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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
CYCN icon
7176
CALL
Cyclerion Therapeutics
CYCN
$15.2M
– –
0
– –
DBP icon
7177
Invesco DB Precious Metals Fund
DBP
$237M
$4K ﹤0.01%
+92
New +$4.88K
DFE icon
7178
WisdomTree Europe SmallCap Dividend Fund
DFE
$163M
$4K ﹤0.01%
76
– –
DKNG icon
7179
DraftKings
DKNG
$11.4B
$4K ﹤0.01%
+70
New +$2.72K
DMRC icon
7180
PUT
Digimarc Corp
DMRC
$133M
$4K ﹤0.01%
+2
New +$32
ENTA icon
7181
CALL
Enanta Pharmaceuticals
ENTA
$372M
$4K ﹤0.01%
1
-6
-86% -$291
ESRT icon
7182
CALL
Empire State Realty Trust
ESRT
$976M
$4K ﹤0.01%
8
+6
+300% +$39
EWD icon
7183
iShares MSCI Sweden ETF
EWD
$522M
$4K ﹤0.01%
+115
New +$4K
FSP
7184
PUT
Franklin Street Properties
FSP
$44.8M
$4K ﹤0.01%
11
-49
-82% -$229
FTS icon
7185
PUT
Fortis
FTS
$30B
$4K ﹤0.01%
1
-6
-86% -$240
GIL icon
7186
Gildan
GIL
$9.25B
$4K ﹤0.01%
212
-66,679
-100% -$1.23M
GLRE icon
7187
CALL
Greenlight Captial
GLRE
$563M
$4K ﹤0.01%
7
-445
-98% -$3.06K
GRBK icon
7188
PUT
Green Brick Partners
GRBK
$3.13B
$4K ﹤0.01%
+3
New +$44
HCI icon
7189
CALL
HCI Group
HCI
$2.28B
$4K ﹤0.01%
1
– –
MCHB
7190
Mechanics Bancorp
MCHB
$3.47B
$4K ﹤0.01%
+173
New +$4.54K
HOOK
7191
DELISTED
HOOKIPA Pharma
HOOK
$4K ﹤0.01%
+49
New +$5K
INOD icon
7192
Innodata
INOD
$1.83B
$4K ﹤0.01%
+1,487
New +$2.73K
IPI icon
7193
CALL
Intrepid Potash
IPI
$460M
$4K ﹤0.01%
6
-7
-54% -$67
KEP icon
7194
CALL
Korea Electric Power
KEP
$15.5B
$4K ﹤0.01%
+5
New +$42
KOPN icon
7195
PUT
Kopin
KOPN
$663M
$4K ﹤0.01%
+35
New +$54
KRG icon
7196
PUT
Kite Realty
KRG
$5.95B
$4K ﹤0.01%
4
-30
-88% -$330
KVHI icon
7197
PUT
KVH Industries
KVHI
$177M
$4K ﹤0.01%
+5
New +$42
LAZR
7198
CALL
DELISTED
Luminar Technologies
LAZR
– –
0
– –
LBRT icon
7199
CALL
Liberty Energy
LBRT
$2.83B
$4K ﹤0.01%
6
-1
-14% -$7
LXU icon
7200
LSB Industries
LXU
$881M
$4K ﹤0.01%
3,475
+2,796
+412% +$3.51K
286 287
288
289 290

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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.