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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
BUD icon
7951
AB InBev
BUD
$158B
$2K ﹤0.01%
40
– –
CCRN
7952
PUT
DELISTED
Cross Country Healthcare
CCRN
$2K ﹤0.01%
3
-103
-97% -$838
CPSS icon
7953
CALL
Consumer Portfolio Services
CPSS
$205M
$2K ﹤0.01%
+6
New +$24
CUE icon
7954
CALL
Cue Biopharma
CUE
$135M
– –
0
– –
CVEO icon
7955
Civeo
CVEO
$379M
$2K ﹤0.01%
+157
New +$1.86K
CWK icon
7956
Cushman & Wakefield Ltd
CWK
$2.98B
$2K ﹤0.01%
190
-35
-16% -$486
CYCN icon
7957
Cyclerion Therapeutics
CYCN
$15.2M
$2K ﹤0.01%
41
+35
+583% +$2.39K
DAC icon
7958
CALL
Danaos Corp
DAC
$2.55B
$2K ﹤0.01%
+5
New +$64
DBI icon
7959
Designer Brands
DBI
$277M
$2K ﹤0.01%
+351
New +$2.33K
DXPE icon
7960
PUT
DXP Enterprises
DXPE
$2.62B
$2K ﹤0.01%
+1
New +$20
EFSC icon
7961
Enterprise Financial Services Corp
EFSC
$2.41B
$2K ﹤0.01%
+74
New +$2.42K
CHRN
7962
PUT
ChronoScale Holdings
CHRN
$3.12B
– –
0
– –
EPP icon
7963
iShares MSCI Pacific ex Japan ETF
EPP
$2.18B
$2K ﹤0.01%
+56
New +$2.5K
EWD icon
7964
iShares MSCI Sweden ETF
EWD
$522M
$2K ﹤0.01%
65
-50
-43% -$1.89K
FC icon
7965
PUT
Franklin Covey
FC
$233M
$2K ﹤0.01%
+1
New +$21
FFBC icon
7966
First Financial Bancorp
FFBC
$3.55B
$2K ﹤0.01%
+147
New +$2.31K
FINV
7967
CALL
FinVolution Group
FINV
$1.12B
$2K ﹤0.01%
+11
New +$23
FTK icon
7968
PUT
Flotek Industries
FTK
$935M
$2K ﹤0.01%
2
-2
-50% -$29
GDYN icon
7969
Grid Dynamics Holdings
GDYN
$476M
$2K ﹤0.01%
+172
New +$1.66K
GRBK icon
7970
PUT
Green Brick Partners
GRBK
$3.13B
$2K ﹤0.01%
1
-2
-67% -$42
GSG icon
7971
CALL
iShares S&P GSCI Commodity-Indexed Trust
GSG
$1.02B
$2K ﹤0.01%
2
-590
-100% -$6.67K
HEDJ icon
7972
WisdomTree Europe Hedged Equity Fund
HEDJ
$1.82B
$2K ﹤0.01%
70
-196
-74% -$6.29K
HPQ icon
7973
HP
HPQ
$23.5B
$2K ﹤0.01%
100
-13,532
-99% -$284K
HSTM icon
7974
PUT
HealthStream
HSTM
$793M
$2K ﹤0.01%
+1
New +$20
IFRX icon
7975
PUT
InflaRx
IFRX
$256M
$2K ﹤0.01%
+5
New +$23
317 318
319
320 321

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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.