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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
LQDA icon
6551
Liquidia Corp
LQDA
$7.72B
$15K ﹤0.01%
+3,055
New +$17.7K
LSTA icon
6552
Lisata Therapeutics
LSTA
$10.6M
$15K ﹤0.01%
+568
New +$18K
MANH icon
6553
Manhattan Associates
MANH
$9.95B
$15K ﹤0.01%
159
-453
-74% -$42.9K
MUR icon
6554
Murphy Oil
MUR
$5.25B
$15K ﹤0.01%
1,779
-10,201
-85% -$131K
MWA icon
6555
PUT
Mueller Water Products
MWA
$4.05B
$15K ﹤0.01%
+15
New +$156
QQQE icon
6556
Direxion NASDAQ-100 Equal Weighted Index ETF
QQQE
$1.33B
$15K ﹤0.01%
239
+225
+1,607% +$14.2K
RC
6557
PUT
Ready Capital
RC
$261M
$15K ﹤0.01%
14
-14
-50% -$133
RDUS
6558
CALL
DELISTED
Radius Recycling
RDUS
$15K ﹤0.01%
8
+2
+33% +$38
RGLS
6559
DELISTED
Regulus Therapeutics
RGLS
$15K ﹤0.01%
2,937
+1,406
+92% +$9.26K
SKM icon
6560
PUT
SK Telecom
SKM
$11.8B
$15K ﹤0.01%
4
-34
-89% -$1.2K
SMBK icon
6561
SmartFinancial
SMBK
$908M
$15K ﹤0.01%
+1,115
New +$15.8K
SNN icon
6562
CALL
Smith & Nephew
SNN
$13.7B
$15K ﹤0.01%
4
+1
+33% +$40
SPT icon
6563
CALL
Sprout Social
SPT
$522M
$15K ﹤0.01%
+4
New +$127
SPT icon
6564
PUT
Sprout Social
SPT
$522M
$15K ﹤0.01%
4
-3
-43% -$95
SR icon
6565
CALL
Spire
SR
$4.88B
$15K ﹤0.01%
+3
New +$179
TBBK icon
6566
The Bancorp
TBBK
$2.86B
$15K ﹤0.01%
+1,761
New +$16.2K
TFIN icon
6567
Triumph Financial Inc
TFIN
$1.84B
$15K ﹤0.01%
494
+307
+164% +$8.4K
TGB
6568
CALL
Trekor Metals
TGB
$2.52B
$15K ﹤0.01%
+144
New +$119
TRST
6569
Trustco Bank Corp NY
TRST
$984M
$15K ﹤0.01%
590
-33
-5% -$963
TWST icon
6570
CALL
Twist Bioscience
TWST
$5.51B
$15K ﹤0.01%
+2
New +$125
TWST icon
6571
PUT
Twist Bioscience
TWST
$5.51B
$15K ﹤0.01%
+2
New +$125
VEON icon
6572
CALL
VEON
VEON
$3.57B
$15K ﹤0.01%
5
+2
+67% +$77
VRE
6573
PUT
DELISTED
Veris Residential
VRE
$15K ﹤0.01%
12
-58
-83% -$792
VRT icon
6574
CALL
Vertiv
VRT
$104B
$15K ﹤0.01%
9
-503
-98% -$7.88K
VYGR icon
6575
Voyager Therapeutics
VYGR
$184M
$15K ﹤0.01%
1,465
+355
+32% +$4.17K
261 262
263
264 265

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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.