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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
NFBK
8826
DELISTED
Northfield Bancorp
NFBK
– –
-30
Closed -$333
NFBK
8827
PUT
DELISTED
Northfield Bancorp
NFBK
– –
-3
Closed -$2K
NFE icon
8828
New Fortress Energy
NFE
$78.3M
– –
-1,593
Closed -$73K
NG icon
8829
NovaGold Resources
NG
$3.54B
– –
-17,479
Closed -$185K
NGVC icon
8830
Vitamin Cottage Natural Grocers
NGVC
$644M
– –
-2,231
Closed -$27.8K
NHC icon
8831
PUT
National Healthcare
NHC
$3.42B
– –
-17
Closed -$105K
NINE
8832
DELISTED
Nine Energy Service
NINE
– –
-100
Closed –
NIU
8833
Niu Technologies
NIU
$153M
– –
-2,111
Closed -$61.2K
NMFC icon
8834
New Mountain Finance
NMFC
$707M
– –
-28,425
Closed -$305K
NMR icon
8835
Nomura Holdings
NMR
$31.1B
$0 ﹤0.01%
1
-47
-98% -$232
NNBR icon
8836
NN Inc
NNBR
$302M
– –
-7,291
Closed -$45.4K
NNN icon
8837
NNN REIT
NNN
$8.57B
– –
-2,987
Closed -$113K
NOG icon
8838
Northern Oil and Gas
NOG
$2.76B
– –
-6,155
Closed -$38.1K
NOVT icon
8839
CALL
Novanta
NOVT
$5.61B
– –
-22
Closed -$231K
NOVT icon
8840
PUT
Novanta
NOVT
$5.61B
– –
-1
Closed -$10K
NPO icon
8841
PUT
Enpro
NPO
$6.29B
– –
-1
Closed -$5K
NRT
8842
North European Oil Royalty Trust
NRT
$82.1M
$0 ﹤0.01%
58
-542
-90% -$1.63K
NSA
8843
DELISTED
National Storage Affiliates Trust
NSA
– –
-4,464
Closed -$154K
NTAP icon
8844
NetApp
NTAP
$36.5B
– –
-43,460
Closed -$2.3M
NTRA icon
8845
Natera
NTRA
$47.3B
– –
-7,424
Closed -$620K
NTRS icon
8846
Northern Trust
NTRS
$34.1B
– –
-10,677
Closed -$942K
NTWK icon
8847
CALL
NetSol Technologies
NTWK
$48.5M
– –
-13
Closed -$3K
NTWK icon
8848
PUT
NetSol Technologies
NTWK
$48.5M
– –
-30
Closed -$8K
NVMI
8849
PUT
Nova
NVMI
$11.8B
– –
-10
Closed -$52K
NVT icon
8850
PUT
nVent Electric
NVT
$25.3B
– –
-32
Closed -$56K
352 353
354
355 356

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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.