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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
MCRI icon
7201
CALL
Monarch Casino & Resort
MCRI
$2.14B
$4K ﹤0.01%
1
-17
-94% -$695
MCRI icon
7202
Monarch Casino & Resort
MCRI
$2.14B
$4K ﹤0.01%
104
-854
-89% -$34.9K
MGPI icon
7203
MGP Ingredients
MGPI
$378M
$4K ﹤0.01%
101
-1,405
-93% -$52.4K
MRC
7204
CALL
DELISTED
MRC Global
MRC
$4K ﹤0.01%
11
-64
-85% -$368
MSB
7205
PUT
Mesabi Trust
MSB
$295M
$4K ﹤0.01%
2
-13
-87% -$245
NAAS
7206
PUT
NaaS Technology Inc
NAAS
$37.6M
– –
0
– –
NRP icon
7207
PUT
Natural Resource Partners
NRP
$1.3B
$4K ﹤0.01%
4
-4
-50% -$44
OGI
7208
PUT
Organigram Holdings
OGI
$132M
$4K ﹤0.01%
10
-51
-84% -$266
PDS
7209
PUT
Precision Drilling
PDS
$1.09B
$4K ﹤0.01%
4
– –
PESI icon
7210
CALL
Perma-Fix Environmental Services
PESI
$339M
$4K ﹤0.01%
+7
New +$48
REVG
7211
CALL
DELISTED
REV Group
REVG
$4K ﹤0.01%
+6
New +$43
RGP icon
7212
PUT
Resources Connection
RGP
$129M
$4K ﹤0.01%
+4
New +$47
RMTI icon
7213
PUT
Rockwell Medical
RMTI
$26.2M
– –
-2
Closed -$346
SBRA icon
7214
Sabra Healthcare REIT
SBRA
$5.64B
$4K ﹤0.01%
357
+71
+25% +$1.04K
SCOR icon
7215
PUT
Comscore
SCOR
$4K ﹤0.01%
1
-2
-67% -$111
SHEN icon
7216
CALL
Shenandoah Telecom
SHEN
$632M
$4K ﹤0.01%
1
-5
-83% -$255
SLRC icon
7217
CALL
SLR Investment Corp
SLRC
$706M
$4K ﹤0.01%
3
-33
-92% -$541
SNDR icon
7218
PUT
Schneider National
SNDR
$6.59B
$4K ﹤0.01%
+2
New +$52
SXC icon
7219
CALL
SunCoke Energy
SXC
$757M
$4K ﹤0.01%
+13
New +$42
TCPC icon
7220
PUT
BlackRock TCP Capital
TCPC
$265M
$4K ﹤0.01%
5
-175
-97% -$1.7K
TRST
7221
CALL
Trustco Bank Corp NY
TRST
$977M
$4K ﹤0.01%
2
– –
UVSP icon
7222
PUT
Univest Financial
UVSP
$1.23B
$4K ﹤0.01%
+3
New +$47
VGZ icon
7223
Vista Gold
VGZ
$253M
$4K ﹤0.01%
+4,465
New +$5.07K
VOC icon
7224
PUT
VOC Energy
VOC
$57.5M
$4K ﹤0.01%
31
-15
-33% -$25
WTTR icon
7225
CALL
Select Water Solutions
WTTR
$2.51B
$4K ﹤0.01%
11
-22
-67% -$104
287 288
289
290 291

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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.