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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
GAIA icon
8101
CALL
Gaia
GAIA
$47.3M
$1K ﹤0.01%
2
– –
GAIN icon
8102
Gladstone Investment Corp
GAIN
$635M
$1K ﹤0.01%
168
-6,009
-97% -$57.1K
GASS icon
8103
CALL
StealthGas
GASS
$328M
$1K ﹤0.01%
+6
New +$15
GDYN icon
8104
PUT
Grid Dynamics Holdings
GDYN
$476M
$1K ﹤0.01%
+1
New +$10
GSAT icon
8105
PUT
Globalstar
GSAT
$10.2B
– –
0
– –
GSIT icon
8106
CALL
GSI Technology
GSIT
$216M
$1K ﹤0.01%
+2
New +$13
HAFC icon
8107
PUT
Hanmi Financial
HAFC
$943M
$1K ﹤0.01%
1
-16
-94% -$160
HOOK
8108
DELISTED
HOOKIPA Pharma
HOOK
$1K ﹤0.01%
13
-36
-73% -$3.89K
HRZN icon
8109
CALL
Horizon Technology Finance
HRZN
$294M
$1K ﹤0.01%
1
-462
-100% -$5.77K
HUYA
8110
Huya Inc
HUYA
$542M
$1K ﹤0.01%
+55
New +$1.18K
INOD icon
8111
CALL
Innodata
INOD
$1.83B
$1K ﹤0.01%
3
-3
-50% -$12
ITP icon
8112
IT Tech Packaging
ITP
$2.92M
$1K ﹤0.01%
+340
New +$2.12K
ITP icon
8113
PUT
IT Tech Packaging
ITP
$2.92M
$1K ﹤0.01%
+3
New +$19
KE
8114
PUT
Kimball Electronics
KE
$598M
$1K ﹤0.01%
+1
New +$14
KRMD icon
8115
PUT
KORU Medical Systems
KRMD
$176M
$1K ﹤0.01%
2
-10
-83% -$56
KRO icon
8116
PUT
KRONOS Worldwide
KRO
$761M
$1K ﹤0.01%
1
-57
-98% -$805
KT icon
8117
PUT
KT
KT
$8.84B
$1K ﹤0.01%
+1
New +$11
LFCR icon
8118
Lifecore Biomedical
LFCR
$162M
$1K ﹤0.01%
97
-3,949
-98% -$40.8K
LFT
8119
Lument Finance Trust
LFT
$41.9M
$1K ﹤0.01%
+495
New +$1.45K
LMAT icon
8120
LeMaitre Vascular
LMAT
$2.18B
$1K ﹤0.01%
+37
New +$1.32K
LMNR icon
8121
Limoneira
LMNR
$237M
$1K ﹤0.01%
+80
New +$1.2K
LMNR icon
8122
PUT
Limoneira
LMNR
$237M
$1K ﹤0.01%
1
-14
-93% -$210
LOCO icon
8123
PUT
El Pollo Loco
LOCO
$485M
$1K ﹤0.01%
1
-27
-96% -$454
LOMA
8124
PUT
Loma Negra
LOMA
$1.33B
$1K ﹤0.01%
3
-57
-95% -$293
LPG icon
8125
CALL
Dorian LPG
LPG
$1.94B
$1K ﹤0.01%
1
-100
-99% -$989
323 324
325
326 327

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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.