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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
LPCN icon
8751
Lipocine
LPCN
$17.8M
– –
-1,561
Closed -$37.6K
LPX icon
8752
Louisiana-Pacific
LPX
$5.17B
– –
-35,079
Closed -$1.17M
LQD icon
8753
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$34.7B
– –
-100
Closed -$13K
LQDA icon
8754
Liquidia Corp
LQDA
$7.62B
– –
-3,055
Closed -$11.2K
LUMN icon
8755
Lumen
LUMN
$6.55B
– –
-88,897
Closed -$877K
LXU icon
8756
LSB Industries
LXU
$881M
– –
-3,475
Closed -$6.31K
LYFT icon
8757
CALL
Lyft
LYFT
$5.49B
– –
-3,981
Closed -$11M
LYFT icon
8758
Lyft
LYFT
$5.49B
– –
-93,712
Closed -$3.41M
LYFT icon
8759
PUT
Lyft
LYFT
$5.49B
– –
-4,248
Closed -$11.7M
LYTS icon
8760
CALL
LSI Industries
LYTS
$858M
– –
-5
Closed -$3K
LYTS icon
8761
LSI Industries
LYTS
$858M
– –
-4,880
Closed -$37.6K
LYV icon
8762
Live Nation Entertainment
LYV
$41.2B
– –
-2,074
Closed -$131K
MAA icon
8763
Mid-America Apartment Communities
MAA
$15.5B
– –
-767
Closed -$94.6K
MAC icon
8764
Macerich
MAC
$7.28B
– –
-82,923
Closed -$753K
MAN icon
8765
CALL
ManpowerGroup
MAN
$2.4B
– –
-115
Closed -$843K
MANH icon
8766
Manhattan Associates
MANH
$9.09B
– –
-159
Closed -$15.7K
MAR icon
8767
Marriott International
MAR
$98.7B
– –
-105,147
Closed -$12M
MAXN
8768
DELISTED
Maxeon Solar Technologies
MAXN
– –
-284
Closed -$627K
MCFT icon
8769
MasterCraft Boat Holdings
MCFT
$586M
– –
-452
Closed -$10.1K
MCHI icon
8770
iShares MSCI China ETF
MCHI
$6.04B
– –
-10,352
Closed -$767K
MCHP icon
8771
Microchip Technology
MCHP
$42.8B
– –
-68,408
Closed -$4.26M
MCO icon
8772
Moody's
MCO
$82.1B
– –
-2,045
Closed -$572K
MCRI icon
8773
Monarch Casino & Resort
MCRI
$2.14B
– –
-104
Closed -$5.23K
MCRI icon
8774
PUT
Monarch Casino & Resort
MCRI
$2.14B
– –
-15
Closed -$66K
MDB icon
8775
MongoDB
MDB
$23.9B
$0 ﹤0.01%
12,967
-4,254
-25% -$1.19M
349 350
351
352 353

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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.