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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
+17.83%
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
$36B
AUM Growth
+$1.89B
Cap. Flow
-$586M
Cap. Flow %
-1.63%
Top 10 Hldgs %
34.84%
Holding
8,479
New
1,472
Increased
3,049
Reduced
2,419
Closed
1,324

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$86.9M
2
DIS icon
Walt Disney
DIS
+$25.5M
3
BIDU icon
Baidu
BIDU
+$12.3M
4
GOOGL icon
Alphabet (Google) Class A
GOOGL
+$12.3M
5
RHT
Red Hat Inc
RHT
+$11.4M

Top Sells

Rank Stock Value
1
AMZN icon
Amazon
AMZN
+$66M
2
IWM icon
iShares Russell 2000 ETF
IWM
+$60.3M
3
GOOG icon
Alphabet (Google) Class C
GOOG
+$33.9M
4
AAPL icon
Apple
AAPL
+$21.1M
5
XLF icon
State Street Financial Select Sector SPDR ETF
XLF
+$18.2M

Sector Composition

Rank Sector Weight
1 Communication Services 0.58%
2 Technology 0.42%
3 Healthcare 0.34%
4 Consumer Discretionary 0.29%
5 Industrials 0.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CYTK icon
6201
PUT
Cytokinetics
CYTK
$11B
$9K ﹤0.01%
12
+7
+140% +$51
DLTH icon
6202
Duluth Holdings
DLTH
$160M
$9K ﹤0.01%
+396
New +$9.41K
FF icon
6203
Future Fuel
FF
$204M
$9K ﹤0.01%
+708
New +$12K
GTE icon
6204
PUT
Gran Tierra Energy
GTE
$260M
$9K ﹤0.01%
+4
New +$94
GTLS
6205
CALL
DELISTED
Chart Industries
GTLS
$9K ﹤0.01%
1
– –
HEI.A icon
6206
PUT
HEICO Corp Class A
HEI.A
$35.4B
$9K ﹤0.01%
1
-4
-80% -$293
HL icon
6207
CALL
Hecla Mining
HL
$10.2B
$9K ﹤0.01%
42
-141
-77% -$355
IAT icon
6208
iShares US Regional Banks ETF
IAT
$685M
$9K ﹤0.01%
+225
New +$10.2K
IDA icon
6209
PUT
Idacorp
IDA
$8.23B
$9K ﹤0.01%
+1
New +$97
INVA icon
6210
PUT
Innoviva
INVA
$1.58B
$9K ﹤0.01%
7
-2
-22% -$32
ITRI icon
6211
CALL
Itron
ITRI
$3.73B
$9K ﹤0.01%
2
+1
+100% +$53
KBR icon
6212
PUT
KBR
KBR
$4.68B
$9K ﹤0.01%
5
-4
-44% -$72
KURA icon
6213
PUT
Kura Oncology
KURA
$922M
$9K ﹤0.01%
6
-104
-95% -$1.6K
LBRDK icon
6214
CALL
Liberty Broadband Class C
LBRDK
$4.15B
$9K ﹤0.01%
+1
New +$85
LNTH icon
6215
CALL
Lantheus
LNTH
$6.82B
$9K ﹤0.01%
4
-7
-64% -$140
LXP icon
6216
LXP Industrial Trust
LXP
$3.53B
$9K ﹤0.01%
201
+98
+95% +$4.47K
MLR icon
6217
Miller Industries
MLR
$586M
$9K ﹤0.01%
+305
New +$9.46K
NX icon
6218
Quanex
NX
$854M
$9K ﹤0.01%
604
+361
+149% +$5.73K
ORC
6219
PUT
Orchid Island Capital
ORC
$1.31B
$9K ﹤0.01%
3
-1
-25% -$34
PDS
6220
CALL
Precision Drilling
PDS
$1.09B
$9K ﹤0.01%
2
-1
-33% -$45
PKG icon
6221
CALL
Packaging Corp of America
PKG
$22.7B
$9K ﹤0.01%
1
-36
-97% -$3.42K
PRIM icon
6222
Primoris Services
PRIM
$4.69B
$9K ﹤0.01%
455
-479
-51% -$10.1K
RNAC icon
6223
CALL
Cartesian Therapeutics
RNAC
$232M
$9K ﹤0.01%
+1
New +$63
RS icon
6224
PUT
Reliance Steel & Aluminium
RS
$20.8B
$9K ﹤0.01%
1
-37
-97% -$3.08K
RVSB icon
6225
Riverview Bancorp
RVSB
$107M
$9K ﹤0.01%
1,308
+1,020
+354% +$7.69K
247 248
249
250 251

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Simplex Trading's Q1 2019 Portfolio in Review

As of Q1 2019, Simplex Trading held 8,479 positions worth $36B, up 5.5% from $34.1B the previous quarter. Its ten largest holdings account for 35% of the portfolio.

Simplex Trading's Q1 2019 filing shows 1,472 new, 3,049 increased, 2,419 reduced and 1,324 closed positions. Its largest new stake was Walt Disney: 228,471 shares worth $25.4M. The largest sale was Amazon, an estimated $66M.

By sector, the portfolio is most concentrated in Communication Services at 0.58% of assets, up from 0.49% a quarter earlier, followed by Technology and Healthcare.

  • Simplex Trading's largest Q1 2019 buy was Walt Disney: 228,471 shares worth $25.4M.
  • Simplex Trading added most to Invesco QQQ Trust in Q1 2019, an estimated $86.9M increase.
  • Simplex Trading's biggest Q1 2019 reduction was iShares Russell 2000 ETF, cutting an estimated $60.3M.
  • Simplex Trading fully exited Amazon in Q1 2019, selling an estimated $66M.
  • Simplex Trading's ten largest holdings make up 35% of its $36B portfolio in Q1 2019.
  • Simplex Trading opened 1,472 new positions and closed 1,324 in Q1 2019.
  • Simplex Trading's portfolio value rose 5.5% quarter-over-quarter to $36B.

Based on Simplex Trading's 13F filing for Q1 2019, filed 18 Apr 2019.