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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
SAM icon
8401
CALL
Boston Beer
SAM
$1.73B
– –
-33
Closed -$1.77M
SAM icon
8402
Boston Beer
SAM
$1.73B
$0 ﹤0.01%
1,111
+986
+789% +$779K
SAM icon
8403
PUT
Boston Beer
SAM
$1.73B
– –
-89
Closed -$4.78M
SANM icon
8404
Sanmina
SANM
$11.7B
– –
-312
Closed -$8.49K
SANW
8405
DELISTED
S&W Seed Co
SANW
– –
-5
Closed -$246
SANW
8406
PUT
DELISTED
S&W Seed Co
SANW
– –
0
– -$1K
ECHO
8407
EchoStar
ECHO
$26.5B
– –
-10,882
Closed -$303K
FLNA
8408
CALL
Filana Therapeutics
FLNA
$44.2M
– –
-693
Closed -$213K
FLNA
8409
Filana Therapeutics
FLNA
$44.2M
$0 ﹤0.01%
23,350
+23,140
+11,019% +$104K
FLNA
8410
PUT
Filana Therapeutics
FLNA
$44.2M
– –
-252
Closed -$77K
SB icon
8411
Safe Bulkers
SB
$754M
– –
-107
Closed -$124
SBAC icon
8412
SBA Communications
SBAC
$19B
– –
-1,310
Closed -$400K
SCM icon
8413
Stellus Capital Investment Corp
SCM
$204M
– –
-32
Closed -$260
SCM icon
8414
PUT
Stellus Capital Investment Corp
SCM
$204M
– –
-2
Closed -$1K
SCOR icon
8415
Comscore
SCOR
$112M
$0 ﹤0.01%
14
-121
-90% -$6.72K
SHOE
8416
PUT
Shoe Station Group
SHOE
$390M
– –
-14
Closed -$20K
SDGR icon
8417
CALL
Schrodinger
SDGR
$1.14B
– –
-80
Closed -$732K
SDGR icon
8418
Schrodinger
SDGR
$1.14B
$0 ﹤0.01%
10,676
+8,355
+360% +$574K
SDGR icon
8419
PUT
Schrodinger
SDGR
$1.14B
– –
-73
Closed -$668K
SDIV icon
8420
Global X SuperDividend ETF
SDIV
$1.21B
– –
-83
Closed -$2K
SE icon
8421
CALL
Sea Limited
SE
$63B
– –
-2,196
Closed -$23.5M
SE icon
8422
Sea Limited
SE
$63B
$0 ﹤0.01%
35,269
-47,986
-58% -$6.48M
SE icon
8423
PUT
Sea Limited
SE
$63B
– –
-2,715
Closed -$29.1M
SEF icon
8424
ProShares Short Financials
SEF
$13.4M
– –
-143
Closed -$11K
SFBS
8425
PUT
ServisFirst Bancshares
SFBS
$4.63B
– –
-13
Closed -$46K
335 336
337
338 339

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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.