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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
ROCK icon
8951
Gibraltar Industries
ROCK
$1.32B
– –
-2,021
Closed -$135K
ROCK icon
8952
PUT
Gibraltar Industries
ROCK
$1.32B
– –
-1
Closed -$6K
ROG icon
8953
PUT
Rogers Corp
ROG
$2.37B
– –
-10
Closed -$98K
ROK icon
8954
CALL
Rockwell Automation
ROK
$51.3B
– –
-99
Closed -$2.18M
ROK icon
8955
Rockwell Automation
ROK
$51.3B
– –
-4,987
Closed -$1.22M
ROK icon
8956
PUT
Rockwell Automation
ROK
$51.3B
– –
-183
Closed -$4.04M
ROKU icon
8957
Roku
ROKU
$21B
$0 ﹤0.01%
22,947
-11,859
-34% -$3.11M
ROST icon
8958
Ross Stores
ROST
$74.5B
– –
-11,514
Closed -$1.21M
RSI icon
8959
Rush Street Interactive
RSI
$3.22B
– –
-8,921
Closed -$134K
RTX icon
8960
RTX Corp
RTX
$282B
$0 ﹤0.01%
233
-32,813
-99% -$2.16M
RUN icon
8961
CALL
Sunrun
RUN
$2.48B
– –
-985
Closed -$7.59M
RUN icon
8962
Sunrun
RUN
$2.48B
$0 ﹤0.01%
+5,425
New +$337K
RUN icon
8963
PUT
Sunrun
RUN
$2.48B
– –
-781
Closed -$6.02M
RUSHA icon
8964
Rush Enterprises Class A
RUSHA
$5.93B
– –
-1,991
Closed -$51K
RVLV icon
8965
Revolve Group
RVLV
$1.75B
– –
-5,314
Closed -$118K
RVP icon
8966
Retractable Technologies
RVP
$20.4M
– –
-2,564
Closed -$24.9K
RXT icon
8967
Rackspace Technology
RXT
$1.02B
– –
-584
Closed -$10.5K
RYZ
8968
Ryerson Holding Corp
RYZ
$1.54B
– –
-175
Closed -$1K
RYN icon
8969
PUT
Rayonier
RYN
$6.41B
– –
-116
Closed -$277K
SAIA icon
8970
PUT
Saia
SAIA
$11.3B
– –
-1
Closed -$1K
SAM icon
8971
Boston Beer
SAM
$1.82B
$0 ﹤0.01%
182
-929
-84% -$892K
SAN icon
8972
CALL
Banco Santander
SAN
$189B
– –
-1,697
Closed -$300K
SAN icon
8973
Banco Santander
SAN
$189B
$0 ﹤0.01%
187,694
+9,351
+5% +$23.7K
SAN icon
8974
PUT
Banco Santander
SAN
$189B
– –
-2,457
Closed -$435K
SAND
8975
DELISTED
Sandstorm Gold
SAND
– –
-36,309
Closed -$281K
357 358
359
360 361

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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.