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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
SOYB icon
9026
Teucrium Soybean Fund
SOYB
$56.7M
– –
-81,312
Closed -$1.4M
SPDN icon
9027
Direxion Daily S&P 500 Bear 1X ETF
SPDN
$232M
$0 ﹤0.01%
+50
New +$978
SPGI icon
9028
CALL
S&P Global
SPGI
$124B
– –
-404
Closed -$14.6M
SPGI icon
9029
PUT
S&P Global
SPGI
$124B
– –
-459
Closed -$16.6M
SPH icon
9030
CALL
Suburban Propane Partners
SPH
$1.22B
– –
-24
Closed -$39K
SPH icon
9031
Suburban Propane Partners
SPH
$1.22B
$0 ﹤0.01%
10,704
-41,603
-80% -$669K
SPH icon
9032
PUT
Suburban Propane Partners
SPH
$1.22B
– –
-138
Closed -$224K
SPHR icon
9033
Sphere Entertainment
SPHR
$4.77B
$0 ﹤0.01%
+4,463
New +$341K
SPNT icon
9034
CALL
SiriusPoint
SPNT
$2.91B
– –
-8
Closed -$5K
SPOK icon
9035
PUT
Spok Holdings
SPOK
$220M
– –
-3
Closed -$2K
SPR
9036
DELISTED
Spirit AeroSystems
SPR
– –
-33,286
Closed -$954K
SPTN
9037
DELISTED
SpartanNash
SPTN
– –
-2,456
Closed -$45.8K
SPWH icon
9038
Sportsman's Warehouse
SPWH
$44.9M
– –
-16,655
Closed -$244K
SQM icon
9039
Sociedad Química y Minera de Chile
SQM
$19.8B
– –
-11,294
Closed -$476K
SQQQ icon
9040
ProShares UltraPro Short QQQ
SQQQ
$2.14B
$0 ﹤0.01%
3,579
+1,587
+80% +$3.85M
SRDX
9041
CALL
DELISTED
Surmodics
SRDX
– –
-1
Closed -$3K
SRDX
9042
PUT
DELISTED
Surmodics
SRDX
– –
-1
Closed -$3K
SRE icon
9043
Sempra
SRE
$61.1B
– –
-14,888
Closed -$958K
SRPT icon
9044
Sarepta Therapeutics
SRPT
$1.68B
– –
-290
Closed -$43K
SRVR icon
9045
Pacer Data & Infrastructure Real Estate ETF
SRVR
$371M
– –
-230
Closed -$8K
SSD icon
9046
Simpson Manufacturing
SSD
$7.79B
– –
-20
Closed -$1.86K
SSNC icon
9047
SS&C Technologies
SSNC
$16.1B
– –
-16,035
Closed -$1.07M
NSLR
9048
Neostellar Capital Corp
NSLR
$272M
– –
-6,133
Closed -$53.9K
SSYS icon
9049
Stratasys
SSYS
$695M
– –
-10,430
Closed -$167K
STE icon
9050
PUT
Steris
STE
$20.5B
– –
-1
Closed -$17K
360 361
362
363 364

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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.