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 |
Apple
AAPL
|
+$70.1M |
| 2 |
iShares 20+ Year Treasury Bond ETF
TLT
|
+$46.6M |
| 3 |
Alphabet (Google) Class C
GOOG
|
+$37.4M |
| 4 |
Amazon
AMZN
|
+$37M |
| 5 |
Tesla
TSLA
|
+$28M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
Alibaba
BABA
|
+$41M |
| 2 |
Boeing
BA
|
+$27.8M |
| 3 |
Biogen
BIIB
|
+$18.9M |
| 4 |
SPDR Gold Trust
GLD
|
+$18.3M |
| 5 |
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
|
+$13.6M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Technology | 0.75% |
| 2 | Consumer Discretionary | 0.58% |
| 3 | Communication Services | 0.33% |
| 4 | Healthcare | 0.31% |
| 5 | Industrials | 0.19% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
4001
PUT
Main Street Capital
MAIN
$5.14B
| $159K | ﹤0.01% |
37
+34
| +1,133% | +$1.45K |
|
|
Y
4002
PUT
DELISTED
Alleghany Corp
Y
| $159K | ﹤0.01% |
2
-3
| -60% | -$2.34K |
|
|
ADMS
4003
DELISTED
Adamas Pharmaceuticals
ADMS
| $159K | ﹤0.01% |
42,188
+28,197
| +202% | +$135K |
|
4004
Arbor Realty Trust
ABR
$979M
| $158K | ﹤0.01% |
+11,048
| New | +$157K |
|
4005
CALL
ARK Web x.0 ETF
ARKW
$1.64B
| $158K | ﹤0.01% |
31
+11
| +55% | +$585 |
|
4006
PUT
e.l.f. Beauty
ELF
$4.96B
| $158K | ﹤0.01% |
98
+95
| +3,167% | +$1.58K |
|
|
ICAD
4007
PUT
DELISTED
iCAD Inc
ICAD
| $158K | ﹤0.01% |
+204
| New | +$1.46K |
|
4008
CALL
Inseego
INSG
$111M
| $157K | ﹤0.01% |
22
-55
| -71% | -$3.17K |
|
4009
PUT
MasterCraft Boat Holdings
MCFT
$607M
| $157K | ﹤0.01% |
100
-103
| -51% | -$1.62K |
|
4010
CALL
Paylocity
PCTY
$7.43B
| $157K | ﹤0.01% |
13
-18
| -58% | -$1.97K |
|
|
CMBT
4011
CMB.TECH NV
CMBT
$4.47B
| $157K | ﹤0.01% |
12,528
+11,660
| +1,343% | +$129K |
|
4012
Antero Resources
AR
$10.5B
| $156K | ﹤0.01% |
55,064
+54,193
| +6,222% | +$138K |
|
4013
Omeros
OMER
$816M
| $156K | ﹤0.01% |
+11,097
| New | +$162K |
|
4014
Prothena Corp
PRTA
$448M
| $156K | ﹤0.01% |
9,874
-7,448
| -43% | -$79.9K |
|
4015
CALL
Simply Good Foods
SMPL
$941M
| $156K | ﹤0.01% |
55
+45
| +450% | +$1.19K |
|
4016
PUT
Vericel Corp
VCEL
$2.39B
| $156K | ﹤0.01% |
90
+65
| +260% | +$1.11K |
|
4017
Aegon
AEG
$13.6B
| $155K | ﹤0.01% |
37,102
-2,709
| -7% | -$11.1K |
|
4018
Cooper Companies
COO
$14.1B
| $155K | ﹤0.01% |
1,936
-4,948
| -72% | -$373K |
|
4019
CALL
Fabrinet
FN
$16.1B
| $155K | ﹤0.01% |
24
-71
| -75% | -$4.11K |
|
|
4020
PUT
Fabrinet
FN
$16.1B
| $155K | ﹤0.01% |
24
-8
| -25% | -$463 |
|
|
HAPN
4021
PUT
Happen Inc
HAPN
$2.19B
| $155K | ﹤0.01% |
124
+23
| +23% | +$297 |
|
4022
PUT
Vanguard Consumer Discretionary ETF
VCR
$6.01B
| $155K | ﹤0.01% |
10
-14
| -58% | -$2.56K |
|
4023
PUT
Valley National Bancorp
VLY
$8.01B
| $155K | ﹤0.01% |
136
+107
| +369% | +$1.23K |
|
|
ENLC
4024
CALL
DELISTED
ENLINK MIDSTREAM, LLC
ENLC
| $155K | ﹤0.01% |
253
-378
| -60% | -$2.29K |
|
|
SPPI
4025
PUT
DELISTED
Spectrum Pharmaceuticals Inc
SPPI
| $155K | ﹤0.01% |
427
-38
| -8% | -$307 |
|
Similar funds
Simplex Trading's Q4 2019 Portfolio in Review
As of Q4 2019, Simplex Trading held 8,523 positions worth $45.7B, up 30% from $35.2B the previous quarter. Its ten largest holdings account for 39% of the portfolio.
Simplex Trading's Q4 2019 filing shows 1,277 new, 3,072 increased, 2,710 reduced and 1,251 closed positions. Its largest new stake was Apple: 1,090,316 shares worth $80M. The largest sale was Alibaba, an estimated $41M.
By sector, the portfolio is most concentrated in Technology at 0.75% of assets, up from 0.48% a quarter earlier, followed by Consumer Discretionary and Communication Services.
- Simplex Trading's largest Q4 2019 buy was Apple: 1,090,316 shares worth $80M.
- Simplex Trading added most to iShares 20+ Year Treasury Bond ETF in Q4 2019, an estimated $46.6M increase.
- Simplex Trading's biggest Q4 2019 reduction was Alibaba, cutting an estimated $41M.
- Simplex Trading fully exited Boeing in Q4 2019, selling an estimated $27.8M.
- Simplex Trading's ten largest holdings make up 39% of its $45.7B portfolio in Q4 2019.
- Simplex Trading opened 1,277 new positions and closed 1,251 in Q4 2019.
- Simplex Trading's portfolio value rose 30% quarter-over-quarter to $45.7B.
Based on Simplex Trading's 13F filing for Q4 2019, filed 5 Feb 2020.