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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
+26.79%
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
$77.2B
AUM Growth
+$3.66B
Cap. Flow
+$40.8M
Cap. Flow %
0.05%
Top 10 Hldgs %
42.09%
Holding
9,568
New
1,710
Increased
3,401
Reduced
3,105
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 Miscellaneous 97.69%
2 Consumer Discretionary 0.65%
3 Technology 0.38%
4 Healthcare 0.33%
5 Industrials 0.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
JKHY icon
8701
Jack Henry & Associates
JKHY
$11.6B
– –
-3,010
Closed -$478K
JLL icon
8702
Jones Lang LaSalle
JLL
$16.7B
– –
-831
Closed -$107K
JNPR
8703
DELISTED
Juniper Networks
JNPR
– –
-21,073
Closed -$460K
JNK icon
8704
State Street SPDR Bloomberg High Yield Bond ETF
JNK
$6.85B
– –
-13,455
Closed -$1.4M
JWN
8705
DELISTED
Nordstrom
JWN
– –
-61,205
Closed -$1.28M
KALU icon
8706
CALL
Kaiser Aluminum
KALU
$2.68B
– –
-1
Closed -$5K
KALU icon
8707
PUT
Kaiser Aluminum
KALU
$2.68B
– –
-5
Closed -$26K
KBA icon
8708
KraneShares Bosera MSCI China A 50 Connect Index ETF
KBA
$143M
– –
-4,009
Closed -$158K
KELYA icon
8709
Kelly Services Class A
KELYA
$586M
– –
-1,764
Closed -$30K
KEP icon
8710
Korea Electric Power
KEP
$15.3B
– –
-13,481
Closed -$133K
KFY icon
8711
PUT
Korn Ferry
KFY
$4.38B
– –
-2
Closed -$5K
KHC icon
8712
Kraft Heinz
KHC
$29.5B
– –
-72,061
Closed -$2.34M
KLIC icon
8713
Kulicke & Soffa
KLIC
$4.27B
– –
-4,814
Closed -$140K
KMDA icon
8714
CALL
Kamada
KMDA
$493M
– –
-29
Closed -$24K
KNDI
8715
Kandi Technologies Group
KNDI
$62.3M
$0 ﹤0.01%
100
-18,444
-99% -$152K
KNSA icon
8716
Kiniksa Pharmaceuticals
KNSA
$6.08B
– –
-1,166
Closed -$20.5K
KOF icon
8717
PUT
Coca-Cola Femsa
KOF
$23.5B
– –
-16
Closed -$65K
KR icon
8718
Kroger
KR
$35.9B
– –
-21,912
Closed -$710K
KRG icon
8719
Kite Realty
KRG
$5.2B
– –
-964
Closed -$12.8K
KRYS icon
8720
Krystal Biotech
KRYS
$10.6B
– –
-1,231
Closed -$61.5K
KRYS icon
8721
PUT
Krystal Biotech
KRYS
$10.6B
– –
-2
Closed -$8K
KTB icon
8722
Kontoor Brands
KTB
$4.02B
– –
-5,025
Closed -$185K
KTCC icon
8723
Key Tronic
KTCC
$26.2M
– –
-105
Closed -$859
KTCC icon
8724
PUT
Key Tronic
KTCC
$26.2M
– –
-191
Closed -$188K
KVHI icon
8725
PUT
KVH Industries
KVHI
$131M
– –
-5
Closed -$4K
347 348
349
350 351

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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 1,710 new, 3,401 increased, 3,105 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 Miscellaneous at 98% of assets, down from 98% a quarter earlier, followed by Consumer Discretionary and Technology.

  • 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 1,710 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.