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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
CTT
6926
DELISTED
CATCHMARK TIMBER TRUST, INC.
CTT
$8K ﹤0.01%
+937
New +$8.92K
GWB
6927
PUT
DELISTED
Great Western Bancorp, Inc.
GWB
$8K ﹤0.01%
7
-35
-83% -$474
LORL
6928
CALL
DELISTED
Loral Space and Communications, Inc.
LORL
$8K ﹤0.01%
5
-3
-38% -$61
QEP
6929
PUT
DELISTED
QEP RESOURCES, INC.
QEP
$8K ﹤0.01%
95
-1,623
-94% -$2.12K
WPG
6930
CALL
DELISTED
Washington Prime Group Inc.
WPG
$8K ﹤0.01%
14
-1
-7% -$6
PEI
6931
PUT
DELISTED
Pennsylvania Real Estate Investment Trust
PEI
$8K ﹤0.01%
10
-12
-55% -$188
CKH
6932
CALL
DELISTED
Seacor Holdings Inc.
CKH
$8K ﹤0.01%
3
– –
ANAB icon
6933
CALL
AnaptysBio
ANAB
$1.6B
$7K ﹤0.01%
5
-51
-91% -$920
ARVN icon
6934
PUT
Arvinas
ARVN
$518M
$7K ﹤0.01%
3
+1
+50% +$29
BBW icon
6935
PUT
Build-A-Bear
BBW
$423M
$7K ﹤0.01%
30
-39
-57% -$99
BCSF icon
6936
PUT
Bain Capital Specialty
BCSF
$802M
$7K ﹤0.01%
+7
New +$73
CARM
6937
PUT
DELISTED
Carisma Therapeutics
CARM
$7K ﹤0.01%
+3
New +$60
CDP icon
6938
CALL
COPT Defense Properties
CDP
$4.31B
$7K ﹤0.01%
3
-2
-40% -$50
CMCM
6939
CALL
Cheetah Mobile
CMCM
$88.8M
$7K ﹤0.01%
7
-55
-89% -$599
CSTL icon
6940
Castle Biosciences
CSTL
$749M
$7K ﹤0.01%
138
-10
-7% -$445
CVGI icon
6941
Commercial Vehicle Group
CVGI
$157M
$7K ﹤0.01%
+1,206
New +$4.66K
DAKT icon
6942
Daktronics
DAKT
$941M
$7K ﹤0.01%
1,999
+1,626
+436% +$6.78K
DAKT icon
6943
PUT
Daktronics
DAKT
$941M
$7K ﹤0.01%
20
-1
-5% -$4
EZPW icon
6944
Ezcorp Inc
EZPW
$1.82B
$7K ﹤0.01%
1,532
-1,098
-42% -$6.1K
TDAY
6945
USA Today Co
TDAY
$1.23B
$7K ﹤0.01%
+5,605
New +$8.54K
GFF icon
6946
Griffon
GFF
$4.16B
$7K ﹤0.01%
+385
New +$7.91K
MCHB
6947
CALL
Mechanics Bancorp
MCHB
$3.47B
$7K ﹤0.01%
+3
New +$79
HROW icon
6948
Harrow
HROW
$1.43B
$7K ﹤0.01%
1,400
+318
+29% +$1.91K
ITT icon
6949
ITT
ITT
$17.5B
$7K ﹤0.01%
119
-2,151
-95% -$130K
KOPN icon
6950
CALL
Kopin
KOPN
$663M
$7K ﹤0.01%
54
-144
-73% -$222
276 277
278
279 280

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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.