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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
NEM icon
8226
Newmont
NEM
$101B
– –
-112,434
Closed -$7.33M
NEOG icon
8227
CALL
Neogen
NEOG
$2.09B
– –
-50
Closed -$194K
NEOG icon
8228
Neogen
NEOG
$2.09B
– –
-200
Closed -$7.65K
NERV icon
8229
Minerva Neurosciences
NERV
$210M
$0 ﹤0.01%
+9,926
New +$268K
NET icon
8230
CALL
Cloudflare
NET
$93.1B
– –
-1,185
Closed -$4.26M
NET icon
8231
Cloudflare
NET
$93.1B
$0 ﹤0.01%
42,553
-105,660
-71% -$4.05M
NET icon
8232
PUT
Cloudflare
NET
$93.1B
– –
-3,324
Closed -$11.9M
NFBK
8233
DELISTED
Northfield Bancorp
NFBK
$0 ﹤0.01%
30
– –
NGNE icon
8234
CALL
Neurogene
NGNE
$714M
– –
-2
Closed -$78K
NGVC icon
8235
PUT
Vitamin Cottage Natural Grocers
NGVC
$669M
– –
-43
Closed -$63K
NHC icon
8236
CALL
National Healthcare
NHC
$3.45B
– –
-3
Closed -$19K
NHC icon
8237
National Healthcare
NHC
$3.45B
– –
-20,081
Closed -$1.26M
NINE
8238
DELISTED
Nine Energy Service
NINE
$0 ﹤0.01%
+100
New +$159
NMIH icon
8239
NMI Holdings
NMIH
$3.15B
– –
-12,681
Closed -$207K
NMR icon
8240
CALL
Nomura Holdings
NMR
$28.6B
– –
-10
Closed -$4K
NMR icon
8241
Nomura Holdings
NMR
$28.6B
$0 ﹤0.01%
+48
New +$233
NMRK icon
8242
CALL
Newmark Group
NMRK
$2.65B
– –
-105
Closed -$51K
NMRK icon
8243
Newmark Group
NMRK
$2.65B
$0 ﹤0.01%
100
-69,364
-100% -$300K
NMRK icon
8244
PUT
Newmark Group
NMRK
$2.65B
– –
-882
Closed -$428K
NNI icon
8245
CALL
Nelnet
NNI
$4.71B
– –
-20
Closed -$95K
NOA
8246
North American Construction
NOA
$379M
– –
-2,584
Closed -$17.2K
NOA
8247
PUT
North American Construction
NOA
$379M
– –
-3
Closed -$1K
NOAH
8248
Noah Holdings
NOAH
$592M
– –
-34,774
Closed -$1.02M
NPO icon
8249
CALL
Enpro
NPO
$7.09B
– –
-324
Closed -$1.6M
NSA icon
8250
PUT
National Storage Affiliates Trust
NSA
– –
-2
Closed -$5K
328 329
330
331 332

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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.