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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
VRTX icon
8601
Vertex Pharmaceuticals
VRTX
$138B
$0 ﹤0.01%
5,566
+4,179
+301% +$1.15M
VSAT icon
8602
Viasat
VSAT
$10.4B
– –
-4,211
Closed -$159K
VTV icon
8603
Vanguard Morningstar Value ETF
VTV
$194B
– –
-1,933
Closed -$192K
VTWO icon
8604
Vanguard Russell 2000 ETF
VTWO
$17.4B
– –
-126
Closed -$7K
VVX icon
8605
V2X
VVX
$2.33B
– –
-132
Closed -$6K
VXRT
8606
DELISTED
Vaxart
VXRT
$0 ﹤0.01%
+5,717
New +$50.9K
VXZ icon
8607
iPath Series B S&P 500 VIX Mid-Term Futures ETN
VXZ
$28.4M
– –
-3,713
Closed -$500K
VYGR icon
8608
PUT
Voyager Therapeutics
VYGR
$216M
– –
-10
Closed -$12K
VYX icon
8609
NCR Voyix
VYX
$1.26B
– –
-52,559
Closed -$624K
WATT icon
8610
Energous
WATT
$59.3M
– –
-7
Closed -$13.7K
WB icon
8611
Weibo
WB
$1.65B
– –
-27,583
Closed -$974K
WGO icon
8612
Winnebago Industries
WGO
$877M
– –
-26,592
Closed -$1.53M
WH icon
8613
Wyndham Hotels & Resorts
WH
$5.33B
– –
-15,627
Closed -$763K
WHD icon
8614
CALL
Cactus
WHD
$4.89B
– –
-10
Closed -$20K
WHR icon
8615
Whirlpool
WHR
$2.56B
– –
-2,600
Closed -$432K
WIT icon
8616
PUT
Wipro
WIT
$17.9B
– –
-60
Closed -$9K
WK icon
8617
CALL
Workiva
WK
$4.17B
– –
-4
Closed -$21K
WLKP icon
8618
PUT
Westlake Chemical Partners
WLKP
$771M
– –
-34
Closed -$64K
WMK icon
8619
CALL
Weis Markets
WMK
$1.78B
– –
-10
Closed -$50K
WMS icon
8620
PUT
Advanced Drainage Systems
WMS
$10.2B
– –
-3
Closed -$14K
WNC icon
8621
Wabash National
WNC
$583M
– –
-15,416
Closed -$181K
WNS
8622
CALL
DELISTED
WNS Holdings
WNS
– –
-2
Closed -$10K
WNS
8623
PUT
DELISTED
WNS Holdings
WNS
– –
-1
Closed -$5K
WOR icon
8624
Worthington Enterprises
WOR
$3.06B
– –
-5,951
Closed -$145K
WPC icon
8625
W.P. Carey
WPC
$16B
– –
-16,687
Closed -$1.12M
343 344
345
346 347

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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.