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 | |
|---|---|---|---|---|---|---|
1
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$787B
| $6.58B | 8.53% |
176,073
-31,491
| -15% | -$11.2M |
|
2
PUT
Tesla
TSLA
$1.42T
| $5.26B | 6.81% |
223,443
+5,532
| +3% | +$944K |
|
|
3
CALL
Tesla
TSLA
$1.42T
| $3.53B | 4.57% |
149,886
-13,011
| -8% | -$2.22M |
|
|
4
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$787B
| $3.27B | 4.23% |
87,405
-47,268
| -35% | -$16.8M |
|
5
PUT
iShares S&P 100 ETF
OEF
$20.2B
| $3.13B | 4.06% |
252,206
-8,291
| -3% | -$1.35M |
|
|
6
PUT
Invesco QQQ Trust
QQQ
$471B
| $2.94B | 3.81% |
93,634
-36,113
| -28% | -$10.6M |
|
|
7
CALL
Amazon
AMZN
$2.66T
| $2.24B | 2.9% |
137,260
+26,160
| +24% | +$4.17M |
|
|
8
PUT
Amazon
AMZN
$2.66T
| $2.08B | 2.69% |
127,580
-18,660
| -13% | -$2.98M |
|
|
9
CALL
iShares S&P 100 ETF
OEF
$20.2B
| $1.86B | 2.41% |
152,041
-19,327
| -11% | -$3.16M |
|
|
10
CALL
Apple
AAPL
$4.81T
| $1.61B | 2.08% |
120,999
-48,894
| -29% | -$5.88M |
|
|
11
PUT
Apple
AAPL
$4.81T
| $1.6B | 2.07% |
120,225
-7,371
| -6% | -$887K |
|
|
12
CALL
Invesco QQQ Trust
QQQ
$471B
| $1.38B | 1.79% |
43,944
-28,793
| -40% | -$8.45M |
|
13
PUT
State Street Materials Select Sector SPDR ETF
XLB
$8.31B
| $833M | 1.08% |
259,914
+13,238
| +5% | +$453K |
|
14
CALL
SPDR Gold Trust
GLD
$132B
| $815M | 1.06% |
45,670
-19,289
| -30% | -$3.4M |
|
|
15
PUT
Alibaba
BABA
$283B
| $719M | 0.93% |
30,883
+10,269
| +50% | +$2.85M |
|
|
16
CALL
Alibaba
BABA
$283B
| $682M | 0.88% |
29,297
+6,433
| +28% | +$1.79M |
|
|
17
PUT
Alphabet (Google) Class A
GOOGL
$4.24T
| $656M | 0.85% |
74,900
+17,840
| +31% | +$1.5M |
|
18
CALL
Microsoft
MSFT
$2.95T
| $622M | 0.81% |
27,947
+1,982
| +8% | +$426K |
|
|
19
CALL
State Street Materials Select Sector SPDR ETF
XLB
$8.31B
| $580M | 0.75% |
191,292
-49,796
| -21% | -$1.7M |
|
|
20
PUT
SPDR Gold Trust
GLD
$132B
| $538M | 0.7% |
30,173
-16,000
| -35% | -$2.82M |
|
|
21
PUT
Microsoft
MSFT
$2.95T
| $538M | 0.7% |
24,167
-2,063
| -8% | -$444K |
|
22
PUT
Meta Platforms (Facebook)
META
$1.63T
| $478M | 0.62% |
17,500
-2,526
| -13% | -$692K |
|
|
23
CALL
Alphabet (Google) Class A
GOOGL
$4.24T
| $447M | 0.58% |
51,000
-4,460
| -8% | -$375K |
|
24
PUT
NVIDIA
NVDA
$5.02T
| $422M | 0.55% |
323,120
-34,600
| -10% | -$463K |
|
|
25
CALL
Meta Platforms (Facebook)
META
$1.63T
| $420M | 0.54% |
15,385
-4,405
| -22% | -$1.21M |
|
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.