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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
PPBT
8901
Purple Biotech
PPBT
$1.3M
$0 ﹤0.01%
+1
New +$843
PRA
8902
CALL
DELISTED
ProAssurance
PRA
– –
-52
Closed -$81K
PRQR icon
8903
PUT
ProQR Therapeutics
PRQR
$253M
– –
-4
Closed -$1K
PSA icon
8904
Public Storage
PSA
$58.8B
– –
-574
Closed -$132K
PTEN icon
8905
Patterson-UTI
PTEN
$3.93B
– –
-554
Closed -$2.18K
PTON icon
8906
Peloton Interactive
PTON
$2.61B
– –
-5,366
Closed -$654K
PUK icon
8907
CALL
Prudential
PUK
$36.2B
– –
-2
Closed -$5K
PUMP icon
8908
ProPetro Holding
PUMP
$1.51B
– –
-18,918
Closed -$105K
PVL
8909
Permianville Royalty Trust
PVL
$56.8M
$0 ﹤0.01%
+1,000
New +$660
PXJ icon
8910
Invesco Oil & Gas Services ETF
PXJ
$66.7M
$0 ﹤0.01%
48
-105
-69% -$1.29K
QLD icon
8911
ProShares Ultra QQQ
QLD
$12.8B
$0 ﹤0.01%
30,316
-52,956
-64% -$1.34M
QLYS icon
8912
Qualys
QLYS
$4.71B
$0 ﹤0.01%
1,630
+1,026
+170% +$101K
QNCX icon
8913
Quince Therapeutics
QNCX
$17.9M
– –
-6
Closed -$53.2K
QNST icon
8914
QuinStreet
QNST
$861M
– –
-2,601
Closed -$47.4K
QQEW icon
8915
First Trust Nasdaq-100 Select Equal Weight ETF
QQEW
$1.71B
– –
-94
Closed -$8K
QUAL icon
8916
iShares MSCI USA Quality Factor ETF
QUAL
$45.6B
– –
-1
Closed –
RARE icon
8917
PUT
Ultragenyx Pharmaceutical
RARE
$2.66B
– –
-1
Closed -$8K
RAVE icon
8918
RAVE Restaurant Group
RAVE
$44.5M
$0 ﹤0.01%
+600
New +$489
RBA icon
8919
RB Global
RBA
$20.3B
– –
-8,414
Closed -$557K
RBC icon
8920
RBC Bearings
RBC
$18.8B
– –
-384
Closed -$46K
RBC icon
8921
PUT
RBC Bearings
RBC
$18.8B
– –
-19
Closed -$230K
RC
8922
Ready Capital
RC
$267M
– –
-1,607
Closed -$19.7K
RCEL icon
8923
Avita Medical
RCEL
$142M
– –
-1,565
Closed -$34.3K
RCUS icon
8924
PUT
Arcus Biosciences
RCUS
$3.74B
– –
-1
Closed -$1K
RDHL
8925
Redhill Biopharma
RDHL
$4.06M
$0 ﹤0.01%
12
-3
-20% -$27K
355 356
357
358 359

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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.