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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
CZZ
7326
PUT
DELISTED
Cosan Limited
CZZ
$12K ﹤0.01%
7
-46
-87% -$768
VRTU
7327
DELISTED
Virtusa Corporation
VRTU
$12K ﹤0.01%
+252
New +$12.7K
EBIX
7328
DELISTED
Ebix Inc
EBIX
$12K ﹤0.01%
+320
New +$9K
AAT
7329
CALL
American Assets Trust
AAT
$1.49B
$11K ﹤0.01%
+4
New +$106
AFMD
7330
PUT
DELISTED
Affimed
AFMD
$11K ﹤0.01%
2
+1
+100% +$47
ALLE icon
7331
PUT
Allegion
ALLE
$13.4B
$11K ﹤0.01%
+1
New +$109
ALLT icon
7332
PUT
Allot
ALLT
$373M
$11K ﹤0.01%
11
-137
-93% -$1.39K
APT icon
7333
Alpha Pro Tech
APT
$50.2M
$11K ﹤0.01%
1,041
-14,067
-93% -$190K
AVXL icon
7334
CALL
Anavex Life Sciences
AVXL
$232M
$11K ﹤0.01%
22
-166
-88% -$875
CNMD icon
7335
CALL
CONMED
CNMD
$1.31B
$11K ﹤0.01%
1
-59
-98% -$5.59K
CSWC icon
7336
Capital Southwest
CSWC
$1.46B
$11K ﹤0.01%
632
+39
+7% +$613
ENLV icon
7337
Enlivex Ltd
ENLV
$71.7M
$11K ﹤0.01%
+93
New +$15K
ENOV icon
7338
CALL
Enovis
ENOV
$1.63B
$11K ﹤0.01%
2
-105
-98% -$6.14K
EXR icon
7339
PUT
Extra Space Storage
EXR
$31.3B
$11K ﹤0.01%
1
-4
-80% -$455
EZPW icon
7340
PUT
Ezcorp Inc
EZPW
$1.87B
$11K ﹤0.01%
25
+12
+92% +$60
FPX icon
7341
CALL
First Trust US Equity Opportunities ETF
FPX
$1.51B
$11K ﹤0.01%
+1
New +$108
HAE icon
7342
CALL
Haemonetics
HAE
$3.63B
$11K ﹤0.01%
1
-183
-99% -$19.7K
HEES
7343
PUT
DELISTED
H&E Equipment Services
HEES
$11K ﹤0.01%
4
-37
-90% -$953
HOFT icon
7344
Hooker Furnishings Corp
HOFT
$149M
$11K ﹤0.01%
359
-64
-15% -$1.94K
J icon
7345
Jacobs Solutions
J
$16B
$11K ﹤0.01%
126
-261
-67% -$22.1K
KRNY icon
7346
PUT
Kearny Financial
KRNY
$595M
$11K ﹤0.01%
+11
New +$104
LPL icon
7347
PUT
LG Display
LPL
$3.14B
$11K ﹤0.01%
14
+4
+40% +$28
MLR icon
7348
CALL
Miller Industries
MLR
$584M
$11K ﹤0.01%
+3
New +$100
MMLP icon
7349
Martin Midstream Partners
MMLP
$98.6M
$11K ﹤0.01%
8,014
-5,765
-42% -$9.2K
MRCC
7350
DELISTED
Monroe Capital Corp
MRCC
$11K ﹤0.01%
1,374
-477
-26% -$3.67K
292 293
294
295 296

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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.