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Simplex Trading

Simplex Trading Portfolio holdings

AUM $171B
1-Year Est. Return 85%
 

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
+85%
3 Year Est. Return
+183.25%
5 Year Est. Return
+145.21%
10 Year Est. Return
+1,056.84%
AUM
$73.5B
AUM Growth
+$10.8B
Cap. Flow
-$387M
Cap. Flow %
-0.53%
Top 10 Hldgs %
42.78%
Holding
9,056
New
1,402
Increased
3,135
Reduced
3,121
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 Miscellaneous 97.95%
2 Consumer Discretionary 0.55%
3 Technology 0.41%
4 Healthcare 0.23%
5 Financials 0.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FAZ
7976
Direxion Daily Financial Bear 3x ETF
FAZ
$100M
– –
-14
Closed -$19K
FBRX
7977
CALL
DELISTED
Forte Biosciences
FBRX
– –
0
– -$5K
FC icon
7978
PUT
Franklin Covey
FC
$215M
– –
-14
Closed -$29K
FCFS icon
7979
CALL
FirstCash
FCFS
$9.79B
– –
-4
Closed -$26K
FDIS icon
7980
Fidelity MSCI Consumer Discretionary Index ETF
FDIS
$1.67B
– –
-1,443
Closed -$75K
DMC
7981
Del Monte Corp
DMC
$1.51B
– –
-1,967
Closed -$46.2K
FDUS icon
7982
Fidus Investment
FDUS
$745M
– –
-1,461
Closed -$14.1K
FENC icon
7983
CALL
Fennec Pharmaceuticals
FENC
$434M
– –
-86
Closed -$71K
FENC icon
7984
Fennec Pharmaceuticals
FENC
$434M
$0 ﹤0.01%
107
-1,253
-92% -$8.83K
FENC icon
7985
PUT
Fennec Pharmaceuticals
FENC
$434M
– –
-4
Closed -$3K
FENG
7986
PUT
Phoenix New Media
FENG
$17.8M
– –
-2
Closed -$1K
FENY icon
7987
Fidelity MSCI Energy Index ETF
FENY
$2.15B
– –
-4,701
Closed -$46K
FEZ icon
7988
State Street SPDR EURO STOXX 50 ETF
FEZ
$4.47B
– –
-92,046
Closed -$3.27M
FHI icon
7989
Federated Hermes
FHI
$4.66B
– –
-4,249
Closed -$101K
FISV
7990
CALL
Fiserv Inc
FISV
$28.2B
– –
-1,193
Closed -$11.6M
FISV
7991
Fiserv Inc
FISV
$28.2B
$0 ﹤0.01%
26,436
-6,675
-20% -$665K
FISV
7992
PUT
Fiserv Inc
FISV
$28.2B
– –
-1,352
Closed -$13.2M
FICO icon
7993
Fair Isaac
FICO
$20.1B
– –
-2,661
Closed -$1.13M
FINV
7994
CALL
FinVolution Group
FINV
$800M
– –
-57
Closed -$10K
FIX icon
7995
Comfort Systems
FIX
$56.7B
– –
-134
Closed -$6.5K
FIZZ icon
7996
National Beverage
FIZZ
$3.02B
– –
-12,618
Closed -$442K
FL
7997
DELISTED
Foot Locker
FL
– –
-14,381
Closed -$438K
FLS icon
7998
Flowserve
FLS
$9.74B
– –
-11,149
Closed -$325K
FMS icon
7999
CALL
Fresenius Medical Care
FMS
$12.1B
– –
-5
Closed -$21K
FNB icon
8000
FNB Corp
FNB
$6.65B
– –
-3,483
Closed -$25.6K
318 319
320
321 322

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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 1,402 new, 3,135 increased, 3,121 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 Miscellaneous at 98% of assets, up from 98% a quarter earlier, followed by Consumer Discretionary and Technology.

  • 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 1,402 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.