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Simplex Trading

Simplex Trading Portfolio holdings

AUM $171B
1-Year Est. Return 85%
 

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
+85%
3 Year Est. Return
+183.25%
5 Year Est. Return
+145.21%
10 Year Est. Return
+1,056.84%
AUM
$77.2B
AUM Growth
+$3.66B
Cap. Flow
+$40.8M
Cap. Flow %
0.05%
Top 10 Hldgs %
42.09%
Holding
9,568
New
1,710
Increased
3,401
Reduced
3,105
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 Miscellaneous 97.69%
2 Consumer Discretionary 0.65%
3 Technology 0.38%
4 Healthcare 0.33%
5 Industrials 0.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
WPP icon
9176
PUT
WPP
WPP
$5.46B
– –
-4
Closed -$15K
WSFS icon
9177
WSFS Financial
WSFS
$4.06B
– –
-739
Closed -$27.1K
WSFS icon
9178
PUT
WSFS Financial
WSFS
$4.06B
– –
-6
Closed -$16K
WST icon
9179
West Pharmaceutical
WST
$23.9B
– –
-1,216
Closed -$341K
WTBA icon
9180
CALL
West Bancorporation
WTBA
$499M
– –
-6
Closed -$9K
WTTR icon
9181
CALL
Select Water Solutions
WTTR
$2.59B
– –
-11
Closed -$4K
WTTR icon
9182
Select Water Solutions
WTTR
$2.59B
$0 ﹤0.01%
+35
New +$141
XAR icon
9183
State Street SPDR S&P Aerospace & Defense ETF
XAR
$5.68B
– –
-340
Closed -$29K
XEL icon
9184
Xcel Energy
XEL
$47.3B
– –
-2,310
Closed -$161K
XERS icon
9185
Xeris Biopharma Holdings
XERS
$1.56B
– –
-5,526
Closed -$27.6K
XHE icon
9186
State Street SPDR S&P Health Care Equipment ETF
XHE
$179M
– –
-367
Closed -$35K
XHR
9187
Xenia Hotels & Resorts
XHR
$1.66B
– –
-1,344
Closed -$16.1K
XIN
9188
DELISTED
Xinyuan Real Estate
XIN
$0 ﹤0.01%
2
-266
-99% -$5.76K
XME icon
9189
State Street SPDR S&P Metals & Mining ETF
XME
$4.86B
– –
-43,103
Closed -$1M
XP icon
9190
XP
XP
$10.1B
$0 ﹤0.01%
23,721
+2,994
+14% +$122K
XPEL icon
9191
XPEL
XPEL
$1.42B
– –
-3,797
Closed -$137K
XPO icon
9192
XPO
XPO
$22.6B
– –
-552
Closed -$20K
XPP icon
9193
ProShares Ultra FTSE China 50 of PROSHARES TRUST
XPP
$8.52M
– –
-6,708
Closed -$388K
XRT icon
9194
State Street SPDR S&P Retail ETF
XRT
$285M
$0 ﹤0.01%
+10,012
New +$574K
XYLD icon
9195
CALL
Global X S&P 500 Covered Call ETF
XYLD
$3.35B
– –
-1
Closed -$3K
XYLD icon
9196
PUT
Global X S&P 500 Covered Call ETF
XYLD
$3.35B
– –
-1
Closed -$3K
XYL icon
9197
Xylem
XYL
$24.7B
– –
-4,076
Closed -$383K
YETI icon
9198
CALL
Yeti Holdings
YETI
$2.98B
– –
-526
Closed -$2.38M
YETI icon
9199
Yeti Holdings
YETI
$2.98B
$0 ﹤0.01%
8,590
+713
+9% +$42.2K
YETI icon
9200
PUT
Yeti Holdings
YETI
$2.98B
– –
-612
Closed -$2.77M
366 367
368
369 370

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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 1,710 new, 3,401 increased, 3,105 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 Miscellaneous at 98% of assets, down from 98% a quarter earlier, followed by Consumer Discretionary and Technology.

  • 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 1,710 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.