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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
DRRX
7401
DELISTED
DURECT Corp
DRRX
$2K ﹤0.01%
168
-515
-75% -$10.3K
EGBN icon
7402
CALL
Eagle Bancorp
EGBN
$867M
$2K ﹤0.01%
1
-1
-50% -$29
EXPO icon
7403
Exponent
EXPO
$2.98B
$2K ﹤0.01%
+38
New +$3.02K
EYPT icon
7404
CALL
EyePoint Inc
EYPT
$1.02B
$2K ﹤0.01%
6
-7
-54% -$44
GASS icon
7405
PUT
StealthGas
GASS
$328M
$2K ﹤0.01%
+10
New +$26
GNL icon
7406
Global Net Lease
GNL
$1.87B
$2K ﹤0.01%
+169
New +$2.86K
GROW icon
7407
PUT
US Global Investors
GROW
$36.3M
$2K ﹤0.01%
12
-159
-93% -$482
GSG icon
7408
PUT
iShares S&P GSCI Commodity-Indexed Trust
GSG
$1.02B
$2K ﹤0.01%
2
-37
-95% -$401
HBIO icon
7409
Harvard Bioscience
HBIO
$27.1M
$2K ﹤0.01%
+71
New +$2.39K
HWKN icon
7410
CALL
Hawkins
HWKN
$2.91B
$2K ﹤0.01%
+2
New +$49
IDN icon
7411
PUT
Intellicheck
IDN
$73.5M
$2K ﹤0.01%
3
– –
IDV icon
7412
iShares International Select Dividend ETF
IDV
$8.25B
$2K ﹤0.01%
+111
New +$2.88K
IGC icon
7413
CALL
IGC Pharma
IGC
$27.6M
$2K ﹤0.01%
+20
New +$20
INDP icon
7414
CALL
Indaptus Therapeutics
INDP
$348M
– –
0
– –
INGN icon
7415
CALL
Inogen
INGN
$167M
$2K ﹤0.01%
1
-62
-98% -$1.95K
INO icon
7416
Inovio Pharmaceuticals
INO
$79.8M
$2K ﹤0.01%
17
-1,521
-99% -$317K
INOD icon
7417
PUT
Innodata
INOD
$1.83B
$2K ﹤0.01%
+8
New +$15
IRM icon
7418
Iron Mountain
IRM
$38.2B
$2K ﹤0.01%
+100
New +$2.85K
JELD icon
7419
PUT
JELD-WEN Holding
JELD
$94.8M
$2K ﹤0.01%
1
-16
-94% -$327
JHG
7420
PUT
DELISTED
Janus Henderson
JHG
$2K ﹤0.01%
+1
New +$21
KRNY icon
7421
CALL
Kearny Financial
KRNY
$592M
$2K ﹤0.01%
+4
New +$31
KRP icon
7422
Kimbell Royalty Partners
KRP
$1.47B
$2K ﹤0.01%
393
-276
-41% -$2.23K
KZR
7423
DELISTED
Kezar Life Sciences
KZR
$2K ﹤0.01%
47
-46
-49% -$2.2K
LBRT icon
7424
Liberty Energy
LBRT
$2.83B
$2K ﹤0.01%
360
-29,120
-99% -$203K
LEU icon
7425
Centrus Energy
LEU
$3.22B
$2K ﹤0.01%
+283
New +$3.34K
295 296
297
298 299

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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.