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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
ALLE icon
7701
PUT
Allegion
ALLE
$13B
– –
-43
Closed -$439K
ALLK
7702
CALL
DELISTED
Allakos
ALLK
– –
-29
Closed -$208K
ALSN icon
7703
Allison Transmission
ALSN
$10.1B
– –
-1,235
Closed -$44.7K
ALT icon
7704
CALL
Altimmune
ALT
$539M
– –
-367
Closed -$393K
ALT icon
7705
PUT
Altimmune
ALT
$539M
– –
-144
Closed -$154K
ALV icon
7706
Autoliv
ALV
$8.6B
– –
-7,406
Closed -$526K
AM icon
7707
Antero Midstream
AM
$10.8B
– –
-20,751
Closed -$126K
AMD icon
7708
Advanced Micro Devices
AMD
$851B
– –
-425,145
Closed -$31.6M
AMG icon
7709
Affiliated Managers Group
AMG
$9.46B
– –
-984
Closed -$68.8K
AMN icon
7710
AMN Healthcare
AMN
$1.28B
– –
-1,386
Closed -$73K
AMPY icon
7711
CALL
Amplify Energy
AMPY
$163M
– –
-117
Closed -$14K
AMPY icon
7712
Amplify Energy
AMPY
$163M
$0 ﹤0.01%
1,094
+728
+199% +$836
AMPY icon
7713
PUT
Amplify Energy
AMPY
$163M
– –
-10
Closed -$1K
ANAB icon
7714
AnaptysBio
ANAB
$1.6B
– –
-1,075
Closed -$19.4K
ANAB icon
7715
PUT
AnaptysBio
ANAB
$1.6B
– –
-1
Closed -$2K
ANF icon
7716
Abercrombie & Fitch
ANF
$4.17B
– –
-23,812
Closed -$278K
ANGO icon
7717
AngioDynamics
ANGO
$562M
– –
-17
Closed -$161
ANIP icon
7718
ANI Pharmaceuticals
ANIP
$1.77B
– –
-653
Closed -$19.4K
ANIP icon
7719
PUT
ANI Pharmaceuticals
ANIP
$1.77B
– –
-7
Closed -$22K
APAM icon
7720
Artisan Partners
APAM
$2.79B
– –
-401
Closed -$14.7K
APG icon
7721
APi Group
APG
$17.1B
– –
-1,470
Closed -$13.5K
APG icon
7722
PUT
APi Group
APG
$17.1B
– –
-29
Closed -$23K
APEI icon
7723
PUT
American Public Education
APEI
$875M
– –
-23
Closed -$68K
APH icon
7724
Amphenol
APH
$188B
– –
-9,964
Closed -$263K
APLS
7725
CALL
DELISTED
Apellis Pharmaceuticals
APLS
– –
-396
Closed -$1.29M
307 308
309
310 311

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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.