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Simplex Trading

Simplex Trading Portfolio holdings

AUM $171B
1-Year Est. Return 85%
 

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
+85%
3 Year Est. Return
+183.25%
5 Year Est. Return
+145.21%
10 Year Est. Return
+1,056.84%
AUM
$73.5B
AUM Growth
+$10.8B
Cap. Flow
-$387M
Cap. Flow %
-0.53%
Top 10 Hldgs %
42.78%
Holding
9,056
New
1,402
Increased
3,135
Reduced
3,121
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 Miscellaneous 97.95%
2 Consumer Discretionary 0.55%
3 Technology 0.41%
4 Healthcare 0.23%
5 Financials 0.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
QLYS icon
8351
CALL
Qualys
QLYS
$5.94B
– –
-95
Closed -$988K
QLYS icon
8352
Qualys
QLYS
$5.94B
$0 ﹤0.01%
+604
New +$64.6K
QLYS icon
8353
PUT
Qualys
QLYS
$5.94B
– –
-62
Closed -$644K
QMCO icon
8354
CALL
Quantum Corp
QMCO
$975M
– –
-1
Closed -$6K
QTWO icon
8355
PUT
Q2 Holdings
QTWO
$3.87B
– –
-41
Closed -$351K
QUAL icon
8356
iShares MSCI USA Quality Factor ETF
QUAL
$47.5B
$0 ﹤0.01%
1
– –
QURE icon
8357
uniQure
QURE
$3.09B
– –
-23,641
Closed -$969K
RAIL icon
8358
FreightCar America
RAIL
$233M
– –
-10,286
Closed -$18.2K
RAMP icon
8359
LiveRamp
RAMP
$2.3B
– –
-2,982
Closed -$149K
RARE icon
8360
Ultragenyx Pharmaceutical
RARE
$1.51B
– –
-23,579
Closed -$1.95M
RBBN icon
8361
Ribbon Communications
RBBN
$356M
$0 ﹤0.01%
72
-3,532
-98% -$14.9K
RBC icon
8362
CALL
RBC Bearings
RBC
$15.5B
– –
-1
Closed -$13K
RCKT icon
8363
CALL
Rocket Pharmaceuticals
RCKT
$424M
– –
-6
Closed -$12K
RCI icon
8364
PUT
Rogers Communications
RCI
$20.3B
– –
-33
Closed -$132K
RDHL
8365
CALL
Redhill Biopharma
RDHL
$4.41M
– –
0
– -$16K
RDHL
8366
Redhill Biopharma
RDHL
$4.41M
$0 ﹤0.01%
15
-19
-56% -$156K
RDHL
8367
PUT
Redhill Biopharma
RDHL
$4.41M
– –
0
– -$10K
RDI icon
8368
PUT
Reading International Class A
RDI
$53.6M
– –
-25
Closed -$10K
RES icon
8369
CALL
RPC Inc
RES
$1.44B
– –
-25
Closed -$7K
REZI icon
8370
Resideo Technologies
REZI
$3.02B
$0 ﹤0.01%
1,153
-29,371
-96% -$372K
RFIL icon
8371
PUT
RF Industries
RFIL
$114M
– –
-10
Closed -$4K
RGR icon
8372
Sturm, Ruger & Co
RGR
$615M
– –
-4,887
Closed -$360K
RICK icon
8373
RCI Hospitality Holdings
RICK
$224M
– –
-4,496
Closed -$71.2K
RIG icon
8374
Transocean
RIG
$6.53B
– –
-330,298
Closed -$540K
RIO icon
8375
Rio Tinto
RIO
$168B
– –
-14,707
Closed -$902K
333 334
335
336 337

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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 1,402 new, 3,135 increased, 3,121 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 Miscellaneous at 98% of assets, up from 98% a quarter earlier, followed by Consumer Discretionary and Technology.

  • 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 1,402 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.