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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
PDM
8301
Piedmont Realty Trust
PDM
$1.18B
$0 ﹤0.01%
+61
New +$945
PDS
8302
CALL
Precision Drilling
PDS
$1.1B
– –
-10
Closed -$15K
PEB icon
8303
Pebblebrook Hotel Trust
PEB
$2.14B
– –
-103
Closed -$1.24K
PEBO icon
8304
Peoples Bancorp
PEBO
$1.41B
– –
-89
Closed -$1.83K
PEN icon
8305
Penumbra
PEN
$12.4B
– –
-655
Closed -$138K
PEP icon
8306
PepsiCo
PEP
$184B
– –
-62,817
Closed -$8.54M
PFBC icon
8307
Preferred Bank
PFBC
$1.2B
– –
-1,240
Closed -$46.3K
PFX icon
8308
PhenixFIN
PFX
$83.9M
– –
-50
Closed –
PGNY icon
8309
Progyny
PGNY
$2.43B
– –
-3,983
Closed -$110K
PGX icon
8310
Invesco Preferred ETF
PGX
$3.83B
– –
-3,190
Closed -$45K
PHR icon
8311
Phreesia
PHR
$607M
– –
-193
Closed -$5.75K
PII icon
8312
Polaris
PII
$4.11B
– –
-1,029
Closed -$101K
IMVP
8313
CALL
Invesco India ETF
IMVP
$121M
– –
-6
Closed -$10K
IMVP
8314
PUT
Invesco India ETF
IMVP
$121M
– –
-2
Closed -$3K
PINC
8315
DELISTED
Premier
PINC
– –
-1,867
Closed -$62K
PJT icon
8316
PJT Partners
PJT
$4.23B
$0 ﹤0.01%
5
-2,147
-100% -$121K
PJP icon
8317
Invesco Pharmaceuticals ETF
PJP
$423M
– –
-3
Closed –
PK icon
8318
Park Hotels & Resorts
PK
$2.94B
– –
-26,050
Closed -$247K
PKE icon
8319
Park Aerospace
PKE
$758M
$0 ﹤0.01%
+72
New +$808
PKE icon
8320
PUT
Park Aerospace
PKE
$758M
– –
-50
Closed -$55K
PLAB icon
8321
Photronics
PLAB
$1.81B
– –
-3,562
Closed -$38.5K
PLD icon
8322
Prologis
PLD
$135B
$0 ﹤0.01%
+2,691
New +$270K
PLOW icon
8323
Douglas Dynamics
PLOW
$1.07B
– –
-2
Closed -$74
PLOW icon
8324
PUT
Douglas Dynamics
PLOW
$1.07B
– –
-1
Closed -$3K
PLUR icon
8325
Pluri
PLUR
$19.3M
– –
-13
Closed -$995
331 332
333
334 335

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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.