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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
HLI icon
6776
Houlihan Lokey
HLI
$9.84B
$10K ﹤0.01%
174
-3,920
-96% -$225K
HOFT icon
6777
Hooker Furnishings Corp
HOFT
$150M
$10K ﹤0.01%
+423
New +$9.93K
HRTG icon
6778
CALL
Heritage Insurance Holdings
HRTG
$862M
$10K ﹤0.01%
+10
New +$124
HUBG icon
6779
PUT
HUB Group
HUBG
$2.96B
$10K ﹤0.01%
4
-4
-50% -$103
IIIN icon
6780
Insteel Industries
IIIN
$639M
$10K ﹤0.01%
539
+108
+25% +$2.03K
NBTB icon
6781
PUT
NBT Bancorp
NBTB
$2.74B
$10K ﹤0.01%
4
-25
-86% -$742
NGNE icon
6782
Neurogene
NGNE
$697M
$10K ﹤0.01%
+46
New +$11.1K
NOVT icon
6783
PUT
Novanta
NOVT
$5.08B
$10K ﹤0.01%
1
– –
OPCH icon
6784
CALL
Option Care Health
OPCH
$3.42B
$10K ﹤0.01%
8
-15
-65% -$182
PCYO icon
6785
CALL
Pure Cycle
PCYO
$255M
$10K ﹤0.01%
+12
New +$113
PESI icon
6786
Perma-Fix Environmental Services
PESI
$338M
$10K ﹤0.01%
1,445
-755
-34% -$5.2K
PFLT icon
6787
PUT
PennantPark Floating Rate Capital
PFLT
$692M
$10K ﹤0.01%
12
-161
-93% -$1.36K
PHX
6788
DELISTED
PHX Minerals
PHX
$10K ﹤0.01%
7,466
+3,250
+77% +$6.96K
PHX
6789
PUT
DELISTED
PHX Minerals
PHX
$10K ﹤0.01%
76
-160
-68% -$343
PLSE icon
6790
Pulse Biosciences
PLSE
$2.13B
$10K ﹤0.01%
873
-339
-28% -$3.65K
RCUS icon
6791
CALL
Arcus Biosciences
RCUS
$3.69B
$10K ﹤0.01%
6
+1
+20% +$22
RM icon
6792
Regional Management Corp
RM
$387M
$10K ﹤0.01%
+655
New +$11.2K
RUSHA icon
6793
CALL
Rush Enterprises Class A
RUSHA
$5.96B
$10K ﹤0.01%
5
-11
-69% -$234
SANM icon
6794
PUT
Sanmina
SANM
$11.3B
$10K ﹤0.01%
4
+3
+300% +$82
SB icon
6795
CALL
Safe Bulkers
SB
$771M
$10K ﹤0.01%
+98
New +$114
SBS icon
6796
PUT
Sabesp
SBS
$19.8B
$10K ﹤0.01%
67
-1,537
-96% -$2.99K
SMCI icon
6797
PUT
Super Micro Computer
SMCI
$19.4B
$10K ﹤0.01%
+40
New +$109
SNCR
6798
DELISTED
Synchronoss Technologies
SNCR
$10K ﹤0.01%
+397
New +$13.2K
TLPH icon
6799
Talphera
TLPH
$68M
$10K ﹤0.01%
+357
New +$8.85K
UMC icon
6800
PUT
United Microelectronic
UMC
$48.9B
$10K ﹤0.01%
22
+4
+22% +$15
270 271
272
273 274

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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.