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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
+26.79%
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
$77.2B
AUM Growth
+$3.66B
Cap. Flow
-$1.09B
Cap. Flow %
-1.41%
Top 10 Hldgs %
42.09%
Holding
9,568
New
1,711
Increased
3,402
Reduced
3,106
Closed
1,157

Top Buys

Rank Stock Value
1
BABA icon
Alibaba
BABA
+$39.9M
2
QQQ icon
Invesco QQQ Trust
QQQ
+$39M
3
MA icon
Mastercard
MA
+$31.3M
4
AAPL icon
Apple
AAPL
+$25.3M
5
GOOG icon
Alphabet (Google) Class C
GOOG
+$25.1M

Top Sells

Rank Stock Value
1
JPM icon
JPMorgan Chase
JPM
+$52.8M
2
TSM icon
TSMC
TSM
+$43M
3
AMZN icon
Amazon
AMZN
+$24.7M
4
SLV icon
iShares Silver Trust
SLV
+$24.2M
5
NFLX icon
Netflix
NFLX
+$21.1M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 0.65%
2 Technology 0.37%
3 Healthcare 0.33%
4 Industrials 0.21%
5 Communication Services 0.19%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
KIDS icon
7526
OrthoPediatrics
KIDS
$510M
$8K ﹤0.01%
+200
New +$9.17K
KOD icon
7527
Kodiak Sciences
KOD
$2.67B
$8K ﹤0.01%
+60
New +$6.69K
KRNT icon
7528
PUT
Kornit Digital
KRNT
$704M
$8K ﹤0.01%
1
-82
-99% -$6.3K
LBRT icon
7529
Liberty Energy
LBRT
$2.81B
$8K ﹤0.01%
839
+479
+133% +$4.37K
MRTN icon
7530
CALL
Marten Transport
MRTN
$1.26B
$8K ﹤0.01%
+5
New +$86
MTRX icon
7531
CALL
Matrix Service
MTRX
$344M
$8K ﹤0.01%
8
-12
-60% -$111
MUFG icon
7532
CALL
Mitsubishi UFJ Financial
MUFG
$259B
$8K ﹤0.01%
+20
New +$85
NGNE icon
7533
Neurogene
NGNE
$692M
$8K ﹤0.01%
30
-16
-35% -$3.91K
OEC icon
7534
Orion
OEC
$380M
$8K ﹤0.01%
501
-4,401
-90% -$67.1K
PTGX icon
7535
PUT
Protagonist Therapeutics
PTGX
$8.79B
$8K ﹤0.01%
4
– –
PUMP icon
7536
PUT
ProPetro Holding
PUMP
$1.36B
$8K ﹤0.01%
12
-143
-92% -$795
RES icon
7537
RPC Inc
RES
$1.23B
$8K ﹤0.01%
2,633
+1,818
+223% +$5.46K
RPAY icon
7538
PUT
Repay Holdings
RPAY
$332M
$8K ﹤0.01%
3
-55
-95% -$1.34K
SCYX icon
7539
CALL
SCYNEXIS
SCYX
$36.5M
$8K ﹤0.01%
+1
New +$47
SEM
7540
CALL
DELISTED
Select Medical
SEM
$8K ﹤0.01%
6
-18
-75% -$235
SLF icon
7541
PUT
Sun Life Financial
SLF
$45.8B
$8K ﹤0.01%
2
-31
-94% -$1.34K
SNDX icon
7542
CALL
Syndax Pharmaceuticals
SNDX
$1.86B
$8K ﹤0.01%
4
+2
+100% +$41
TSLX icon
7543
CALL
Sixth Street Specialty
TSLX
$1.63B
$8K ﹤0.01%
+4
New +$76
TWI icon
7544
PUT
Titan International
TWI
$509M
$8K ﹤0.01%
+18
New +$74
XNCR icon
7545
CALL
Xencor
XNCR
$1.48B
$8K ﹤0.01%
+2
New +$83
AMBR
7546
Amber International Holding Ltd
AMBR
$137M
$8K ﹤0.01%
100
-700
-88% -$53.8K
TECX
7547
Tectonic Therapeutic
TECX
$581M
$8K ﹤0.01%
51
+6
+13% +$1.07K
XYZ
7548
Block Inc
XYZ
$47.6B
$8K ﹤0.01%
37
-51,074
-100% -$9.96M
CMRX
7549
PUT
DELISTED
Chimerix, Inc.
CMRX
$8K ﹤0.01%
+18
New +$65
VCNX
7550
CALL
DELISTED
Vaccinex, Inc. Common Stock
VCNX
– –
0
– –
300 301
302
303 304

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Simplex Trading's Q4 2020 Portfolio in Review

As of Q4 2020, Simplex Trading held 9,568 positions worth $77.2B, up 5% from $73.5B the previous quarter. Its ten largest holdings account for 42% of the portfolio.

Simplex Trading's Q4 2020 filing shows 1,711 new, 3,402 increased, 3,106 reduced and 1,157 closed positions. Its largest new stake was Alibaba: 143,630 shares worth $33.4M. The largest sale was JPMorgan Chase, an estimated $52.8M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 0.65% of assets, up from 0.53% a quarter earlier, followed by Technology and Healthcare.

  • Simplex Trading's largest Q4 2020 buy was Alibaba: 143,630 shares worth $33.4M.
  • Simplex Trading added most to Invesco QQQ Trust in Q4 2020, an estimated $39M increase.
  • Simplex Trading's biggest Q4 2020 reduction was JPMorgan Chase, cutting an estimated $52.8M.
  • Simplex Trading fully exited Target in Q4 2020, selling an estimated $14.3M.
  • Simplex Trading's ten largest holdings make up 42% of its $77.2B portfolio in Q4 2020.
  • Simplex Trading opened 1,711 new positions and closed 1,157 in Q4 2020.
  • Simplex Trading's portfolio value rose 5% quarter-over-quarter to $77.2B.

Based on Simplex Trading's 13F filing for Q4 2020, filed 2 Feb 2021.