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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
LNN icon
8151
CALL
Lindsay Corp
LNN
$1.15B
– –
-1
Closed -$9K
LOOP icon
8152
Loop Industries
LOOP
$39.9M
– –
-59
Closed –
LPL icon
8153
LG Display
LPL
$3.37B
– –
-5,264
Closed -$31K
LPSN icon
8154
LivePerson
LPSN
$18.6M
– –
-554
Closed -$416K
LRFC
8155
DELISTED
Logan Ridge Finance Corp
LRFC
– –
-266
Closed -$4K
LRFC
8156
PUT
DELISTED
Logan Ridge Finance Corp
LRFC
– –
-3
Closed -$5K
LRMR icon
8157
CALL
Larimar Therapeutics
LRMR
$417M
– –
-33
Closed -$42K
LRMR icon
8158
PUT
Larimar Therapeutics
LRMR
$417M
– –
-3
Closed -$3K
LXRX icon
8159
Lexicon Pharmaceuticals
LXRX
$1.02B
– –
-7,419
Closed -$13.2K
LYG icon
8160
Lloyds Banking Group
LYG
$87B
– –
-69,967
Closed -$98.1K
LZB icon
8161
La-Z-Boy
LZB
$1.55B
– –
-450
Closed -$13.7K
MANU icon
8162
Manchester United
MANU
$3.85B
– –
-10,134
Closed -$155K
MASI
8163
DELISTED
Masimo
MASI
– –
-2,664
Closed -$597K
MATX icon
8164
Matsons
MATX
$6.46B
– –
-1,438
Closed -$54.3K
MBB icon
8165
iShares MBS ETF
MBB
$38.9B
– –
-4,932
Closed -$545K
MCHX icon
8166
Marchex
MCHX
$74M
– –
-31
Closed –
MCY icon
8167
Mercury Insurance
MCY
$5.84B
– –
-1,209
Closed -$51.9K
MDB icon
8168
CALL
MongoDB
MDB
$24.1B
– –
-812
Closed -$18.4M
MDB icon
8169
MongoDB
MDB
$24.1B
$0 ﹤0.01%
17,221
+2,599
+18% +$563K
MDB icon
8170
PUT
MongoDB
MDB
$24.1B
– –
-868
Closed -$19.6M
LITS
8171
Lite Strategy Inc
LITS
$33.7M
– –
-1,334
Closed -$80.4K
MERC icon
8172
CALL
Mercer International
MERC
$46.5M
– –
-48
Closed -$39K
MERC icon
8173
Mercer International
MERC
$46.5M
– –
-4,046
Closed -$31K
MERC icon
8174
PUT
Mercer International
MERC
$46.5M
– –
-316
Closed -$257K
MESO
8175
CALL
Mesoblast
MESO
$2.09B
– –
-28
Closed -$62K
325 326
327
328 329

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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.