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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
AMWL icon
7376
CALL
American Well
AMWL
$181M
– –
0
– –
ARVN icon
7377
CALL
Arvinas
ARVN
$518M
$2K ﹤0.01%
1
-4
-80% -$116
ATKR icon
7378
CALL
Atkore
ATKR
$2.59B
$2K ﹤0.01%
1
– –
ATLC icon
7379
CALL
Atlanticus Holdings
ATLC
$1.5B
$2K ﹤0.01%
+2
New +$20
AVNT icon
7380
PUT
Avient
AVNT
$3.45B
$2K ﹤0.01%
+1
New +$26
BALY icon
7381
CALL
Bally's
BALY
$672M
$2K ﹤0.01%
1
-14
-93% -$325
BALY icon
7382
PUT
Bally's
BALY
$672M
$2K ﹤0.01%
1
-3
-75% -$70
BCBP icon
7383
BCB Bancorp
BCBP
$176M
$2K ﹤0.01%
+303
New +$2.53K
BLFS icon
7384
PUT
BioLife Solutions
BLFS
$1.46B
$2K ﹤0.01%
+1
New +$22
BPT
7385
PUT
DELISTED
BP Prudhoe Bay Royalty Trust
BPT
$2K ﹤0.01%
14
-26
-65% -$62
BUD icon
7386
AB InBev
BUD
$158B
$2K ﹤0.01%
40
-47,565
-100% -$2.63M
CCNE icon
7387
CNB Financial Corp
CCNE
$1.03B
$2K ﹤0.01%
169
-123
-42% -$2.02K
CCNE icon
7388
PUT
CNB Financial Corp
CCNE
$1.03B
$2K ﹤0.01%
+2
New +$33
CECO icon
7389
Ceco Environmental
CECO
$4.42B
$2K ﹤0.01%
+290
New +$2.19K
CFFN icon
7390
Capitol Federal Financial
CFFN
$1.08B
$2K ﹤0.01%
+234
New +$2.28K
CHRS icon
7391
Coherus Oncology
CHRS
$217M
$2K ﹤0.01%
126
-1,229
-91% -$22.9K
CIVI
7392
DELISTED
Civitas Resources
CIVI
$2K ﹤0.01%
111
-239
-68% -$4.48K
CRAI icon
7393
CRA International
CRAI
$1.1B
$2K ﹤0.01%
+78
New +$3.23K
CRESY
7394
PUT
Cresud
CRESY
$794M
$2K ﹤0.01%
10
-17
-63% -$55
CRK icon
7395
CALL
Comstock Resources
CRK
$3.97B
$2K ﹤0.01%
6
-5
-45% -$26
CTRN icon
7396
CALL
Citi Trends
CTRN
$524M
$2K ﹤0.01%
1
-21
-95% -$419
CUZ icon
7397
CALL
Cousins Properties
CUZ
$5.29B
$2K ﹤0.01%
1
-5
-83% -$149
CVEO icon
7398
CALL
Civeo
CVEO
$379M
$2K ﹤0.01%
+3
New +$27
CWK icon
7399
Cushman & Wakefield Ltd
CWK
$2.98B
$2K ﹤0.01%
+225
New +$2.53K
DES icon
7400
WisdomTree US SmallCap Dividend Fund
DES
$2.19B
$2K ﹤0.01%
111
-204
-65% -$4.44K
294 295
296
297 298

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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.