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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
SNDX icon
7451
CALL
Syndax Pharmaceuticals
SNDX
$1.84B
$2K ﹤0.01%
2
-51
-96% -$777
SNEX icon
7452
StoneX
SNEX
$8.83B
$2K ﹤0.01%
223
-1,357
-86% -$14.8K
SPOK icon
7453
CALL
Spok Holdings
SPOK
$221M
$2K ﹤0.01%
+3
New +$30
SPOK icon
7454
PUT
Spok Holdings
SPOK
$221M
$2K ﹤0.01%
3
– –
STRL icon
7455
CALL
Sterling Infrastructure
STRL
$20.3B
$2K ﹤0.01%
2
-53
-96% -$666
TBPH icon
7456
PUT
Theravance Biopharma
TBPH
$874M
$2K ﹤0.01%
2
-3
-60% -$56
TCX icon
7457
Tucows
TCX
$97.1M
$2K ﹤0.01%
34
-1,315
-97% -$85.1K
TDW icon
7458
Tidewater
TDW
$3.91B
$2K ﹤0.01%
443
-509
-53% -$3.34K
TIGR
7459
CALL
UP Fintech Holding
TIGR
$845M
$2K ﹤0.01%
+6
New +$33
TISI icon
7460
PUT
Team
TISI
$77.7M
$2K ﹤0.01%
1
-1
-50% -$54
TKC icon
7461
PUT
Turkcell
TKC
$4.84B
$2K ﹤0.01%
5
-50
-91% -$262
UXIN
7462
CALL
Uxin Ltd
UXIN
$330M
– –
-2
Closed -$239
WAFD icon
7463
CALL
WaFd
WAFD
$2.72B
$2K ﹤0.01%
1
-12
-92% -$283
WAFD icon
7464
PUT
WaFd
WAFD
$2.72B
$2K ﹤0.01%
1
-10
-91% -$236
WHD icon
7465
Cactus
WHD
$3.83B
$2K ﹤0.01%
+156
New +$3.38K
WNEB icon
7466
Western New England Bancorp
WNEB
$287M
$2K ﹤0.01%
+452
New +$2.43K
MTUS icon
7467
PUT
Metallus
MTUS
$873M
$2K ﹤0.01%
+7
New +$27
PENG
7468
CALL
Penguin Solutions Inc
PENG
$2.76B
$2K ﹤0.01%
2
-26
-93% -$347
KLRS
7469
PUT
Kalaris Therapeutics
KLRS
$88.7M
– –
0
– –
SYRS
7470
CALL
DELISTED
Syros Pharmaceuticals, Inc. Common Stock
SYRS
– –
-1
Closed -$114
GTHX
7471
CALL
DELISTED
G1 Therapeutics, Inc. Common Stock
GTHX
$2K ﹤0.01%
2
-3
-60% -$50
CAMP
7472
PUT
DELISTED
CalAmp Corp.
CAMP
– –
-1
Closed -$187
VJET
7473
PUT
DELISTED
VOXELJET AG American Depositary Shares (each representing one Ordinary Share)
VJET
$2K ﹤0.01%
3
+2
+200% +$15
SCU
7474
PUT
DELISTED
Sculptor Capital Management, Inc. Class A Common Stock
SCU
$2K ﹤0.01%
2
-61
-97% -$784
TCRR
7475
CALL
DELISTED
TCR2 Therapeutics Inc. Common Stock
TCRR
$2K ﹤0.01%
+1
New +$18
297 298
299
300 301

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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.