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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
UGI icon
8551
UGI
UGI
$7.9B
– –
-13,344
Closed -$443K
UGP icon
8552
CALL
Ultrapar
UGP
$6.95B
– –
-18
Closed -$6K
UHS icon
8553
Universal Health Services
UHS
$9.04B
– –
-18,526
Closed -$1.98M
UHT
8554
CALL
Universal Health Realty Income Trust
UHT
$601M
– –
-3
Closed -$23K
UHT
8555
Universal Health Realty Income Trust
UHT
$601M
– –
-1,932
Closed -$153K
UHT
8556
PUT
Universal Health Realty Income Trust
UHT
$601M
– –
-1
Closed -$7K
ULTA icon
8557
Ulta Beauty
ULTA
$20.8B
– –
-483
Closed -$104K
UPS icon
8558
CALL
United Parcel Service
UPS
$98.5B
– –
-3,616
Closed -$40.2M
UPS icon
8559
United Parcel Service
UPS
$98.5B
$0 ﹤0.01%
+1,543
New +$225K
UPS icon
8560
PUT
United Parcel Service
UPS
$98.5B
– –
-1,434
Closed -$15.9M
URBN icon
8561
Urban Outfitters
URBN
$6.31B
$0 ﹤0.01%
+15,073
New +$296K
URTY icon
8562
ProShares UltraPro Russell2000
URTY
$333M
$0 ﹤0.01%
24,659
+5,150
+26% +$192K
USB icon
8563
US Bancorp
USB
$100B
– –
-59,287
Closed -$2.18M
USPH icon
8564
US Physical Therapy
USPH
$1.13B
– –
-450
Closed -$38.7K
UTHR icon
8565
United Therapeutics
UTHR
$26.2B
– –
-3,064
Closed -$336K
UTHR icon
8566
PUT
United Therapeutics
UTHR
$26.2B
– –
-14
Closed -$169K
UTL icon
8567
Unitil
UTL
$995M
– –
-27
Closed -$1K
UTL icon
8568
PUT
Unitil
UTL
$995M
– –
-1
Closed -$4K
UTI icon
8569
CALL
Universal Technical Institute
UTI
$1.98B
– –
-21
Closed -$14K
UTSI icon
8570
UTStarcom
UTSI
$22.7M
– –
-11
Closed -$66
UTSL icon
8571
Direxion Daily Utilities Bull 3X ETF
UTSL
$47M
$0 ﹤0.01%
999
-270
-21% -$6.25K
UUP icon
8572
Invesco DB US Dollar Index Bullish Fund
UUP
$432M
– –
-76,277
Closed -$1.94M
UVSP icon
8573
CALL
Univest Financial
UVSP
$1.22B
– –
-201
Closed -$324K
UWM icon
8574
ProShares Ultra Russell2000
UWM
$260M
– –
-22,070
Closed -$536K
UYM icon
8575
ProShares Ultra Materials
UYM
$37.9M
– –
-60
Closed –
341 342
343
344 345

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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.