
SNT
6472
CALL
Senstar Technologies
SNT
$39.2M
$37K ﹤0.01%
+96
New +$391
TEN
6473
PUT
Tsakos Energy Navigation Ltd
TEN
$1.19B
$37K ﹤0.01%
47
-52
-53% -$437
GENE
6474
CALL
DELISTED
Genetic Technologies Ltd.
GENE
$37K ﹤0.01%
21
+19
+950% +$314
HALL
6475
PUT
DELISTED
Hallmark Financial Services, Inc.
HALL
$37K ﹤0.01%
11
-6
-35% -$187
257 258
259
260 261

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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.