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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
SFIX
8426
Stitch Fix
SFIX
$500M
$0 ﹤0.01%
80,584
+10,570
+15% +$271K
SGRY icon
8427
PUT
Surgery Partners
SGRY
$1.98B
– –
-7
Closed -$8K
SHAK icon
8428
Shake Shack
SHAK
$2.26B
$0 ﹤0.01%
4,369
-24,093
-85% -$1.4M
SHYF
8429
DELISTED
The Shyft Group
SHYF
– –
-768
Closed -$14.3K
SID icon
8430
Companhia Siderúrgica Nacional
SID
$1.45B
– –
-4,364
Closed -$11.1K
SIG icon
8431
Signet Jewelers
SIG
$3.52B
– –
-6,913
Closed -$101K
SIGA icon
8432
CALL
SIGA Technologies
SIGA
$243M
– –
-12
Closed -$7K
HTO
8433
H2O America
HTO
$2.67B
– –
-20,295
Closed -$1.26M
HTO
8434
PUT
H2O America
HTO
$2.67B
– –
-200
Closed -$1.24M
SLDB icon
8435
CALL
Solid Biosciences
SLDB
$797M
– –
-3
Closed -$14K
SLDB icon
8436
PUT
Solid Biosciences
SLDB
$797M
– –
-11
Closed -$47K
SMFG icon
8437
CALL
Sumitomo Mitsui Financial
SMFG
$166B
– –
-6
Closed -$3K
SMFG icon
8438
Sumitomo Mitsui Financial
SMFG
$166B
$0 ﹤0.01%
110
-297
-73% -$1.7K
SMFG icon
8439
PUT
Sumitomo Mitsui Financial
SMFG
$166B
– –
-2
Closed -$1K
SMHI icon
8440
SEACOR Marine Holdings
SMHI
$211M
– –
-68
Closed -$170
SMOG icon
8441
VanEck Low Carbon Energy ETF
SMOG
$132M
– –
-96
Closed -$7K
SNA icon
8442
Snap-on
SNA
$21B
– –
-2,375
Closed -$345K
SND icon
8443
CALL
Smart Sand
SND
$207M
– –
-30
Closed -$3K
SNDA icon
8444
Sonida Senior Living
SNDA
$1.89B
$0 ﹤0.01%
100
-966
-91% -$9.34K
SNDL icon
8445
Sundial Growers
SNDL
$331M
– –
-176
Closed -$876
SNDX icon
8446
Syndax Pharmaceuticals
SNDX
$1.95B
– –
-46,663
Closed -$711K
SNDX icon
8447
PUT
Syndax Pharmaceuticals
SNDX
$1.95B
– –
-61
Closed -$90K
SNN icon
8448
PUT
Smith & Nephew
SNN
$12.6B
– –
-32
Closed -$121K
SOCL icon
8449
Global X Social Media ETF
SOCL
$89M
– –
-484
Closed -$20K
SOL
8450
DELISTED
Emeren Group
SOL
– –
-90
Closed -$155
336 337
338
339 340

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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.