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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
SMTX
9426
DELISTED
SMTC Corporation
SMTX
– –
-522
Closed -$1K
SMTX
9427
PUT
DELISTED
SMTC Corporation
SMTX
– –
-10
Closed -$3K
NEOS
9428
DELISTED
Neos Therapeutics, Inc
NEOS
$0 ﹤0.01%
+100
New +$62
OCSI
9429
DELISTED
Oaktree Strategic Income Corporation
OCSI
– –
-100
Closed –
RLH
9430
DELISTED
Red Lions Hotel Corporation
RLH
– –
-26,615
Closed -$59.7K
CZZ
9431
DELISTED
Cosan Limited
CZZ
– –
-1,559
Closed -$26K
EV
9432
CALL
DELISTED
Eaton Vance Corp.
EV
– –
-12
Closed -$45K
EV
9433
DELISTED
Eaton Vance Corp.
EV
$0 ﹤0.01%
+565
New +$35.3K
EV
9434
PUT
DELISTED
Eaton Vance Corp.
EV
– –
-8
Closed -$30K
CBMG
9435
DELISTED
Cellular Biomedicine Group, Inc.
CBMG
$0 ﹤0.01%
26,210
+25,847
+7,120% +$471K
VRTU
9436
CALL
DELISTED
Virtusa Corporation
VRTU
– –
-7
Closed -$34K
EIGI
9437
DELISTED
Endurance International Group Holdings, Inc.
EIGI
– –
-11,190
Closed -$92.5K
CEL
9438
DELISTED
Cellcom Israel, Ltd.
CEL
– –
-291
Closed -$1.28K
PRVL
9439
DELISTED
Prevail Therapeutics Inc. Common Stock
PRVL
$0 ﹤0.01%
+121
New +$1.53K
MCEP
9440
CALL
DELISTED
Mid-Con Energy Partners, LP
MCEP
– –
-10
Closed -$2K
BMCH
9441
PUT
DELISTED
BMC Stock Holdings, Inc
BMCH
– –
-22
Closed -$94K
GV
9442
CALL
DELISTED
Goldfield Corporation
GV
– –
-65
Closed -$27K
GV
9443
PUT
DELISTED
Goldfield Corporation
GV
– –
-4
Closed -$1K
PRCP
9444
CALL
DELISTED
Perceptron Inc
PRCP
– –
-332
Closed -$225K
PRCP
9445
DELISTED
Perceptron Inc
PRCP
– –
-13,495
Closed -$93.4K
PRCP
9446
PUT
DELISTED
Perceptron Inc
PRCP
– –
-228
Closed -$155K
VER
9447
DELISTED
VEREIT, Inc.
VER
– –
-5,180
Closed -$184K
DNKN
9448
CALL
DELISTED
Dunkin' Brands Group, Inc.
DNKN
– –
-235
Closed -$1.92M
DNKN
9449
PUT
DELISTED
Dunkin' Brands Group, Inc.
DNKN
– –
-290
Closed -$2.38M
NTRP
9450
DELISTED
Neurotrope, Inc. Common
NTRP
– –
-26
Closed –
376 377
378
379 380

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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.