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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
MESO
8176
Mesoblast
MESO
$2.09B
– –
-250
Closed -$7.83K
MESO
8177
PUT
Mesoblast
MESO
$2.09B
– –
-640
Closed -$1.46M
RJET
8178
CALL
Republic Airways Holdings
RJET
$765M
– –
0
– -$1K
MFG icon
8179
CALL
Mizuho Financial
MFG
$129B
– –
-5
Closed -$1K
MFIN icon
8180
CALL
Medallion Financial
MFIN
$221M
– –
-6
Closed -$1K
MGM icon
8181
MGM Resorts International
MGM
$11.5B
$0 ﹤0.01%
144,635
-15,472
-10% -$307K
MGY icon
8182
CALL
Magnolia Oil & Gas
MGY
$4.73B
– –
-197
Closed -$119K
MGY icon
8183
Magnolia Oil & Gas
MGY
$4.73B
$0 ﹤0.01%
+10
New +$62
MGY icon
8184
PUT
Magnolia Oil & Gas
MGY
$4.73B
– –
-469
Closed -$284K
KG
8185
Kestrel Group
KG
$71.3M
– –
0
– –
MIST icon
8186
Milestone Pharmaceuticals
MIST
$149M
$0 ﹤0.01%
+59
New +$423
MLPA icon
8187
Global X MLP ETF
MLPA
$2.28B
– –
-256
Closed -$6K
MLR icon
8188
CALL
Miller Industries
MLR
$584M
– –
-1
Closed -$2K
MMI icon
8189
CALL
Marcus & Millichap
MMI
$1.13B
– –
-32
Closed -$92K
MMS icon
8190
PUT
Maximus
MMS
$3.02B
– –
-16
Closed -$112K
MOD icon
8191
Modine Manufacturing
MOD
$13.3B
$0 ﹤0.01%
+24
New +$145
MORN icon
8192
Morningstar
MORN
$6.37B
– –
-462
Closed -$65K
MPAA icon
8193
PUT
Motorcar Parts of America
MPAA
$256M
– –
-3
Closed -$5K
MRC
8194
DELISTED
MRC Global
MRC
– –
-10,703
Closed -$61.5K
MRC
8195
PUT
DELISTED
MRC Global
MRC
– –
-217
Closed -$128K
MRKR icon
8196
CALL
Marker Therapeutics
MRKR
$21.2M
– –
-7
Closed -$14K
MRKR icon
8197
Marker Therapeutics
MRKR
$21.2M
– –
-136
Closed -$2K
MRKR icon
8198
PUT
Marker Therapeutics
MRKR
$21.2M
– –
-2
Closed -$3K
MRNA icon
8199
CALL
Moderna
MRNA
$22.6B
– –
-4,354
Closed -$28M
MRNA icon
8200
Moderna
MRNA
$22.6B
$0 ﹤0.01%
153,828
+40,423
+36% +$2.82M
326 327
328
329 330

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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.