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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
BBBY
7801
Bed Bath & Beyond
BBBY
$473M
$0 ﹤0.01%
35,533
+5,305
+18% +$361K
BBBY
7802
PUT
Bed Bath & Beyond
BBBY
$473M
– –
-172
Closed -$442K
CACI icon
7803
PUT
CACI
CACI
$10.8B
– –
-1
Closed -$21K
CADE
7804
DELISTED
Cadence Bank
CADE
– –
-1,805
Closed -$38.6K
CAMT icon
7805
Camtek
CAMT
$6.9B
– –
-7,318
Closed -$109K
CAPR icon
7806
Capricor Therapeutics
CAPR
$1.14B
– –
-4,044
Closed -$23.6K
CARS icon
7807
Cars.com
CARS
$641M
– –
-59,621
Closed -$463K
CASS icon
7808
CALL
Cass Information Systems
CASS
$698M
– –
-1
Closed -$1K
CATO icon
7809
CALL
Cato Corp
CATO
$65.9M
– –
-24
Closed -$19K
CATY icon
7810
PUT
Cathay General Bancorp
CATY
$4.2B
– –
-14
Closed -$36K
CB icon
7811
Chubb
CB
$140B
– –
-5,275
Closed -$663K
CBOE icon
7812
Cboe Global Markets
CBOE
$29.8B
– –
-251
Closed -$22.6K
CBRL icon
7813
CALL
Cracker Barrel
CBRL
$1.2B
– –
-174
Closed -$1.93M
CBRL icon
7814
Cracker Barrel
CBRL
$1.2B
$0 ﹤0.01%
1,748
-722
-29% -$84.6K
CBRL icon
7815
PUT
Cracker Barrel
CBRL
$1.2B
– –
-64
Closed -$709K
CCI icon
7816
Crown Castle
CCI
$32.7B
– –
-7,303
Closed -$1.21M
CCNE icon
7817
CALL
CNB Financial Corp
CCNE
$1.03B
– –
-1
Closed -$1K
CDNA icon
7818
PUT
CareDx
CDNA
$1.92B
– –
-308
Closed -$1.09M
CDW icon
7819
PUT
CDW
CDW
$17.1B
– –
-4
Closed -$46K
CDXS icon
7820
Codexis
CDXS
$135M
– –
-986
Closed -$12.3K
CDZI icon
7821
CALL
Cadiz
CDZI
$266M
– –
-3
Closed -$3K
CE icon
7822
Celanese
CE
$5.09B
– –
-3,472
Closed -$347K
CFFN icon
7823
PUT
Capitol Federal Financial
CFFN
$1.08B
– –
-7
Closed -$7K
CFG icon
7824
Citizens Financial Group
CFG
$30.4B
– –
-15,757
Closed -$400K
CGC
7825
Canopy Growth
CGC
$375M
$0 ﹤0.01%
+6
New +$1.01K
311 312
313
314 315

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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.