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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
AMTX icon
8076
PUT
Aemetis
AMTX
$119M
$1K ﹤0.01%
+6
New +$18
YDKG
8077
Yueda Digital Holding
YDKG
$5M
$1K ﹤0.01%
+2
New +$934
ASPN icon
8078
PUT
Aspen Aerogels
ASPN
$387M
$1K ﹤0.01%
+1
New +$13
BBDC icon
8079
PUT
Barings BDC
BBDC
$862M
$1K ﹤0.01%
2
-8
-80% -$68
BELFB
8080
CALL
Bel Fuse Inc Class B
BELFB
$3.88B
$1K ﹤0.01%
+1
New +$13
BELFB
8081
PUT
Bel Fuse Inc Class B
BELFB
$3.88B
$1K ﹤0.01%
1
-14
-93% -$188
BLMN icon
8082
Bloomin' Brands
BLMN
$680M
$1K ﹤0.01%
60
– –
BSV icon
8083
Vanguard Short-Term Bond ETF
BSV
$44.6B
$1K ﹤0.01%
13
-500
-97% -$41.4K
BTE icon
8084
Baytex Energy
BTE
$3.08B
$1K ﹤0.01%
+1,900
New +$759
BTE icon
8085
PUT
Baytex Energy
BTE
$3.08B
$1K ﹤0.01%
+19
New +$8
CATO icon
8086
CALL
Cato Corp
CATO
$65.9M
$1K ﹤0.01%
+2
New +$16
CDZI icon
8087
CALL
Cadiz
CDZI
$266M
$1K ﹤0.01%
+1
New +$10
CGC
8088
Canopy Growth
CGC
$375M
$1K ﹤0.01%
6
– –
CIO
8089
CALL
DELISTED
City Office REIT
CIO
$1K ﹤0.01%
+2
New +$16
CLS icon
8090
CALL
Celestica
CLS
$35.1B
$1K ﹤0.01%
2
-62
-97% -$454
CPT icon
8091
Camden Property Trust
CPT
$11.3B
$1K ﹤0.01%
14
-57
-80% -$5.52K
CVX icon
8092
Chevron
CVX
$388B
$1K ﹤0.01%
15
-101,653
-100% -$8.23M
CWK icon
8093
PUT
Cushman & Wakefield Ltd
CWK
$2.98B
$1K ﹤0.01%
1
-28
-97% -$389
CYCN icon
8094
PUT
Cyclerion Therapeutics
CYCN
$15.2M
– –
0
– –
DDD icon
8095
3D Systems Corp
DDD
$420M
$1K ﹤0.01%
100
-50,671
-100% -$412K
DNB
8096
DELISTED
Dun & Bradstreet
DNB
$1K ﹤0.01%
+77
New +$2.06K
EBF icon
8097
CALL
Ennis
EBF
$546M
$1K ﹤0.01%
+1
New +$17
EGY icon
8098
Vaalco Energy
EGY
$594M
$1K ﹤0.01%
+890
New +$1.14K
FET icon
8099
PUT
Forum Energy Technologies
FET
$654M
$1K ﹤0.01%
+1
New +$12
FWONK icon
8100
Liberty Media Series C
FWONK
$24.3B
$1K ﹤0.01%
+29
New +$1.12K
322 323
324
325 326

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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.