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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
CMA
8401
DELISTED
Comerica
CMA
– –
-37,180
Closed -$1.81M
CMCO icon
8402
CALL
Columbus McKinnon
CMCO
$465M
– –
-21
Closed -$69K
CMCO icon
8403
PUT
Columbus McKinnon
CMCO
$465M
– –
-14
Closed -$46K
CMPR icon
8404
CALL
Cimpress
CMPR
$2.37B
– –
-50
Closed -$375K
CMTL icon
8405
Comtech Telecommunications
CMTL
$51.8M
– –
-1,273
Closed -$22.3K
CNC icon
8406
Centene
CNC
$31.3B
$0 ﹤0.01%
51,993
+919
+2% +$58.4K
CNK icon
8407
Cinemark Holdings
CNK
$3.82B
– –
-22,373
Closed -$281K
CNQ icon
8408
Canadian Natural Resources
CNQ
$96.9B
– –
-22,689
Closed -$228K
CNXT icon
8409
VanEck ChiNext Innovators ETF
CNXT
$109M
– –
-2,153
Closed -$87K
CODX
8410
CALL
Co-Diagnostics
CODX
$7.74M
– –
-36
Closed -$1.47M
CODX
8411
Co-Diagnostics
CODX
$7.74M
– –
-1
Closed -$370
CODX
8412
PUT
Co-Diagnostics
CODX
$7.74M
– –
-25
Closed -$1.02M
COF icon
8413
Capital One
COF
$124B
– –
-39,086
Closed -$3.32M
CPER icon
8414
United States Copper Index Fund
CPER
$742M
$0 ﹤0.01%
+321
New +$6.5K
CPF icon
8415
Central Pacific Financial
CPF
$997M
– –
-2
Closed -$33
CPF icon
8416
PUT
Central Pacific Financial
CPF
$997M
– –
-16
Closed -$21K
CPK icon
8417
CALL
Chesapeake Utilities
CPK
$3.26B
– –
-1
Closed -$1K
CPRT icon
8418
Copart
CPRT
$25.9B
– –
-64,216
Closed -$1.87M
CRAI icon
8419
CALL
CRA International
CRAI
$1.1B
– –
-1
Closed -$3K
CRESY
8420
PUT
Cresud
CRESY
$794M
– –
-10
Closed -$2K
CRMT icon
8421
CALL
America's Car Mart
CRMT
$25.3M
– –
-1
Closed -$8K
CRMT icon
8422
America's Car Mart
CRMT
$25.3M
– –
-21
Closed -$1K
CRNT icon
8423
CALL
Ceragon Networks
CRNT
$194M
– –
-103
Closed -$25K
CRON
8424
CALL
Cronos Group
CRON
$1.05B
– –
-1,558
Closed -$780K
CRON
8425
PUT
Cronos Group
CRON
$1.05B
– –
-2,458
Closed -$1.23M
335 336
337
338 339

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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.