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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
+26.79%
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
$77.2B
AUM Growth
+$3.66B
Cap. Flow
-$1.09B
Cap. Flow %
-1.41%
Top 10 Hldgs %
42.09%
Holding
9,568
New
1,711
Increased
3,402
Reduced
3,106
Closed
1,157

Top Buys

Rank Stock Value
1
BABA icon
Alibaba
BABA
+$39.9M
2
QQQ icon
Invesco QQQ Trust
QQQ
+$39M
3
MA icon
Mastercard
MA
+$31.3M
4
AAPL icon
Apple
AAPL
+$25.3M
5
GOOG icon
Alphabet (Google) Class C
GOOG
+$25.1M

Top Sells

Rank Stock Value
1
JPM icon
JPMorgan Chase
JPM
+$52.8M
2
TSM icon
TSMC
TSM
+$43M
3
AMZN icon
Amazon
AMZN
+$24.7M
4
SLV icon
iShares Silver Trust
SLV
+$24.2M
5
NFLX icon
Netflix
NFLX
+$21.1M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 0.65%
2 Technology 0.37%
3 Healthcare 0.33%
4 Industrials 0.21%
5 Communication Services 0.19%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ACRS icon
7101
CALL
Aclaris Therapeutics
ACRS
$744M
$16K ﹤0.01%
+25
New +$105
ASND icon
7102
PUT
Ascendis Pharma A/S
ASND
$16.5B
$16K ﹤0.01%
1
-2
-67% -$331
ASPS icon
7103
PUT
Altisource Portfolio Solutions
ASPS
$58M
$16K ﹤0.01%
2
+1
+100% +$103
AVNT icon
7104
PUT
Avient
AVNT
$3.43B
$16K ﹤0.01%
4
+3
+300% +$106
BAP icon
7105
PUT
Credicorp
BAP
$31.1B
$16K ﹤0.01%
1
-3
-75% -$416
DYAI icon
7106
PUT
Dyadic International
DYAI
$39.7M
$16K ﹤0.01%
+31
New +$204
EEX
7107
CALL
DELISTED
Emerald Holding
EEX
$16K ﹤0.01%
+31
New +$115
EIG icon
7108
CALL
Employers Holdings
EIG
$917M
$16K ﹤0.01%
5
-145
-97% -$4.68K
EME icon
7109
Emcor
EME
$31.5B
$16K ﹤0.01%
+175
New +$14.1K
FAN icon
7110
First Trust Global Wind Energy ETF
FAN
$273M
$16K ﹤0.01%
+700
New +$14K
FPI
7111
PUT
Farmland Partners
FPI
$419M
$16K ﹤0.01%
19
-16
-46% -$121
GAU
7112
Galiano Gold
GAU
$457M
$16K ﹤0.01%
14,260
-1,516
-10% -$1.92K
GHM icon
7113
Graham Corp
GHM
$1.17B
$16K ﹤0.01%
+1,099
New +$16.1K
IBM icon
7114
IBM
IBM
$214B
$16K ﹤0.01%
140
-59,768
-100% -$6.91M
ICMB icon
7115
PUT
Investcorp Credit Management BDC
ICMB
$11M
$16K ﹤0.01%
35
– –
IPI icon
7116
CALL
Intrepid Potash
IPI
$479M
$16K ﹤0.01%
7
+1
+17% +$12
KFRC icon
7117
Kforce
KFRC
$1.04B
$16K ﹤0.01%
388
-377
-49% -$14.9K
KIDS icon
7118
PUT
OrthoPediatrics
KIDS
$507M
$16K ﹤0.01%
+4
New +$183
KOF icon
7119
Coca-Cola Femsa
KOF
$22.7B
$16K ﹤0.01%
352
-13
-4% -$566
LXU icon
7120
PUT
LSB Industries
LXU
$829M
$16K ﹤0.01%
62
+3
+5% +$5
MVO
7121
MV Oil Trust
MVO
$16K ﹤0.01%
+5,439
New +$15K
MYE icon
7122
PUT
Myers Industries
MYE
$1.26B
$16K ﹤0.01%
+8
New +$133
NRP icon
7123
CALL
Natural Resource Partners
NRP
$1.33B
$16K ﹤0.01%
12
+4
+50% +$54
PLG
7124
PUT
Platinum Group Metals
PLG
$159M
$16K ﹤0.01%
+35
New +$101
PTH icon
7125
Invesco Dorsey Wright Healthcare Momentum ETF
PTH
$220M
$16K ﹤0.01%
300
– –
283 284
285
286 287

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Simplex Trading's Q4 2020 Portfolio in Review

As of Q4 2020, Simplex Trading held 9,568 positions worth $77.2B, up 5% from $73.5B the previous quarter. Its ten largest holdings account for 42% of the portfolio.

Simplex Trading's Q4 2020 filing shows 1,711 new, 3,402 increased, 3,106 reduced and 1,157 closed positions. Its largest new stake was Alibaba: 143,630 shares worth $33.4M. The largest sale was JPMorgan Chase, an estimated $52.8M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 0.65% of assets, up from 0.53% a quarter earlier, followed by Technology and Healthcare.

  • Simplex Trading's largest Q4 2020 buy was Alibaba: 143,630 shares worth $33.4M.
  • Simplex Trading added most to Invesco QQQ Trust in Q4 2020, an estimated $39M increase.
  • Simplex Trading's biggest Q4 2020 reduction was JPMorgan Chase, cutting an estimated $52.8M.
  • Simplex Trading fully exited Target in Q4 2020, selling an estimated $14.3M.
  • Simplex Trading's ten largest holdings make up 42% of its $77.2B portfolio in Q4 2020.
  • Simplex Trading opened 1,711 new positions and closed 1,157 in Q4 2020.
  • Simplex Trading's portfolio value rose 5% quarter-over-quarter to $77.2B.

Based on Simplex Trading's 13F filing for Q4 2020, filed 2 Feb 2021.