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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
PDLI
6726
PUT
DELISTED
PDL BioPharma, Inc.
PDLI
$12K ﹤0.01%
+40
New +$128
ACTG icon
6727
PUT
Acacia Research
ACTG
$447M
$11K ﹤0.01%
32
-40
-56% -$156
AMPH icon
6728
Amphastar Pharmaceuticals
AMPH
$846M
$11K ﹤0.01%
628
+528
+528% +$10.6K
AOUT icon
6729
PUT
American Outdoor Brands
AOUT
$158M
$11K ﹤0.01%
+9
New +$131
ATOM icon
6730
CALL
Atomera
ATOM
$203M
$11K ﹤0.01%
+11
New +$116
BTU icon
6731
Peabody Energy
BTU
$2.81B
$11K ﹤0.01%
4,803
+4,465
+1,321% +$12.9K
CDXS icon
6732
CALL
Codexis
CDXS
$141M
$11K ﹤0.01%
10
-56
-85% -$698
CIO
6733
DELISTED
City Office REIT
CIO
$11K ﹤0.01%
+1,591
New +$13.8K
DIOD icon
6734
PUT
Diodes
DIOD
$3.95B
$11K ﹤0.01%
+2
New +$101
FBK icon
6735
FB Financial Corp
FBK
$2.94B
$11K ﹤0.01%
+471
New +$12.2K
FCFS icon
6736
PUT
FirstCash
FCFS
$9.06B
$11K ﹤0.01%
2
– –
G icon
6737
CALL
Genpact
G
$5.45B
$11K ﹤0.01%
3
-47
-94% -$1.85K
TDAY
6738
PUT
USA Today Co
TDAY
$1.22B
$11K ﹤0.01%
90
+68
+309% +$104
GLAD icon
6739
PUT
Gladstone Capital
GLAD
$430M
$11K ﹤0.01%
8
-1
-11% -$15
IFN
6740
Aberdeen India Fund
IFN
$490M
$11K ﹤0.01%
+684
New +$11.2K
KRG icon
6741
Kite Realty
KRG
$5.99B
$11K ﹤0.01%
964
-2,622
-73% -$28.9K
LXRX icon
6742
PUT
Lexicon Pharmaceuticals
LXRX
$991M
$11K ﹤0.01%
82
-18
-18% -$32
MYRG icon
6743
PUT
MYR Group
MYRG
$5.75B
$11K ﹤0.01%
+3
New +$106
NCMI icon
6744
National CineMedia
NCMI
$362M
$11K ﹤0.01%
432
-1,034
-71% -$32.5K
NMM icon
6745
CALL
Navios Maritime Partners
NMM
$2.21B
$11K ﹤0.01%
19
-17
-47% -$120
NWG icon
6746
PUT
NatWest
NWG
$72.8B
$11K ﹤0.01%
+40
New +$124
OII icon
6747
CALL
Oceaneering
OII
$5.19B
$11K ﹤0.01%
32
-13
-29% -$69
ORN icon
6748
CALL
Orion Group Holdings
ORN
$503M
$11K ﹤0.01%
+41
New +$117
RXT icon
6749
Rackspace Technology
RXT
$980M
$11K ﹤0.01%
+584
New +$10.7K
TMQ
6750
Trilogy Metals
TMQ
$536M
$11K ﹤0.01%
6,352
-5,777
-48% -$11.5K
268 269
270
271 272

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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.