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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
FOR icon
8001
Forestar Group
FOR
$1.42B
– –
-2,464
Closed -$42.8K
FOR icon
8002
PUT
Forestar Group
FOR
$1.42B
– –
-60
Closed -$90K
FOXA icon
8003
Fox Class A
FOXA
$23.1B
– –
-4,702
Closed -$126K
FPX icon
8004
CALL
First Trust US Equity Opportunities ETF
FPX
$1.55B
– –
-10
Closed -$83K
FR icon
8005
PUT
First Industrial Realty Trust
FR
$8.79B
– –
-10
Closed -$38K
FSLR icon
8006
CALL
First Solar
FSLR
$22.1B
– –
-644
Closed -$3.19M
FSLR icon
8007
PUT
First Solar
FSLR
$22.1B
– –
-483
Closed -$2.39M
FSK icon
8008
FS KKR Capital
FSK
$2.96B
– –
-446
Closed -$6.96K
FSTR icon
8009
CALL
Foster
FSTR
$447M
– –
-558
Closed -$712K
FTAI icon
8010
FTAI Aviation
FTAI
$22.2B
– –
-37,054
Closed -$492K
FTDR icon
8011
Frontdoor
FTDR
$4.95B
– –
-3,630
Closed -$155K
FTDR icon
8012
PUT
Frontdoor
FTDR
$4.95B
– –
-61
Closed -$270K
FTI icon
8013
TechnipFMC
FTI
$30.3B
– –
-18,559
Closed -$104K
FTK icon
8014
Flotek Industries
FTK
$938M
– –
-761
Closed -$8.87K
FTS icon
8015
Fortis
FTS
$29.8B
– –
-612
Closed -$24.4K
FWONK icon
8016
Liberty Media Series C
FWONK
$24.2B
– –
-9,551
Closed -$292K
FWRD icon
8017
CALL
Forward Air
FWRD
$490M
– –
-62
Closed -$308K
FXN icon
8018
First Trust Energy AlphaDEX Fund
FXN
$397M
– –
-100
Closed –
GASS icon
8019
StealthGas
GASS
$335M
$0 ﹤0.01%
+218
New +$562
GCO icon
8020
Genesco
GCO
$388M
– –
-3,611
Closed -$70.7K
GDS icon
8021
GDS Holdings
GDS
$6.52B
– –
-630
Closed -$50.5K
GDXJ icon
8022
VanEck Junior Gold Miners ETF
GDXJ
$7.05B
– –
-154,483
Closed -$7.66M
GEOS icon
8023
Geospace Technologies
GEOS
$92.1M
– –
-649
Closed -$4K
GEOS icon
8024
PUT
Geospace Technologies
GEOS
$92.1M
– –
-20
Closed -$15K
GFF icon
8025
PUT
Griffon
GFF
$4.08B
– –
-1
Closed -$1K
319 320
321
322 323

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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.