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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
KRP icon
7876
CALL
Kimbell Royalty Partners
KRP
$1.47B
$3K ﹤0.01%
+4
New +$29
LBRT icon
7877
PUT
Liberty Energy
LBRT
$2.83B
$3K ﹤0.01%
3
-112
-97% -$1.02K
LFVN icon
7878
LifeVantage
LFVN
$82.4M
$3K ﹤0.01%
341
+198
+138% +$2.22K
LPCN icon
7879
PUT
Lipocine
LPCN
$17.1M
$3K ﹤0.01%
1
-19
-95% -$457
LSAK icon
7880
PUT
Lesaka Technologies
LSAK
$388M
$3K ﹤0.01%
8
+2
+33% +$7
MLI icon
7881
CALL
Mueller Industries
MLI
$14.1B
$3K ﹤0.01%
4
-32
-89% -$256
MLR icon
7882
PUT
Miller Industries
MLR
$586M
$3K ﹤0.01%
+1
New +$33
MRCC
7883
CALL
DELISTED
Monroe Capital Corp
MRCC
$3K ﹤0.01%
4
-23
-85% -$177
NNVC icon
7884
CALL
NanoViricides
NNVC
$34M
$3K ﹤0.01%
13
-242
-95% -$881
NTWK icon
7885
NetSol Technologies
NTWK
$51.7M
$3K ﹤0.01%
1,018
-6,628
-87% -$20.6K
NVEE
7886
DELISTED
NV5 Global
NVEE
$3K ﹤0.01%
+196
New +$3.3K
IMDX
7887
PUT
Insight Molecular Diagnostics
IMDX
$153M
$3K ﹤0.01%
+1
New +$37
OMEX icon
7888
CALL
Odyssey Marine Exploration
OMEX
$40.4M
$3K ﹤0.01%
5
-32
-86% -$219
PFBC icon
7889
Preferred Bank
PFBC
$1.22B
$3K ﹤0.01%
+63
New +$2.46K
PHAT icon
7890
PUT
Phathom Pharmaceuticals
PHAT
$912M
$3K ﹤0.01%
+1
New +$41
PRA
7891
DELISTED
ProAssurance
PRA
$3K ﹤0.01%
+204
New +$3.32K
PSO icon
7892
Pearson
PSO
$9.78B
$3K ﹤0.01%
334
-19,419
-98% -$156K
PUK icon
7893
PUT
Prudential
PUK
$36.5B
$3K ﹤0.01%
1
-65
-98% -$2K
QQQE icon
7894
Direxion NASDAQ-100 Equal Weighted Index ETF
QQQE
$1.33B
$3K ﹤0.01%
47
-192
-80% -$13.4K
RLMD icon
7895
PUT
Relmada Therapeutics
RLMD
$544M
$3K ﹤0.01%
1
– –
RMAX icon
7896
PUT
RE/MAX Holdings
RMAX
$200M
$3K ﹤0.01%
1
– –
RNST icon
7897
PUT
Renasant Corp
RNST
$4.01B
$3K ﹤0.01%
1
– –
SCYX icon
7898
SCYNEXIS
SCYX
$37M
$3K ﹤0.01%
+63
New +$2.95K
SNT
7899
Senstar Technologies
SNT
$41.1M
$3K ﹤0.01%
+895
New +$3.65K
SRI icon
7900
CALL
Stoneridge
SRI
$209M
$3K ﹤0.01%
1
-4
-80% -$104
314 315
316
317 318

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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.