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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
HTZ
9476
CALL
DELISTED
Hertz Global Holdings, Inc.
HTZ
– –
-3,293
Closed -$365K
HTZ
9477
DELISTED
Hertz Global Holdings, Inc.
HTZ
– –
-4,600
Closed -$6.65K
HTZ
9478
PUT
DELISTED
Hertz Global Holdings, Inc.
HTZ
– –
-1,407
Closed -$156K
IMMU
9479
CALL
DELISTED
Immunomedics Inc
IMMU
– –
-692
Closed -$5.88M
IMMU
9480
DELISTED
Immunomedics Inc
IMMU
– –
-1,128
Closed -$95K
IMMU
9481
PUT
DELISTED
Immunomedics Inc
IMMU
– –
-1,821
Closed -$15.5M
RST
9482
CALL
DELISTED
ROSETTA STONE INC
RST
– –
-318
Closed -$953K
RST
9483
DELISTED
ROSETTA STONE INC
RST
– –
-4,748
Closed -$142K
RST
9484
PUT
DELISTED
ROSETTA STONE INC
RST
– –
-161
Closed -$482K
ONDK
9485
CALL
DELISTED
On Deck Capital, Inc.
ONDK
– –
-31
Closed -$4K
ONDK
9486
DELISTED
On Deck Capital, Inc.
ONDK
– –
-50,900
Closed -$81K
ONDK
9487
PUT
DELISTED
On Deck Capital, Inc.
ONDK
– –
-244
Closed -$39K
AKCA
9488
CALL
DELISTED
Akcea Therapeutics Inc
AKCA
– –
-3
Closed -$5K
AKCA
9489
DELISTED
Akcea Therapeutics Inc
AKCA
– –
-400
Closed -$7K
AKCA
9490
PUT
DELISTED
Akcea Therapeutics Inc
AKCA
– –
-75
Closed -$136K
VSLR
9491
CALL
DELISTED
VIVINT SOLAR, INC.
VSLR
– –
-27
Closed -$42K
VSLR
9492
DELISTED
VIVINT SOLAR, INC.
VSLR
– –
-3,243
Closed -$137K
VSLR
9493
PUT
DELISTED
VIVINT SOLAR, INC.
VSLR
– –
-25
Closed -$1K
AMTD
9494
CALL
DELISTED
TD Ameritrade Holding Corp
AMTD
– –
-319
Closed -$54K
AMTD
9495
PUT
DELISTED
TD Ameritrade Holding Corp
AMTD
– –
-191
Closed -$36K
NBL
9496
CALL
DELISTED
Noble Energy, Inc.
NBL
– –
-267
Closed -$1K
NBL
9497
DELISTED
Noble Energy, Inc.
NBL
– –
-23,165
Closed -$198K
NBL
9498
PUT
DELISTED
Noble Energy, Inc.
NBL
– –
-262
Closed -$241K
ETFC
9499
CALL
DELISTED
E*Trade Financial Corporation
ETFC
– –
-152
Closed -$35K
ETFC
9500
DELISTED
E*Trade Financial Corporation
ETFC
– –
-500
Closed -$25K
378 379
380
381 382

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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.