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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
GURE
8051
Gulf Resources
GURE
– –
-28
Closed -$1K
GWW icon
8052
W.W. Grainger
GWW
$64.6B
– –
-1,275
Closed -$439K
COLO
8053
Global X MSCI Colombia ETF
COLO
$200M
– –
-300
Closed -$6K
GYRE icon
8054
Gyre Therapeutics
GYRE
$670M
– –
-4,101
Closed -$161K
GYRE icon
8055
PUT
Gyre Therapeutics
GYRE
$670M
– –
-19
Closed -$82K
HBI
8056
DELISTED
Hanesbrands
HBI
– –
-57,517
Closed -$844K
HCA icon
8057
HCA Healthcare
HCA
$83.5B
– –
-9,395
Closed -$1.16M
HCKT icon
8058
Hackett Group
HCKT
$234M
$0 ﹤0.01%
+76
New +$983
HE icon
8059
Hawaiian Electric Industries
HE
$2.34B
$0 ﹤0.01%
3
-215
-99% -$7.54K
HGV icon
8060
Hilton Grand Vacations
HGV
$3.81B
– –
-222
Closed -$4.73K
HI
8061
DELISTED
Hillenbrand
HI
$0 ﹤0.01%
6,503
+5,201
+399% +$154K
HLI icon
8062
PUT
Houlihan Lokey
HLI
$9.52B
– –
-46
Closed -$255K
HLX icon
8063
PUT
Helix Energy Solutions
HLX
$1.43B
– –
-6
Closed -$2K
HOMB icon
8064
CALL
Home BancShares
HOMB
$6.16B
– –
-63
Closed -$96K
HOMB icon
8065
Home BancShares
HOMB
$6.16B
– –
-145
Closed -$2.33K
HOUS
8066
DELISTED
Anywhere Real Estate
HOUS
– –
-67,444
Closed -$648K
HRB icon
8067
H&R Block
HRB
$5.06B
– –
-33,715
Closed -$496K
HROW icon
8068
PUT
Harrow
HROW
$1.56B
– –
-64
Closed -$33K
HSBC icon
8069
HSBC
HSBC
$349B
– –
-32,816
Closed -$719K
HSII
8070
DELISTED
Heidrick & Struggles
HSII
– –
-1,042
Closed -$21.9K
HTBK
8071
DELISTED
Heritage Commerce
HTBK
– –
-676
Closed -$4.66K
HTBK
8072
PUT
DELISTED
Heritage Commerce
HTBK
– –
-20
Closed -$15K
HTH icon
8073
Hilltop Holdings
HTH
$2.22B
– –
-22,099
Closed -$429K
HTLD icon
8074
Heartland Express
HTLD
$1.15B
– –
-1,030
Closed -$21K
HUYA
8075
Huya Inc
HUYA
$551M
– –
-58,627
Closed -$1.47M
321 322
323
324 325

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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.