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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
LPG icon
8126
PUT
Dorian LPG
LPG
$1.94B
$1K ﹤0.01%
1
-60
-98% -$594
LSAK icon
8127
Lesaka Technologies
LSAK
$388M
$1K ﹤0.01%
+390
New +$1.36K
MGRC icon
8128
CALL
McGrath RentCorp
MGRC
$2.94B
$1K ﹤0.01%
12
+11
+1,100% +$699
MGTX icon
8129
CALL
MeiraGTx Holdings
MGTX
$1.09B
$1K ﹤0.01%
1
– –
MNOV icon
8130
PUT
MediciNova
MNOV
$65M
$1K ﹤0.01%
+2
New +$11
MOD icon
8131
PUT
Modine Manufacturing
MOD
$12.8B
$1K ﹤0.01%
+1
New +$10
MRC
8132
CALL
DELISTED
MRC Global
MRC
$1K ﹤0.01%
3
-8
-73% -$44
MRC
8133
PUT
DELISTED
MRC Global
MRC
$1K ﹤0.01%
+2
New +$11
MYND
8134
Mynd.ai
MYND
$17.6M
$1K ﹤0.01%
81
-374
-82% -$10.1K
NMR icon
8135
CALL
Nomura Holdings
NMR
$28.7B
$1K ﹤0.01%
+3
New +$15
NXTC icon
8136
NextCure
NXTC
$17.3M
$1K ﹤0.01%
14
-11
-44% -$1.42K
OCFC icon
8137
CALL
OceanFirst Financial
OCFC
$1.7B
$1K ﹤0.01%
+1
New +$16
ORMP icon
8138
PUT
Oramed Pharmaceuticals
ORMP
$165M
$1K ﹤0.01%
+4
New +$13
OVID icon
8139
CALL
Ovid Therapeutics
OVID
$435M
$1K ﹤0.01%
5
-90
-95% -$419
OVV icon
8140
Ovintiv
OVV
$17.5B
$1K ﹤0.01%
100
– –
PCYO icon
8141
CALL
Pure Cycle
PCYO
$257M
$1K ﹤0.01%
1
-11
-92% -$109
PDS
8142
Precision Drilling
PDS
$1.09B
$1K ﹤0.01%
+119
New +$1.97K
PFS icon
8143
Provident Financial Services
PFS
$3.11B
$1K ﹤0.01%
+63
New +$960
PLG
8144
Platinum Group Metals
PLG
$164M
$1K ﹤0.01%
+395
New +$1.14K
PLUS icon
8145
CALL
ePlus
PLUS
$2.33B
$1K ﹤0.01%
+2
New +$80
PTNQ icon
8146
Pacer Trendpilot 100 ETF
PTNQ
$1.2B
$1K ﹤0.01%
36
-149
-81% -$7.48K
HTT
8147
High Templar Tech Ltd
HTT
$377M
$1K ﹤0.01%
1,019
-164,883
-99% -$225K
RDI icon
8148
PUT
Reading International Class A
RDI
$32.9M
$1K ﹤0.01%
+2
New +$7
REVG
8149
CALL
DELISTED
REV Group
REVG
$1K ﹤0.01%
2
-4
-67% -$36
RMNI icon
8150
Rimini Street
RMNI
$408M
$1K ﹤0.01%
+427
New +$1.69K
324 325
326
327 328

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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.