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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
BIP icon
8326
Brookfield Infrastructure Partners
BIP
$18.8B
– –
-9,530
Closed -$310K
BJRI icon
8327
BJ's Restaurants
BJRI
$1.41B
– –
-15,800
Closed -$539K
BKE icon
8328
Buckle
BKE
$2.19B
– –
-1,213
Closed -$32.8K
BKLN icon
8329
Invesco Senior Loan ETF
BKLN
$7.1B
– –
-28,127
Closed -$611K
BL icon
8330
BlackLine
BL
$1.69B
– –
-1,905
Closed -$213K
BMO icon
8331
Bank of Montreal
BMO
$125B
– –
-5,948
Closed -$407K
BMRA icon
8332
CALL
Biomerica
BMRA
$4.88M
– –
-1
Closed -$5K
BN icon
8333
Brookfield
BN
$102B
– –
-8,745
Closed -$175K
BNO icon
8334
United States Brent Oil Fund
BNO
$815M
– –
-29,251
Closed -$332K
BOOM icon
8335
DMC Global
BOOM
$121M
– –
-8,401
Closed -$331K
BOOT icon
8336
Boot Barn
BOOT
$4.55B
– –
-1,371
Closed -$51.6K
BPMC
8337
DELISTED
Blueprint Medicines
BPMC
$0 ﹤0.01%
+508
New +$53.5K
BPOP icon
8338
Popular Inc
BPOP
$11B
– –
-28,536
Closed -$1.35M
BPT
8339
PUT
DELISTED
BP Prudhoe Bay Royalty Trust
BPT
– –
-14
Closed -$2K
BRC icon
8340
PUT
Brady Corp
BRC
$4.45B
– –
-1
Closed -$4K
BRKL
8341
DELISTED
Brookline Bancorp
BRKL
– –
-131
Closed -$1.42K
BRKR icon
8342
CALL
Bruker
BRKR
$9.2B
– –
-72
Closed -$286K
BRO icon
8343
PUT
Brown & Brown
BRO
$22.9B
– –
-7
Closed -$31K
BRX icon
8344
Brixmor Property Group
BRX
$9.95B
– –
-18,166
Closed -$258K
BSBR icon
8345
Santander
BSBR
$39.7B
– –
-1,434
Closed -$9.5K
BTAI icon
8346
BioXcel Therapeutics
BTAI
$26.2M
$0 ﹤0.01%
+204
New +$159K
BW icon
8347
Babcock & Wilcox
BW
$1.43B
– –
-724
Closed -$2.27K
BXC icon
8348
BlueLinx
BXC
$455M
– –
-1,470
Closed -$37.6K
BYND icon
8349
Beyond Meat
BYND
$288M
$0 ﹤0.01%
61,669
+60,279
+4,337% +$9.09M
BBBY
8350
Bed Bath & Beyond
BBBY
$473M
$0 ﹤0.01%
19,776
-15,757
-44% -$932K
332 333
334
335 336

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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.