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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
GFI icon
8026
Gold Fields
GFI
$28.9B
– –
-12,755
Closed -$157K
GHM icon
8027
PUT
Graham Corp
GHM
$1.23B
– –
-41
Closed -$52K
GIC icon
8028
PUT
Global Industrial
GIC
$1.32B
– –
-36
Closed -$73K
GILD icon
8029
Gilead Sciences
GILD
$162B
– –
-100
Closed -$6.93K
GILT icon
8030
CALL
Gilat Satellite Networks
GILT
$859M
– –
-24
Closed -$15K
GILT icon
8031
PUT
Gilat Satellite Networks
GILT
$859M
– –
-32
Closed -$20K
GIS icon
8032
General Mills
GIS
$19B
– –
-20,309
Closed -$1.27M
GL icon
8033
CALL
Globe Life
GL
$13.3B
– –
-7
Closed -$51K
GLDD
8034
DELISTED
Great Lakes Dredge & Dock
GLDD
– –
-15,845
Closed -$145K
GNE icon
8035
CALL
Genie Energy
GNE
$384M
– –
-17
Closed -$12K
GNPX icon
8036
Genprex
GNPX
$3.78M
– –
-1
Closed -$158K
GORO icon
8037
CALL
Goldgroup Mining Inc.
GORO
$173M
– –
-243
Closed -$99K
GOSS icon
8038
CALL
Gossamer Bio
GOSS
$69.7M
– –
-138
Closed -$179K
GOVT icon
8039
iShares US Treasury Bond ETF
GOVT
$43.5B
$0 ﹤0.01%
3,798
– –
GPC icon
8040
CALL
Genuine Parts
GPC
$16.6B
– –
-622
Closed -$5.41M
GPC icon
8041
Genuine Parts
GPC
$16.6B
– –
-1,000
Closed -$93.1K
GPC icon
8042
PUT
Genuine Parts
GPC
$16.6B
– –
-80
Closed -$695K
GPRK icon
8043
GeoPark
GPRK
$666M
– –
-167
Closed -$1K
GPRK icon
8044
PUT
GeoPark
GPRK
$666M
– –
-52
Closed -$50K
GRWG icon
8045
GrowGeneration
GRWG
$83.5M
$0 ﹤0.01%
51,945
+42,986
+480% +$511K
GSAT icon
8046
Globalstar
GSAT
$10.2B
– –
-1,493
Closed -$7.68K
GSG icon
8047
iShares S&P GSCI Commodity-Indexed Trust
GSG
$1.03B
– –
-1,824
Closed -$19.8K
GTE icon
8048
Gran Tierra Energy
GTE
$272M
$0 ﹤0.01%
10
-10
-50% -$30
GTES icon
8049
Gates Industrial Corporation Ltd.
GTES
$6.84B
– –
-1,613
Closed -$18K
GTX icon
8050
Garrett Motion
GTX
$5.9B
$0 ﹤0.01%
102,739
-49,495
-33% -$264K
320 321
322
323 324

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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.