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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
IFN
8651
Aberdeen India Fund
IFN
$488M
– –
-684
Closed -$12.4K
IFN
8652
PUT
Aberdeen India Fund
IFN
$488M
– –
-28
Closed -$46K
IGIB icon
8653
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.3B
– –
-552
Closed -$33K
IGMS
8654
DELISTED
IGM Biosciences
IGMS
– –
-92
Closed -$6.47K
BRSL
8655
Brightstar Lottery PLC
BRSL
$1.91B
– –
-5,349
Closed -$65.3K
IGV icon
8656
iShares Expanded Tech-Software Sector ETF
IGV
$13B
– –
-6,900
Closed -$429K
IHE icon
8657
iShares US Pharmaceuticals ETF
IHE
$1.47B
– –
-72
Closed -$3K
IHI icon
8658
iShares US Medical Devices ETF
IHI
$3.02B
– –
-546
Closed -$27K
IMAX icon
8659
IMAX
IMAX
$2.38B
$0 ﹤0.01%
5,921
-16,263
-73% -$224K
INCY icon
8660
Incyte
INCY
$23.5B
– –
-2,749
Closed -$238K
INDA icon
8661
iShares MSCI India ETF
INDA
$6.71B
$0 ﹤0.01%
107,721
+84,270
+359% +$3.08M
INDB icon
8662
Independent Bank
INDB
$4.05B
– –
-3,511
Closed -$228K
INDP icon
8663
CALL
Indaptus Therapeutics
INDP
$348M
– –
0
– -$2K
INSP icon
8664
CALL
Inspire Medical Systems
INSP
$1.42B
– –
-65
Closed -$838K
INSP icon
8665
PUT
Inspire Medical Systems
INSP
$1.42B
– –
-9
Closed -$116K
INVE icon
8666
PUT
Identive
INVE
$64.6M
– –
-26
Closed -$16K
IOSP icon
8667
Innospec
IOSP
$2.09B
– –
-3,396
Closed -$215K
IOSP icon
8668
PUT
Innospec
IOSP
$2.09B
– –
-65
Closed -$411K
IOVA icon
8669
Iovance Biotherapeutics
IOVA
$2.23B
– –
-12,359
Closed -$491K
IP icon
8670
International Paper
IP
$22.3B
– –
-3,435
Closed -$154K
IPAR icon
8671
Interparfums
IPAR
$3.92B
$0 ﹤0.01%
85
-15
-15% -$755
IPG
8672
DELISTED
Interpublic Group of Companies
IPG
– –
-5,580
Closed -$117K
IPGP icon
8673
IPG Photonics
IPGP
$3.89B
– –
-2,066
Closed -$414K
IQV icon
8674
PUT
IQVIA
IQV
$34.7B
– –
-37
Closed -$583K
IRM icon
8675
Iron Mountain
IRM
$38.2B
– –
-100
Closed -$2.77K
345 346
347
348 349

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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.