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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
GNSS icon
7576
CALL
Genasys
GNSS
$78.3M
$7K ﹤0.01%
11
-99
-90% -$639
HOOK
7577
PUT
DELISTED
HOOKIPA Pharma
HOOK
$7K ﹤0.01%
+1
New +$108
KMPR icon
7578
CALL
Kemper
KMPR
$1.74B
$7K ﹤0.01%
1
– –
KTCC icon
7579
CALL
Key Tronic
KTCC
$41.3M
$7K ﹤0.01%
11
-58
-84% -$474
KVHI icon
7580
CALL
KVH Industries
KVHI
$184M
$7K ﹤0.01%
7
-4
-36% -$40
LVO icon
7581
PUT
LiveOne
LVO
$67.4M
$7K ﹤0.01%
2
-6
-75% -$146
MATW icon
7582
Matthews International
MATW
$881M
$7K ﹤0.01%
269
-6,197
-96% -$160K
MFG icon
7583
PUT
Mizuho Financial
MFG
$129B
$7K ﹤0.01%
+31
New +$80
MFIN icon
7584
PUT
Medallion Financial
MFIN
$227M
$7K ﹤0.01%
16
+1
+7% +$4
MPAA icon
7585
Motorcar Parts of America
MPAA
$259M
$7K ﹤0.01%
+399
New +$7.41K
NRP icon
7586
Natural Resource Partners
NRP
$1.29B
$7K ﹤0.01%
575
-1,743
-75% -$23.6K
OGI
7587
PUT
Organigram Holdings
OGI
$135M
$7K ﹤0.01%
14
+4
+40% +$21
OGS icon
7588
CALL
ONE Gas
OGS
$5.05B
$7K ﹤0.01%
1
-1
-50% -$76
OGS icon
7589
PUT
ONE Gas
OGS
$5.05B
$7K ﹤0.01%
+1
New +$76
PBT
7590
PUT
Permian Basin Royalty Trust
PBT
$1.33B
$7K ﹤0.01%
+23
New +$64
PG icon
7591
Procter & Gamble
PG
$346B
$7K ﹤0.01%
55
– –
PGRE
7592
CALL
DELISTED
Paramount Group
PGRE
$7K ﹤0.01%
+8
New +$64
PHX
7593
PUT
DELISTED
PHX Minerals
PHX
$7K ﹤0.01%
34
-42
-55% -$76
PLXS icon
7594
CALL
Plexus
PLXS
$6.77B
$7K ﹤0.01%
1
-97
-99% -$7.24K
PRA
7595
PUT
DELISTED
ProAssurance
PRA
$7K ﹤0.01%
+4
New +$65
PRAA icon
7596
PUT
PRA Group
PRAA
$673M
$7K ﹤0.01%
2
-7
-78% -$278
QUIK icon
7597
QuickLogic
QUIK
$228M
$7K ﹤0.01%
1,943
-1,983
-51% -$6.17K
RCUS icon
7598
CALL
Arcus Biosciences
RCUS
$3.69B
$7K ﹤0.01%
3
-3
-50% -$73
RGLS
7599
PUT
DELISTED
Regulus Therapeutics
RGLS
$7K ﹤0.01%
+5
New +$37
SAH icon
7600
CALL
Sonic Automotive
SAH
$3.24B
$7K ﹤0.01%
2
-12
-86% -$488
302 303
304
305 306

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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.