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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
HOMB icon
8626
PUT
Home BancShares
HOMB
$6.21B
– –
-16
Closed -$24K
HOPE icon
8627
CALL
Hope Bancorp
HOPE
$1.72B
– –
-2
Closed -$1K
HP icon
8628
Helmerich & Payne
HP
$3.53B
– –
-27,617
Closed -$535K
HPE icon
8629
Hewlett Packard
HPE
$63.2B
– –
-50,437
Closed -$529K
HROW icon
8630
Harrow
HROW
$1.43B
– –
-1,400
Closed -$7.89K
HRTG icon
8631
CALL
Heritage Insurance Holdings
HRTG
$842M
– –
-10
Closed -$10K
HRTX icon
8632
CALL
Heron Therapeutics
HRTX
$86.3M
– –
-184
Closed -$272K
HRTX icon
8633
Heron Therapeutics
HRTX
$86.3M
– –
-7,745
Closed -$135K
HRTX icon
8634
PUT
Heron Therapeutics
HRTX
$86.3M
– –
-110
Closed -$163K
HSIC icon
8635
Henry Schein
HSIC
$9.74B
– –
-11,757
Closed -$759K
HTGC icon
8636
Hercules Capital
HTGC
$2.94B
– –
-22,297
Closed -$257K
HUBB icon
8637
PUT
Hubbell
HUBB
$25.7B
– –
-8
Closed -$109K
HUBG icon
8638
PUT
HUB Group
HUBG
$3.01B
– –
-4
Closed -$10K
HWKN icon
8639
CALL
Hawkins
HWKN
$2.91B
– –
-2
Closed -$2K
HYMB icon
8640
State Street SPDR Nuveen ICE High Yield Municipal Bond ETF
HYMB
$3.07B
– –
-44
Closed -$1K
IBKR icon
8641
Interactive Brokers
IBKR
$40.9B
– –
-29,700
Closed -$394K
IBP icon
8642
CALL
Installed Building Products
IBP
$6.13B
– –
-5
Closed -$50K
IBUY icon
8643
Amplify Online Retail ETF
IBUY
$106M
$0 ﹤0.01%
5,782
+5,081
+725% +$517K
ICLR icon
8644
PUT
Icon
ICLR
$12.8B
– –
-2
Closed -$38K
ICMB icon
8645
Investcorp Credit Management BDC
ICMB
$11.3M
– –
-326
Closed -$1.28K
IDA icon
8646
Idacorp
IDA
$8.23B
– –
-86
Closed -$7.83K
IDA icon
8647
PUT
Idacorp
IDA
$8.23B
– –
-10
Closed -$79K
ICUI icon
8648
PUT
ICU Medical
ICUI
$3.93B
– –
-2
Closed -$36K
IDV icon
8649
iShares International Select Dividend ETF
IDV
$8.25B
– –
-111
Closed -$2K
IEX icon
8650
IDEX
IEX
$16.5B
– –
-50
Closed -$9.51K
344 345
346
347 348

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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.