Simplex Trading Portfolio holdings
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.
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
Alibaba
BABA
|
+$39.9M |
| 2 |
Invesco QQQ Trust
QQQ
|
+$39M |
| 3 |
Mastercard
MA
|
+$31.3M |
| 4 |
Apple
AAPL
|
+$25.3M |
| 5 |
Alphabet (Google) Class C
GOOG
|
+$25.1M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
JPMorgan Chase
JPM
|
+$52.8M |
| 2 |
TSMC
TSM
|
+$43M |
| 3 |
Amazon
AMZN
|
+$24.7M |
| 4 |
iShares Silver Trust
SLV
|
+$24.2M |
| 5 |
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 | |
|---|---|---|---|---|---|---|
9101
PUT
Telus
TU
$15.8B
| – | – |
-112
| Closed | -$197K |
|
|
TURN
9102
DELISTED
180 Degree Capital
TURN
| – | – |
-19
| Closed | -$109 |
|
9103
Televisa
TV
$1.47B
| – | – |
-3,990
| Closed | -$30.4K |
|
|
TWO
9104
Two Harbors Investment
TWO
$1.27B
| – | – |
-6,387
| Closed | -$152K |
|
9105
Texas Instruments
TXN
$259B
| $0 | ﹤0.01% |
15,764
+6,722
| +74% | +$1.05M |
|
9106
Direxion Daily 7-10 Year Treasury Bear 3X ETF
TYO
$12.5M
| $0 | ﹤0.01% |
+100
| New | +$800 |
|
9107
Travelzoo
TZOO
$103M
| – | – |
-6,327
| Closed | -$54.3K |
|
9108
Unity
U
$12.6B
| – | – |
-4,492
| Closed | -$546K |
|
9109
United States Antimony
UAMY
$817M
| $0 | ﹤0.01% |
+1,700
| New | +$691 |
|
9110
CALL
Uber
UBER
$140B
| – | – |
-20,774
| Closed | -$75.8M |
|
|
9111
Uber
UBER
$140B
| $0 | ﹤0.01% |
164,375
+106,143
| +182% | +$4.76M |
|
|
9112
PUT
Uber
UBER
$140B
| – | – |
-20,663
| Closed | -$75.4M |
|
|
UBX
9113
DELISTED
Unity Biotechnology
UBX
| $0 | ﹤0.01% |
+279
| New | +$13.5K |
|
9114
PUT
Universal Electronics
UEIC
$57.5M
| – | – |
-8
| Closed | -$30K |
|
9115
UNIFI
UFI
$114M
| – | – |
-2,342
| Closed | -$36.2K |
|
9116
Ultrapar
UGP
$7.01B
| $0 | ﹤0.01% |
193
-200
| -51% | -$759 |
|
9117
Unisys
UIS
$238M
| – | – |
-6,487
| Closed | -$93.3K |
|
9118
CALL
Unilever
UL
$130B
| – | – |
-147
| Closed | -$1.02M |
|
|
9119
Unilever
UL
$130B
| $0 | ﹤0.01% |
38,873
+31,049
| +397% | +$2.11M |
|
|
9120
PUT
Unilever
UL
$130B
| – | – |
-164
| Closed | -$1.13M |
|
9121
ProShares Ultra Euro
ULE
$4.29M
| – | – |
-1,116
| Closed | -$16K |
|
9122
CALL
UMB Financial
UMBF
$10.6B
| – | – |
-4
| Closed | -$19K |
|
9123
United Natural Foods
UNFI
$2.94B
| – | – |
-80,658
| Closed | -$1.35M |
|
9124
Upwork
UPWK
$1.08B
| – | – |
-25,637
| Closed | -$733K |
|
9125
Urban Outfitters
URBN
$5.96B
| – | – |
-15,073
| Closed | -$388K |
|
Similar funds
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.