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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
+33.36%
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
$62.7B
AUM Growth
+$5.97B
Cap. Flow
-$480M
Cap. Flow %
-0.77%
Top 10 Hldgs %
44.28%
Holding
8,917
New
1,290
Increased
3,427
Reduced
2,723
Closed
1,278

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$77.3M
2
GLD icon
SPDR Gold Trust
GLD
+$73.2M
3
EFA icon
iShares MSCI EAFE ETF
EFA
+$38.5M
4
NFLX icon
Netflix
NFLX
+$38.4M
5
NVDA icon
NVIDIA
NVDA
+$36.3M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$55.9M
2
VXX icon
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
+$28.3M
3
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$23.1M
4
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$23.1M
5
ADBE icon
Adobe
ADBE
+$22M

Sector Composition

Rank Sector Weight
1 Technology 0.49%
2 Consumer Discretionary 0.47%
3 Communication Services 0.34%
4 Healthcare 0.26%
5 Financials 0.23%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EGAN icon
7351
CALL
eGain
EGAN
$176M
$1K ﹤0.01%
+1
New +$9
EPAC icon
7352
CALL
Enerpac Tool Group
EPAC
$1.77B
$1K ﹤0.01%
1
– –
EPM icon
7353
CALL
Evolution Petroleum
EPM
$137M
$1K ﹤0.01%
6
-29
-83% -$78
ESRT icon
7354
CALL
Empire State Realty Trust
ESRT
$976M
$1K ﹤0.01%
+2
New +$15
FBP icon
7355
PUT
First Bancorp
FBP
$4.4B
$1K ﹤0.01%
2
-57
-97% -$309
FENG
7356
PUT
Phoenix New Media
FENG
$16.8M
$1K ﹤0.01%
2
– –
GAU
7357
CALL
Galiano Gold
GAU
$486M
$1K ﹤0.01%
14
-45
-76% -$50
GFF icon
7358
PUT
Griffon
GFF
$4.16B
$1K ﹤0.01%
1
– –
GPRK icon
7359
GeoPark
GPRK
$649M
$1K ﹤0.01%
167
+150
+882% +$1.35K
GRFS
7360
CALL
Grifois
GRFS
$5.16B
$1K ﹤0.01%
1
-7
-88% -$139
GURE
7361
Gulf Resources
GURE
$5.23M
$1K ﹤0.01%
28
+10
+56% +$452
HPQ icon
7362
HP
HPQ
$23.5B
$1K ﹤0.01%
+100
New +$1.59K
HROW icon
7363
CALL
Harrow
HROW
$1.43B
$1K ﹤0.01%
+2
New +$10
HRTX icon
7364
Heron Therapeutics
HRTX
$86.3M
$1K ﹤0.01%
83
-52,172
-100% -$857K
HVT icon
7365
CALL
Haverty Furniture Companies
HVT
$401M
$1K ﹤0.01%
1
-1
-50% -$15
INDP icon
7366
CALL
Indaptus Therapeutics
INDP
$348M
– –
0
– –
INN
7367
PUT
Summit Hotel Properties
INN
$761M
$1K ﹤0.01%
3
-22
-88% -$124
INVE icon
7368
Identive
INVE
$64.6M
$1K ﹤0.01%
378
+164
+77% +$649
JILL icon
7369
CALL
J. Jill
JILL
$252M
$1K ﹤0.01%
5
-2
-29% -$5
KN icon
7370
CALL
Knowles
KN
$3.22B
$1K ﹤0.01%
1
-11
-92% -$164
LMNR icon
7371
PUT
Limoneira
LMNR
$237M
$1K ﹤0.01%
+1
New +$13
LSAK icon
7372
PUT
Lesaka Technologies
LSAK
$388M
$1K ﹤0.01%
5
-107
-96% -$360
MBI icon
7373
PUT
MBIA
MBI
$288M
$1K ﹤0.01%
2
-191
-99% -$1.39K
MBIO icon
7374
CALL
Mustang Bio
MBIO
$4.26M
– –
0
– –
RJET
7375
CALL
Republic Airways Holdings
RJET
$810M
– –
0
– –
293 294
295
296 297

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Simplex Trading's Q2 2020 Portfolio in Review

As of Q2 2020, Simplex Trading held 8,917 positions worth $62.7B, up 11% from $56.7B the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Simplex Trading's Q2 2020 filing shows 1,290 new, 3,427 increased, 2,723 reduced and 1,278 closed positions. Its largest new stake was iShares MSCI EAFE ETF: 665,841 shares worth $40.5M. The largest sale was Apple, an estimated $55.9M.

By sector, the portfolio is most concentrated in Technology at 0.49% of assets, up from 0.49% a quarter earlier, followed by Consumer Discretionary and Communication Services.

  • Simplex Trading's largest Q2 2020 buy was iShares MSCI EAFE ETF: 665,841 shares worth $40.5M.
  • Simplex Trading added most to Invesco QQQ Trust in Q2 2020, an estimated $77.3M increase.
  • Simplex Trading's biggest Q2 2020 reduction was Apple, cutting an estimated $55.9M.
  • Simplex Trading fully exited Adobe in Q2 2020, selling an estimated $22M.
  • Simplex Trading's ten largest holdings make up 44% of its $62.7B portfolio in Q2 2020.
  • Simplex Trading opened 1,290 new positions and closed 1,278 in Q2 2020.
  • Simplex Trading's portfolio value rose 11% quarter-over-quarter to $62.7B.

Based on Simplex Trading's 13F filing for Q2 2020, filed 13 Jul 2020.