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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
STX icon
8476
Seagate
STX
$192B
– –
-29,819
Closed -$1.4M
STXS icon
8477
CALL
Stereotaxis
STXS
$139M
– –
-20
Closed -$8K
SU icon
8478
Suncor Energy
SU
$78.8B
– –
-8,903
Closed -$139K
SUI icon
8479
CALL
Sun Communities
SUI
$14.5B
– –
-12
Closed -$162K
SUI icon
8480
Sun Communities
SUI
$14.5B
– –
-936
Closed -$134K
SUPV
8481
Grupo Supervielle
SUPV
$770M
$0 ﹤0.01%
+100
New +$253
SVRA icon
8482
CALL
Savara
SVRA
$1.1B
– –
-62
Closed -$15K
SWKS icon
8483
Skyworks Solutions
SWKS
$11.1B
– –
-2,282
Closed -$317K
SWX icon
8484
PUT
Southwest Gas
SWX
$6.38B
– –
-1
Closed -$6K
SXC icon
8485
SunCoke Energy
SXC
$877M
$0 ﹤0.01%
+6
New +$20
SXT icon
8486
Sensient Technologies
SXT
$5.74B
– –
-38
Closed -$1K
SXT icon
8487
PUT
Sensient Technologies
SXT
$5.74B
– –
-1
Closed -$5K
SYBX
8488
DELISTED
Synlogic
SYBX
– –
-6
Closed -$197
SYRE icon
8489
Spyre Therapeutics
SYRE
$7.85B
$0 ﹤0.01%
3
-27
-90% -$5K
TAN icon
8490
Invesco Solar ETF
TAN
$1.03B
– –
-3,825
Closed -$138K
TAP icon
8491
Molson Coors Class B
TAP
$7.55B
– –
-3,615
Closed -$130K
TBI
8492
CALL
Trueblue
TBI
$300M
– –
-12
Closed -$18K
TBPH icon
8493
Theravance Biopharma
TBPH
$887M
– –
-1,103
Closed -$20.7K
TCBI icon
8494
PUT
Texas Capital Bancshares
TCBI
$4.29B
– –
-12
Closed -$37K
TCPC icon
8495
BlackRock TCP Capital
TCPC
$341M
– –
-901
Closed -$8.73K
TDG icon
8496
CALL
TransDigm Group
TDG
$64.2B
– –
-160
Closed -$7.07M
TDG icon
8497
TransDigm Group
TDG
$64.2B
$0 ﹤0.01%
2,361
-6,766
-74% -$3.18M
TDG icon
8498
PUT
TransDigm Group
TDG
$64.2B
– –
-115
Closed -$5.08M
TDY icon
8499
Teledyne Technologies
TDY
$28.3B
$0 ﹤0.01%
2
-270
-99% -$85.2K
TECH icon
8500
Bio-Techne
TECH
$11.4B
– –
-1,644
Closed -$107K
338 339
340
341 342

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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.