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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
MP icon
8801
MP Materials
MP
$7.51B
– –
-40,426
Closed -$782K
MPAA icon
8802
CALL
Motorcar Parts of America
MPAA
$262M
– –
-18
Closed -$28K
MRK icon
8803
CALL
Merck
MRK
$324B
– –
-8,915
Closed -$70.6M
MRK icon
8804
Merck
MRK
$324B
$0 ﹤0.01%
12,010
-62,339
-84% -$4.77M
MRK icon
8805
PUT
Merck
MRK
$324B
– –
-7,407
Closed -$58.6M
MRKR icon
8806
Marker Therapeutics
MRKR
$21.8M
$0 ﹤0.01%
+11
New +$171
MS icon
8807
Morgan Stanley
MS
$339B
– –
-33,194
Closed -$1.9M
MSGS icon
8808
CALL
Madison Square Garden
MSGS
$9.64B
– –
-120
Closed -$1.27M
MSGS icon
8809
Madison Square Garden
MSGS
$9.64B
$0 ﹤0.01%
3,788
+1,843
+95% +$303K
MSGS icon
8810
PUT
Madison Square Garden
MSGS
$9.64B
– –
-150
Closed -$687K
MTB icon
8811
M&T Bank
MTB
$36B
– –
-12,496
Closed -$1.42M
MTRN icon
8812
PUT
Materion
MTRN
$5.14B
– –
-43
Closed -$223K
MTSI icon
8813
MACOM Technology Solutions
MTSI
$20.8B
– –
-15,968
Closed -$681K
MTW icon
8814
Manitowoc
MTW
$512M
– –
-7,429
Closed -$79.2K
MTX icon
8815
CALL
Minerals Technologies
MTX
$2.31B
– –
-2
Closed -$1K
MU icon
8816
Micron Technology
MU
$1.07T
$0 ﹤0.01%
41,381
-59,215
-59% -$3.57M
MUSA icon
8817
Murphy USA
MUSA
$11.4B
– –
-1,943
Closed -$250K
MUSA icon
8818
PUT
Murphy USA
MUSA
$11.4B
– –
-47
Closed -$602K
MZZ icon
8819
ProShares UltraShort MidCap400
MZZ
$2.47M
$0 ﹤0.01%
+2
New +$65
NAIL icon
8820
Direxion Daily Homebuilders & Supplies Bull 3X ETF
NAIL
$580M
$0 ﹤0.01%
9,891
+1,720
+21% +$85.2K
NAK
8821
Northern Dynasty Minerals
NAK
$891M
– –
-328,728
Closed -$238K
NERV icon
8822
Minerva Neurosciences
NERV
$198M
$0 ﹤0.01%
476
-9,450
-95% -$238K
NET icon
8823
Cloudflare
NET
$94.2B
– –
-42,553
Closed -$2.79M
NEU icon
8824
NewMarket
NEU
$7.09B
– –
-493
Closed -$184K
NEWT icon
8825
NewtekOne
NEWT
$420M
– –
-100
Closed -$1.8K
351 352
353
354 355

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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.