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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
AXU
7176
PUT
DELISTED
Alexco Resource Corp
AXU
$15K ﹤0.01%
49
-895
-95% -$2.35K
TLMD
7177
CALL
DELISTED
SOC Telemed, Inc. Class A Common Stock
TLMD
$15K ﹤0.01%
+20
New +$177
GSKY
7178
CALL
DELISTED
GreenSky, Inc. Class A Common Stock
GSKY
$15K ﹤0.01%
34
+19
+127% +$86
FFG
7179
CALL
DELISTED
FBL Financial Group
FFG
$15K ﹤0.01%
3
– –
LN
7180
DELISTED
LINE Corporation
LN
$15K ﹤0.01%
306
-84
-22% -$4.32K
GRN
7181
CALL
DELISTED
iPath Global Carbon ETN
GRN
$15K ﹤0.01%
5
-10
-67% -$30K
AWI icon
7182
CALL
Armstrong World Industries
AWI
$7.05B
$14K ﹤0.01%
2
-10
-83% -$723
BXC icon
7183
PUT
BlueLinx
BXC
$453M
$14K ﹤0.01%
5
-12
-71% -$307
CATO icon
7184
PUT
Cato Corp
CATO
$64.1M
$14K ﹤0.01%
15
-34
-69% -$268
CMCM
7185
PUT
Cheetah Mobile
CMCM
$88M
$14K ﹤0.01%
17
-104
-86% -$1.03K
CSR
7186
CALL
Centerspace
CSR
$937M
$14K ﹤0.01%
+2
New +$141
CSR
7187
Centerspace
CSR
$937M
$14K ﹤0.01%
+200
New +$14.1K
DIOD icon
7188
CALL
Diodes
DIOD
$3.95B
$14K ﹤0.01%
2
-45
-96% -$2.9K
EYPT icon
7189
PUT
EyePoint Inc
EYPT
$1.04B
$14K ﹤0.01%
+22
New +$103
FENC icon
7190
Fennec Pharmaceuticals
FENC
$355M
$14K ﹤0.01%
1,960
+1,853
+1,732% +$14.1K
GGG icon
7191
CALL
Graco
GGG
$13B
$14K ﹤0.01%
2
-1
-33% -$67
GLAD icon
7192
CALL
Gladstone Capital
GLAD
$430M
$14K ﹤0.01%
8
-38
-83% -$616
GNE icon
7193
PUT
Genie Energy
GNE
$378M
$14K ﹤0.01%
20
+7
+54% +$59
INVA icon
7194
Innoviva
INVA
$1.57B
$14K ﹤0.01%
+1,152
New +$12.4K
IYH icon
7195
iShares US Healthcare ETF
IYH
$3.38B
$14K ﹤0.01%
+290
New +$13.7K
KNSL icon
7196
Kinsale Capital Group
KNSL
$8.24B
$14K ﹤0.01%
+71
New +$15.6K
LILAK icon
7197
PUT
Liberty Latin America Class C
LILAK
$1.55B
$14K ﹤0.01%
14
-117
-89% -$1.16K
LPL icon
7198
CALL
LG Display
LPL
$3.14B
$14K ﹤0.01%
17
-209
-92% -$1.49K
MC icon
7199
Moelis & Co
MC
$5.04B
$14K ﹤0.01%
306
+53
+21% +$2.13K
MGPI icon
7200
CALL
MGP Ingredients
MGPI
$384M
$14K ﹤0.01%
3
-2
-40% -$86
286 287
288
289 290

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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.