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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
+12.69%
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
$73.5B
AUM Growth
+$10.8B
Cap. Flow
-$1.16B
Cap. Flow %
-1.58%
Top 10 Hldgs %
42.78%
Holding
9,056
New
1,403
Increased
3,135
Reduced
3,122
Closed
1,191

Top Buys

Rank Stock Value
1
AMZN icon
Amazon
AMZN
+$102M
2
TSM icon
TSMC
TSM
+$27.8M
3
JPM icon
JPMorgan Chase
JPM
+$22.4M
4
BA icon
Boeing
BA
+$19.4M
5
XOM icon
ExxonMobil
XOM
+$14.7M

Top Sells

Rank Stock Value
1
GLD icon
SPDR Gold Trust
GLD
+$95.5M
2
QQQ icon
Invesco QQQ Trust
QQQ
+$79.6M
3
TSLA icon
Tesla
TSLA
+$75.3M
4
NVDA icon
NVIDIA
NVDA
+$51.6M
5
EFA icon
iShares MSCI EAFE ETF
EFA
+$40.5M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 0.53%
2 Technology 0.4%
3 Healthcare 0.22%
4 Financials 0.21%
5 Communication Services 0.18%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GCAP
8951
DELISTED
Gain Capital Holdings, Inc.
GCAP
– –
-1,866
Closed -$11K
GCAP
8952
PUT
DELISTED
Gain Capital Holdings, Inc.
GCAP
– –
-31
Closed -$18K
DNR
8953
DELISTED
Denbury Resources, Inc.
DNR
– –
-35,617
Closed -$8.91K
NE
8954
PUT
DELISTED
Noble Corporation
NE
– –
-147
Closed -$4K
LM
8955
CALL
DELISTED
Legg Mason, Inc.
LM
– –
-50
Closed -$248K
LM
8956
DELISTED
Legg Mason, Inc.
LM
– –
-4,800
Closed -$238K
LM
8957
PUT
DELISTED
Legg Mason, Inc.
LM
– –
-51
Closed -$253K
BGG
8958
PUT
DELISTED
Briggs & Stratton Corp.
BGG
– –
-226
Closed -$29K
HCR
8959
CALL
DELISTED
Hi-Crush Inc. Common Stock
HCR
– –
-357
Closed -$5K
HCR
8960
DELISTED
Hi-Crush Inc. Common Stock
HCR
$0 ﹤0.01%
1,600
-19,919
-93% -$3.25K
RTW
8961
DELISTED
RTW Retailwinds, Inc.
RTW
$0 ﹤0.01%
300
– –
PTLA
8962
CALL
DELISTED
Portola Pharmaceuticals, Inc.
PTLA
– –
-564
Closed -$1.01M
PTLA
8963
DELISTED
Portola Pharmaceuticals, Inc.
PTLA
– –
-576
Closed -$10K
PTLA
8964
PUT
DELISTED
Portola Pharmaceuticals, Inc.
PTLA
– –
-361
Closed -$649K
MINI
8965
DELISTED
Mobile Mini Inc
MINI
– –
-2,728
Closed -$80K
IBKC
8966
CALL
DELISTED
IBERIABANK Corp
IBKC
– –
-3
Closed -$1K
GNC
8967
CALL
DELISTED
GNC Holdings, Inc.
GNC
– –
-3,490
Closed -$74K
GNC
8968
PUT
DELISTED
GNC Holdings, Inc.
GNC
– –
-102
Closed -$16K
TECD
8969
CALL
DELISTED
Tech Data Corp
TECD
– –
-274
Closed -$3.97M
TECD
8970
DELISTED
Tech Data Corp
TECD
– –
-4,767
Closed -$690K
TECD
8971
PUT
DELISTED
Tech Data Corp
TECD
– –
-511
Closed -$7.4M
CHK
8972
CALL
DELISTED
Chesapeake Energy Corporation
CHK
– –
-3,396
Closed -$1.66M
CHK
8973
PUT
DELISTED
Chesapeake Energy Corporation
CHK
– –
-1,610
Closed -$787K
LK
8974
CALL
DELISTED
Luckin Coffee Inc. American Depositary Shares
LK
– –
-14,623
Closed -$3.41M
LK
8975
PUT
DELISTED
Luckin Coffee Inc. American Depositary Shares
LK
– –
-8,688
Closed -$2.02M
357 358
359
360 361

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Simplex Trading's Q3 2020 Portfolio in Review

As of Q3 2020, Simplex Trading held 9,056 positions worth $73.5B, up 17% from $62.7B the previous quarter. Its ten largest holdings account for 43% of the portfolio.

Simplex Trading's Q3 2020 filing shows 1,403 new, 3,135 increased, 3,122 reduced and 1,191 closed positions. Its largest new stake was Goldman Sachs: 60,397 shares worth $12.1M. The largest sale was SPDR Gold Trust, an estimated $95.5M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 0.53% of assets, up from 0.47% a quarter earlier, followed by Technology and Healthcare.

  • Simplex Trading's largest Q3 2020 buy was Goldman Sachs: 60,397 shares worth $12.1M.
  • Simplex Trading added most to Amazon in Q3 2020, an estimated $102M increase.
  • Simplex Trading's biggest Q3 2020 reduction was SPDR Gold Trust, cutting an estimated $95.5M.
  • Simplex Trading fully exited iShares MSCI EAFE ETF in Q3 2020, selling an estimated $40.5M.
  • Simplex Trading's ten largest holdings make up 43% of its $73.5B portfolio in Q3 2020.
  • Simplex Trading opened 1,403 new positions and closed 1,191 in Q3 2020.
  • Simplex Trading's portfolio value rose 17% quarter-over-quarter to $73.5B.

Based on Simplex Trading's 13F filing for Q3 2020, filed 14 Oct 2020.