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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
NWBI icon
8851
Northwest Bancshares
NWBI
$2.24B
– –
-731
Closed -$8.34K
NX icon
8852
Quanex
NX
$839M
– –
-1,729
Closed -$35.6K
NXPI icon
8853
NXP Semiconductors
NXPI
$70B
– –
-7,088
Closed -$1.04M
OCSL icon
8854
Oaktree Specialty Lending
OCSL
$1.02B
– –
-274
Closed -$4.26K
OFG icon
8855
CALL
OFG Bancorp
OFG
$2.22B
– –
-86
Closed -$107K
OFG icon
8856
OFG Bancorp
OFG
$2.22B
– –
-1,187
Closed -$14K
OFG icon
8857
PUT
OFG Bancorp
OFG
$2.22B
– –
-30
Closed -$37K
OLN icon
8858
Olin
OLN
$2.69B
– –
-19,707
Closed -$401K
OMCL icon
8859
PUT
Omnicell
OMCL
$1.81B
– –
-59
Closed -$440K
OMEX icon
8860
Odyssey Marine Exploration
OMEX
$42.8M
– –
-21,461
Closed -$147K
OMF icon
8861
OneMain Financial
OMF
$6.79B
– –
-9,428
Closed -$372K
ONB icon
8862
Old National Bancorp
ONB
$9.99B
$0 ﹤0.01%
40
– –
OPRA
8863
Opera Ltd
OPRA
$1.62B
$0 ﹤0.01%
6,266
+6,192
+8,368% +$56.1K
ORCL icon
8864
Oracle
ORCL
$346B
– –
-37,270
Closed -$2.22M
ORI icon
8865
Old Republic International
ORI
$10.1B
– –
-1,166
Closed -$20.5K
ORLY icon
8866
O'Reilly Automotive
ORLY
$71.4B
– –
-420
Closed -$12.7K
ORMP icon
8867
Oramed Pharmaceuticals
ORMP
$170M
– –
-24,124
Closed -$78.5K
OSW icon
8868
OneSpaWorld
OSW
$2.62B
– –
-522
Closed -$4.13K
OTRK
8869
DELISTED
Ontrak
OTRK
– –
-64
Closed -$349K
OUT icon
8870
Outfront Media
OUT
$5.61B
– –
-6,149
Closed -$104K
OXSQ icon
8871
CALL
Oxford Square Capital
OXSQ
$151M
– –
-192
Closed -$47K
PAHC icon
8872
CALL
Phibro Animal Health
PAHC
$1.38B
– –
-21
Closed -$36K
PAHC icon
8873
Phibro Animal Health
PAHC
$1.38B
– –
-2,752
Closed -$47K
PARR icon
8874
Par Pacific Holdings
PARR
$3.89B
– –
-100
Closed –
PB icon
8875
CALL
Prosperity Bancshares
PB
$8.71B
– –
-9
Closed -$46K
353 354
355
356 357

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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.