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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
VPL icon
9151
Vanguard FTSE Pacific ETF
VPL
$8.13B
– –
-1,551
Closed -$105K
VRE
9152
PUT
DELISTED
Veris Residential
VRE
– –
-12
Closed -$15K
VRRM icon
9153
Verra Mobility
VRRM
$595M
– –
-1,387
Closed -$16.3K
VRSN icon
9154
VeriSign
VRSN
$23.5B
– –
-730
Closed -$149K
VRT icon
9155
Vertiv
VRT
$116B
– –
-20,609
Closed -$379K
VRTX icon
9156
Vertex Pharmaceuticals
VRTX
$120B
$0 ﹤0.01%
26,148
+20,582
+370% +$4.72M
VXRT
9157
DELISTED
Vaxart
VXRT
– –
-5,717
Closed -$36.4K
VXUS icon
9158
CALL
Vanguard Total International Stock ETF
VXUS
$153B
– –
-641
Closed -$3.34M
VXUS icon
9159
PUT
Vanguard Total International Stock ETF
VXUS
$153B
– –
-170
Closed -$886K
VYGR icon
9160
Voyager Therapeutics
VYGR
$181M
– –
-1,465
Closed -$14.1K
VZ icon
9161
Verizon
VZ
$183B
– –
-34,018
Closed -$2.02M
WAFD icon
9162
WaFd
WAFD
$2.7B
– –
-682
Closed -$16.2K
WCN
9163
Waste Connections
WCN
$42.9B
– –
-152
Closed -$15.7K
WDAY icon
9164
CALL
Workday
WDAY
$31.9B
– –
-1,006
Closed -$21.6M
WDAY icon
9165
PUT
Workday
WDAY
$31.9B
– –
-1,152
Closed -$24.8M
WERN icon
9166
Werner Enterprises
WERN
$2.64B
– –
-230
Closed -$9.36K
WES icon
9167
Western Midstream Partners
WES
$19.7B
– –
-1,604
Closed -$18.4K
WHD icon
9168
Cactus
WHD
$3.84B
– –
-156
Closed -$3.53K
WHR icon
9169
Whirlpool
WHR
$2.3B
$0 ﹤0.01%
+8,222
New +$1.57M
WIT icon
9170
Wipro
WIT
$17.7B
– –
-3,198
Closed -$8.25K
WK icon
9171
PUT
Workiva
WK
$2.84B
– –
-1
Closed -$5K
WLKP icon
9172
Westlake Chemical Partners
WLKP
$775M
– –
-1,287
Closed -$26.1K
WMK icon
9173
Weis Markets
WMK
$1.82B
$0 ﹤0.01%
2
-1,541
-100% -$74K
WNEB icon
9174
Western New England Bancorp
WNEB
$284M
– –
-452
Closed -$2K
WPP icon
9175
CALL
WPP
WPP
$3.91B
– –
-19
Closed -$74K
365 366
367
368 369

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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.