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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
TENB icon
9076
Tenable Holdings
TENB
$3.49B
– –
-2,835
Closed -$112K
TER icon
9077
Teradyne
TER
$58.5B
– –
-16,603
Closed -$1.7M
TEX icon
9078
Terex
TEX
$7.83B
– –
-25,207
Closed -$744K
TFC icon
9079
Truist Financial
TFC
$62.5B
– –
-8,062
Closed -$365K
TGS icon
9080
Transportadora de Gas del Sur
TGS
$4.74B
$0 ﹤0.01%
+100
New +$517
TGT icon
9081
Target
TGT
$61.1B
– –
-85,606
Closed -$14.3M
THC icon
9082
Tenet Healthcare
THC
$17.1B
– –
-10,866
Closed -$351K
THO icon
9083
Thor Industries
THO
$3.9B
– –
-15,863
Closed -$1.49M
THRM icon
9084
CALL
Gentherm
THRM
$1.4B
– –
-5
Closed -$20K
THRM icon
9085
PUT
Gentherm
THRM
$1.4B
– –
-2
Closed -$8K
TIMB icon
9086
CALL
TIM SA
TIMB
$10.1B
– –
-3
Closed -$3K
TLSA icon
9087
Tiziana Life Sciences
TLSA
$130M
– –
-510
Closed -$1.61K
TMDX icon
9088
CALL
Transmedics
TMDX
$2.46B
– –
-15
Closed -$1K
TMHC icon
9089
Taylor Morrison
TMHC
$6.67B
$0 ﹤0.01%
19,267
-786
-4% -$20K
TMO icon
9090
Thermo Fisher Scientific
TMO
$213B
– –
-5,594
Closed -$2.62M
TPB icon
9091
Turning Point Brands
TPB
$1.42B
– –
-6,904
Closed -$261K
TPST icon
9092
PUT
Tempest Therapeutics
TPST
$15M
– –
-2
Closed -$61K
TPVG icon
9093
TriplePoint Venture Growth BDC
TPVG
$179M
– –
-1,458
Closed -$16K
TPVG icon
9094
PUT
TriplePoint Venture Growth BDC
TPVG
$179M
– –
-6
Closed -$6K
TRAK icon
9095
CALL
ReposiTrak
TRAK
$146M
– –
-139
Closed -$68K
TRAK icon
9096
ReposiTrak
TRAK
$146M
$0 ﹤0.01%
+116
New +$562
TRMK icon
9097
CALL
Trustmark
TRMK
$2.7B
– –
-22
Closed -$47K
TRX icon
9098
TRX Gold Corp
TRX
$265M
– –
-4,596
Closed -$3K
TSQ icon
9099
CALL
Townsquare Media
TSQ
$115M
– –
-16
Closed -$7K
TTMI icon
9100
TTM Technologies
TTMI
$15B
– –
-7,174
Closed -$91.8K
362 363
364
365 366

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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.