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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
DBP icon
7776
Invesco DB Precious Metals Fund
DBP
$237M
$4K ﹤0.01%
89
-3
-3% -$155
DXPE icon
7777
CALL
DXP Enterprises
DXPE
$2.62B
$4K ﹤0.01%
+2
New +$40
ELMD icon
7778
PUT
Electromed
ELMD
$318M
$4K ﹤0.01%
+5
New +$47
ESCA icon
7779
CALL
Escalade
ESCA
$257M
$4K ﹤0.01%
2
-24
-92% -$490
FAN icon
7780
CALL
First Trust Global Wind Energy ETF
FAN
$281M
$4K ﹤0.01%
+2
New +$40
FRPT icon
7781
Freshpet
FRPT
$2.83B
$4K ﹤0.01%
32
-4,238
-99% -$547K
GOGL
7782
CALL
DELISTED
Golden Ocean Group
GOGL
$4K ﹤0.01%
9
– –
HBIO icon
7783
CALL
Harvard Bioscience
HBIO
$27.1M
$4K ﹤0.01%
+1
New +$37
HOOK
7784
CALL
DELISTED
HOOKIPA Pharma
HOOK
– –
0
– –
HXL icon
7785
Hexcel
HXL
$8.32B
$4K ﹤0.01%
+95
New +$4.14K
HXL icon
7786
PUT
Hexcel
HXL
$8.32B
$4K ﹤0.01%
1
-5
-83% -$218
KFRC icon
7787
CALL
Kforce
KFRC
$983M
$4K ﹤0.01%
1
– –
KZR
7788
DELISTED
Kezar Life Sciences
KZR
$4K ﹤0.01%
78
+31
+66% +$1.72K
LMAT icon
7789
CALL
LeMaitre Vascular
LMAT
$2.18B
$4K ﹤0.01%
+1
New +$36
MMLP icon
7790
CALL
Martin Midstream Partners
MMLP
$95.9M
$4K ﹤0.01%
34
-33
-49% -$53
NAAS
7791
PUT
NaaS Technology Inc
NAAS
$37.6M
– –
0
– –
NHTC icon
7792
CALL
Natural Health Trends
NHTC
$15.4M
$4K ﹤0.01%
+9
New +$50
NNVC icon
7793
NanoViricides
NNVC
$34M
$4K ﹤0.01%
+1,577
New +$5.74K
NNVC icon
7794
PUT
NanoViricides
NNVC
$34M
$4K ﹤0.01%
+14
New +$51
OXM icon
7795
Oxford Industries
OXM
$577M
$4K ﹤0.01%
69
-1,157
-94% -$59.8K
PAVE icon
7796
Global X US Infrastructure Development ETF
PAVE
$14.3B
$4K ﹤0.01%
+200
New +$3.88K
PBPB
7797
DELISTED
Potbelly
PBPB
$4K ﹤0.01%
1,094
-8,324
-88% -$35.2K
PHAT icon
7798
Phathom Pharmaceuticals
PHAT
$912M
$4K ﹤0.01%
+134
New +$5.43K
QTRX icon
7799
PUT
Quanterix
QTRX
$173M
$4K ﹤0.01%
+1
New +$44
REI icon
7800
CALL
Ring Energy
REI
$322M
$4K ﹤0.01%
62
+33
+114% +$22
310 311
312
313 314

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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.