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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
BDC icon
7001
PUT
Belden
BDC
$4B
$6K ﹤0.01%
2
-20
-91% -$659
BMRA icon
7002
Biomerica
BMRA
$4.88M
$6K ﹤0.01%
+113
New +$7.31K
BSBR icon
7003
Santander
BSBR
$39.7B
$6K ﹤0.01%
+1,434
New +$7.4K
CATY icon
7004
Cathay General Bancorp
CATY
$4.2B
$6K ﹤0.01%
+281
New +$6.87K
CMS icon
7005
PUT
CMS Energy
CMS
$23.1B
$6K ﹤0.01%
1
-3
-75% -$184
CNYA icon
7006
iShares MSCI China A ETF
CNYA
$221M
$6K ﹤0.01%
+169
New +$6.2K
CODI icon
7007
Compass Diversified
CODI
$755M
$6K ﹤0.01%
322
-5,430
-94% -$92.4K
CPT icon
7008
Camden Property Trust
CPT
$11.3B
$6K ﹤0.01%
71
+20
+39% +$1.8K
CULP icon
7009
CALL
Culp Inc
CULP
$45M
$6K ﹤0.01%
+5
New +$56
DAKT icon
7010
CALL
Daktronics
DAKT
$941M
$6K ﹤0.01%
16
+12
+300% +$50
DBB icon
7011
Invesco DB Base Metals Fund
DBB
$306M
$6K ﹤0.01%
397
-1,486
-79% -$22.2K
EGAN icon
7012
eGain
EGAN
$176M
$6K ﹤0.01%
427
+37
+9% +$431
ENS icon
7013
CALL
EnerSys
ENS
$6.95B
$6K ﹤0.01%
1
-33
-97% -$2.27K
EPM icon
7014
CALL
Evolution Petroleum
EPM
$137M
$6K ﹤0.01%
27
+21
+350% +$56
EVH icon
7015
PUT
Evolent Health
EVH
$475M
$6K ﹤0.01%
5
-198
-98% -$2.33K
EZPW icon
7016
PUT
Ezcorp Inc
EZPW
$1.82B
$6K ﹤0.01%
13
-8
-38% -$44
FFBC icon
7017
CALL
First Financial Bancorp
FFBC
$3.55B
$6K ﹤0.01%
+5
New +$68
FN icon
7018
PUT
Fabrinet
FN
$17.1B
$6K ﹤0.01%
1
-5
-83% -$336
FTK icon
7019
PUT
Flotek Industries
FTK
$935M
$6K ﹤0.01%
+4
New +$47
GCO icon
7020
PUT
Genesco
GCO
$396M
$6K ﹤0.01%
3
-68
-96% -$1.33K
GOCO
7021
CALL
DELISTED
GoHealth
GOCO
– –
0
– –
GROW icon
7022
CALL
US Global Investors
GROW
$36.3M
$6K ﹤0.01%
27
-235
-90% -$713
GSAT icon
7023
CALL
Globalstar
GSAT
$10.2B
$6K ﹤0.01%
13
– –
IDA icon
7024
Idacorp
IDA
$8.23B
$6K ﹤0.01%
+86
New +$7.58K
IGMS
7025
DELISTED
IGM Biosciences
IGMS
$6K ﹤0.01%
+92
New +$5.45K
279 280
281
282 283

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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.