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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
CGNX icon
7826
Cognex
CGNX
$10.3B
– –
-337
Closed -$21.8K
CHAU icon
7827
Direxion Daily CSI 300 China A Share Bull 2X ETF
CHAU
$90.3M
– –
-21,358
Closed -$487K
CHE icon
7828
CALL
Chemed
CHE
$6.78B
– –
-23
Closed -$1.04M
CHE icon
7829
PUT
Chemed
CHE
$6.78B
– –
-1
Closed -$45K
CHH icon
7830
Choice Hotels
CHH
$5.03B
– –
-438
Closed -$39.5K
CHIQ icon
7831
Global X MSCI China Consumer Discretionary ETF
CHIQ
$124M
– –
-83
Closed -$1K
CIBR icon
7832
First Trust NASDAQ Cybersecurity ETF
CIBR
$13.8B
– –
-1,606
Closed -$53K
CIG icon
7833
CEMIG Preferred Shares
CIG
$6.09B
– –
-14,933
Closed -$16.5K
CIO
7834
CALL
DELISTED
City Office REIT
CIO
– –
-45
Closed -$45K
CIVI
7835
CALL
DELISTED
Civitas Resources
CIVI
– –
-7
Closed -$10K
CIVI
7836
PUT
DELISTED
Civitas Resources
CIVI
– –
-3
Closed -$4K
CLAR icon
7837
Clarus
CLAR
$125M
$0 ﹤0.01%
+1
New +$13
CLB icon
7838
Core Laboratories
CLB
$538M
– –
-8,733
Closed -$183K
CLBK icon
7839
CALL
Columbia Financial
CLBK
$1.13B
– –
-201
Closed -$280K
CLSD
7840
CALL
DELISTED
Clearside Biomedical
CLSD
– –
-1
Closed -$3K
CLSD
7841
DELISTED
Clearside Biomedical
CLSD
– –
-934
Closed -$24.1K
CLVT icon
7842
PUT
Clarivate
CLVT
$1.3B
– –
-110
Closed -$245K
CLX icon
7843
Clorox
CLX
$11.6B
– –
-34,016
Closed -$7.57M
CMC icon
7844
Commercial Metals
CMC
$7.63B
– –
-279
Closed -$5.8K
CMCM
7845
Cheetah Mobile
CMCM
$88.8M
– –
-9,857
Closed -$107K
CNA icon
7846
CNA Financial
CNA
$14.5B
– –
-300
Closed -$9.67K
CNC icon
7847
Centene
CNC
$31.3B
$0 ﹤0.01%
51,074
+36,957
+262% +$2.3M
CNET icon
7848
ZW Data Action Technologies
CNET
$2.91M
– –
-138
Closed -$3.55K
CNXN icon
7849
PUT
PC Connection
CNXN
$2.05B
– –
-65
Closed -$301K
CODX
7850
Co-Diagnostics
CODX
$7.74M
$0 ﹤0.01%
1
-564
-100% -$290K
312 313
314
315 316

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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.