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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
OESX icon
7576
PUT
Orion Energy Systems
OESX
$41.1M
– –
0
– –
PLX icon
7577
CALL
Protalix BioTherapeutics
PLX
$191M
$1K ﹤0.01%
5
-184
-97% -$665
PRQR icon
7578
PUT
ProQR Therapeutics
PRQR
$243M
$1K ﹤0.01%
+4
New +$21
PTEN icon
7579
Patterson-UTI
PTEN
$3.87B
$1K ﹤0.01%
554
-15,692
-97% -$57.7K
PTGX icon
7580
CALL
Protagonist Therapeutics
PTGX
$8.75B
$1K ﹤0.01%
+1
New +$19
PXJ icon
7581
Invesco Oil & Gas Services ETF
PXJ
$67.3M
$1K ﹤0.01%
+153
New +$1.85K
RCUS icon
7582
PUT
Arcus Biosciences
RCUS
$3.57B
$1K ﹤0.01%
+1
New +$22
REI icon
7583
CALL
Ring Energy
REI
$322M
$1K ﹤0.01%
29
-197
-87% -$187
RES icon
7584
PUT
RPC Inc
RES
$1.24B
$1K ﹤0.01%
7
-114
-94% -$355
RM icon
7585
CALL
Regional Management Corp
RM
$384M
$1K ﹤0.01%
1
-50
-98% -$858
RVP icon
7586
PUT
Retractable Technologies
RVP
$20.4M
$1K ﹤0.01%
+3
New +$24
RYZ
7587
Ryerson Holding Corp
RYZ
$1.6B
$1K ﹤0.01%
+175
New +$1.02K
SAIA icon
7588
PUT
Saia
SAIA
$11.3B
$1K ﹤0.01%
+1
New +$128
SND icon
7589
Smart Sand
SND
$200M
$1K ﹤0.01%
+1,216
New +$1.54K
SND icon
7590
PUT
Smart Sand
SND
$200M
$1K ﹤0.01%
15
+5
+50% +$6
SNDL icon
7591
PUT
Sundial Growers
SNDL
$324M
$1K ﹤0.01%
+8
New +$40
SPRU icon
7592
CALL
Spruce Power Holding Corp
SPRU
$39.9M
– –
0
– –
SSD icon
7593
Simpson Manufacturing
SSD
$7.98B
$1K ﹤0.01%
+20
New +$1.9K
SUP
7594
PUT
DELISTED
Superior Industries International
SUP
$1K ﹤0.01%
13
-16
-55% -$25
SY
7595
PUT
So-Young International
SY
$194M
$1K ﹤0.01%
1
-6
-86% -$78
TG icon
7596
CALL
Tredegar Corp
TG
$268M
$1K ﹤0.01%
1
-16
-94% -$262
TLSA icon
7597
Tiziana Life Sciences
TLSA
$114M
$1K ﹤0.01%
+510
New +$1.99K
TMDX icon
7598
CALL
Transmedics
TMDX
$2.5B
$1K ﹤0.01%
+15
New +$257
TPIC
7599
DELISTED
TPI Composites
TPIC
$1K ﹤0.01%
65
-332
-84% -$9.32K
UGP icon
7600
Ultrapar
UGP
$6.87B
$1K ﹤0.01%
+393
New +$1.45K
302 303
304
305 306

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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.