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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
LSAK icon
7426
PUT
Lesaka Technologies
LSAK
$388M
$2K ﹤0.01%
6
+1
+20% +$3
MEI icon
7427
PUT
Methode Electronics
MEI
$543M
$2K ﹤0.01%
1
-6
-86% -$173
MIND icon
7428
PUT
MIND Technology
MIND
$50.4M
$2K ﹤0.01%
1
-1
-50% -$22
NBTB icon
7429
CALL
NBT Bancorp
NBTB
$2.72B
$2K ﹤0.01%
1
-12
-92% -$356
NCTY
7430
CALL
The9 Ltd
NCTY
$49M
$2K ﹤0.01%
+1
New +$66
NFBK
7431
PUT
DELISTED
Northfield Bancorp
NFBK
$2K ﹤0.01%
3
– –
NTCT icon
7432
PUT
NETSCOUT
NTCT
$2.86B
$2K ﹤0.01%
1
-17
-94% -$411
NVST icon
7433
PUT
Envista
NVST
$4.28B
$2K ﹤0.01%
1
-12
-92% -$277
NXTC icon
7434
NextCure
NXTC
$17.3M
$2K ﹤0.01%
25
-131
-84% -$16.1K
OOMA icon
7435
Ooma
OOMA
$550M
$2K ﹤0.01%
215
-1,958
-90% -$29.9K
PFLT icon
7436
PennantPark Floating Rate Capital
PFLT
$681M
$2K ﹤0.01%
+345
New +$2.92K
PHX
7437
CALL
DELISTED
PHX Minerals
PHX
$2K ﹤0.01%
14
+3
+27% +$6
PKE icon
7438
CALL
Park Aerospace
PKE
$745M
$2K ﹤0.01%
2
-38
-95% -$426
PLSE icon
7439
CALL
Pulse Biosciences
PLSE
$2.09B
$2K ﹤0.01%
2
-6
-75% -$65
PMT
7440
PennyMac Mortgage Investment
PMT
$849M
$2K ﹤0.01%
+137
New +$2.43K
PSNL icon
7441
Personalis
PSNL
$1.26B
$2K ﹤0.01%
+100
New +$1.99K
PXLW icon
7442
Pixelworks
PXLW
$38.8M
$2K ﹤0.01%
115
-1,221
-91% -$39.5K
RES icon
7443
RPC Inc
RES
$1.24B
$2K ﹤0.01%
815
-3,122
-79% -$9.72K
REYN icon
7444
Reynolds Consumer Products
REYN
$5.4B
$2K ﹤0.01%
+79
New +$2.6K
RFIL icon
7445
CALL
RF Industries
RFIL
$135M
$2K ﹤0.01%
5
-32
-86% -$144
RNST icon
7446
PUT
Renasant Corp
RNST
$4.01B
$2K ﹤0.01%
+1
New +$24
SEM
7447
PUT
DELISTED
Select Medical
SEM
$2K ﹤0.01%
2
-169
-99% -$1.66K
SJT
7448
PUT
San Juan Basin Royalty Trust
SJT
$117M
$2K ﹤0.01%
8
-24
-75% -$61
SNCR
7449
CALL
DELISTED
Synchronoss Technologies
SNCR
$2K ﹤0.01%
1
– –
SNDA icon
7450
PUT
Sonida Senior Living
SNDA
$1.97B
$2K ﹤0.01%
2
– –
296 297
298
299 300

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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.