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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
DAKT icon
7701
PUT
Daktronics
DAKT
$941M
$5K ﹤0.01%
11
-9
-45% -$39
DAO
7702
CALL
Youdao
DAO
$1.85B
$5K ﹤0.01%
+2
New +$56
DFIN icon
7703
PUT
Donnelley Financial Solutions
DFIN
$1.21B
$5K ﹤0.01%
+3
New +$46
DHC
7704
Diversified Healthcare Trust
DHC
$2.26B
$5K ﹤0.01%
1,389
-2,995
-68% -$11.8K
EIG icon
7705
Employers Holdings
EIG
$908M
$5K ﹤0.01%
+167
New +$5.39K
FARO
7706
DELISTED
Faro Technologies
FARO
$5K ﹤0.01%
+71
New +$4.69K
GOEX icon
7707
Global X Gold Explorers ETF NEW
GOEX
$106M
$5K ﹤0.01%
159
– –
HDSN
7708
PUT
Hudson Technologies
HDSN
$267M
$5K ﹤0.01%
+52
New +$62
HESM icon
7709
CALL
Hess Midstream
HESM
$5.22B
$5K ﹤0.01%
+3
New +$54
IFRX icon
7710
CALL
InflaRx
IFRX
$256M
$5K ﹤0.01%
11
-23
-68% -$104
IIIV icon
7711
i3 Verticals
IIIV
$395M
$5K ﹤0.01%
+174
New +$4.66K
INOD icon
7712
PUT
Innodata
INOD
$1.83B
$5K ﹤0.01%
10
+2
+25% +$8
INVE icon
7713
CALL
Identive
INVE
$64.6M
$5K ﹤0.01%
6
-108
-95% -$744
KT icon
7714
KT
KT
$8.84B
$5K ﹤0.01%
470
-6,944
-94% -$73.2K
LIND icon
7715
PUT
Lindblad Expeditions
LIND
$1.76B
$5K ﹤0.01%
3
-336
-99% -$3.85K
MPX
7716
CALL
DELISTED
Marine Products Corp
MPX
$5K ﹤0.01%
4
– –
MSB
7717
PUT
Mesabi Trust
MSB
$295M
$5K ﹤0.01%
2
– –
NHTC icon
7718
Natural Health Trends
NHTC
$15.4M
$5K ﹤0.01%
1,141
+86
+8% +$478
NWPX icon
7719
CALL
NWPX Infrastructure Inc
NWPX
$1.25B
$5K ﹤0.01%
+2
New +$57
NWPX icon
7720
NWPX Infrastructure Inc
NWPX
$1.25B
$5K ﹤0.01%
+182
New +$5.16K
OXSQ icon
7721
Oxford Square Capital
OXSQ
$151M
$5K ﹤0.01%
1,945
-143
-7% -$404
PAYS icon
7722
Paysign
PAYS
$486M
$5K ﹤0.01%
1,229
-18,428
-94% -$96.4K
PCRX icon
7723
PUT
Pacira BioSciences
PCRX
$1.02B
$5K ﹤0.01%
+1
New +$59
PFBC icon
7724
CALL
Preferred Bank
PFBC
$1.22B
$5K ﹤0.01%
+1
New +$39
PRIM icon
7725
Primoris Services
PRIM
$4.69B
$5K ﹤0.01%
+187
New +$4.3K
307 308
309
310 311

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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.