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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
DESP
7901
PUT
DELISTED
Despegar.com
DESP
– –
-998
Closed -$716K
DFEN icon
7902
Direxion Daily Aerospace & Defense Bull 3X ETF
DFEN
$389M
$0 ﹤0.01%
7,811
+7,711
+7,711% +$91.1K
DFS
7903
DELISTED
Discover Financial Services
DFS
– –
-28,703
Closed -$1.5M
DGX icon
7904
Quest Diagnostics
DGX
$25.4B
– –
-385
Closed -$45.5K
DHX icon
7905
DHI Group
DHX
$167M
$0 ﹤0.01%
+36
New +$89
DINO icon
7906
HF Sinclair
DINO
$16.1B
– –
-25,214
Closed -$628K
DIOD icon
7907
Diodes
DIOD
$4.06B
– –
-1,621
Closed -$82.1K
DLR icon
7908
Digital Realty Trust
DLR
$74.9B
– –
-3,623
Closed -$543K
DNLI icon
7909
Denali Therapeutics
DNLI
$3.63B
– –
-81
Closed –
DNN icon
7910
Denison Mines
DNN
$2.68B
$0 ﹤0.01%
400
– –
DNTH icon
7911
PUT
Dianthus Therapeutics
DNTH
$5.61B
– –
0
– -$3K
DOCU
7912
CALL
DocuSign
DOCU
$9.52B
– –
-2,013
Closed -$34.7M
DOCU
7913
DocuSign
DOCU
$9.52B
$0 ﹤0.01%
+16,338
New +$3.39M
DOCU
7914
PUT
DocuSign
DOCU
$9.52B
– –
-1,176
Closed -$20.3M
DORM icon
7915
Dorman Products
DORM
$3.98B
– –
-1,300
Closed -$104K
DOW icon
7916
Dow Inc
DOW
$21.6B
– –
-17,082
Closed -$767K
DOX icon
7917
Amdocs
DOX
$5.56B
– –
-5,494
Closed -$328K
DOYU
7918
DouYu International Holdings
DOYU
$137M
– –
-3,906
Closed -$560K
DQ
7919
Daqo New Energy
DQ
$775M
– –
-74,835
Closed -$1.66M
DRH icon
7920
PUT
Diamondrock Hospitality Co
DRH
$2.65B
– –
-2
Closed -$1K
DRV icon
7921
Direxion Daily Real Estate Bear 3X ETF
DRV
$24.9M
– –
-1,550
Closed -$246K
DSX icon
7922
PUT
Diana Shipping
DSX
$282M
– –
-19
Closed -$1K
DUST icon
7923
Direxion Daily Gold Miners Index Bear 2X ETF
DUST
$72.3M
– –
-153
Closed -$380K
DVA icon
7924
DaVita
DVA
$15.1B
– –
-3
Closed -$256
DXPE icon
7925
CALL
DXP Enterprises
DXPE
$2.68B
– –
-5
Closed -$9K
315 316
317
318 319

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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.