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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
+14.57%
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
$45.7B
AUM Growth
+$10.6B
Cap. Flow
+$229M
Cap. Flow %
0.5%
Top 10 Hldgs %
38.52%
Holding
8,523
New
1,277
Increased
3,072
Reduced
2,710
Closed
1,251

Top Buys

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$70.1M
2
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$46.6M
3
GOOG icon
Alphabet (Google) Class C
GOOG
+$37.4M
4
AMZN icon
Amazon
AMZN
+$37M
5
TSLA icon
Tesla
TSLA
+$28M

Top Sells

Rank Stock Value
1
BABA icon
Alibaba
BABA
+$41M
2
BA icon
Boeing
BA
+$27.8M
3
BIIB icon
Biogen
BIIB
+$18.9M
4
GLD icon
SPDR Gold Trust
GLD
+$18.3M
5
DIA icon
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
CMS icon
6276
PUT
CMS Energy
CMS
$23.1B
$12K ﹤0.01%
+2
New +$125
CRIS icon
6277
PUT
Curis
CRIS
$9.53M
– –
0
– –
CULP icon
6278
Culp Inc
CULP
$45M
$12K ﹤0.01%
916
+16
+2% +$246
EGBN icon
6279
Eagle Bancorp
EGBN
$867M
$12K ﹤0.01%
+267
New +$12.1K
EVH icon
6280
PUT
Evolent Health
EVH
$475M
$12K ﹤0.01%
14
+12
+600% +$97
FNB icon
6281
PUT
FNB Corp
FNB
$6.78B
$12K ﹤0.01%
10
+4
+67% +$49
GIC icon
6282
PUT
Global Industrial
GIC
$1.34B
$12K ﹤0.01%
+5
New +$117
GNSS icon
6283
CALL
Genasys
GNSS
$75.6M
$12K ﹤0.01%
38
– –
HDSN
6284
CALL
Hudson Technologies
HDSN
$267M
$12K ﹤0.01%
126
-174
-58% -$117
HTH icon
6285
CALL
Hilltop Holdings
HTH
$2.29B
$12K ﹤0.01%
5
-120
-96% -$2.93K
KURA icon
6286
Kura Oncology
KURA
$922M
$12K ﹤0.01%
+927
New +$13.7K
MCFT icon
6287
CALL
MasterCraft Boat Holdings
MCFT
$588M
$12K ﹤0.01%
8
-21
-72% -$331
MTH icon
6288
CALL
Meritage Homes
MTH
$4.87B
$12K ﹤0.01%
4
-32
-89% -$1.1K
MUX icon
6289
McEwen Inc
MUX
$1.03B
$12K ﹤0.01%
1,000
-3,020
-75% -$42.7K
NNBR icon
6290
CALL
NN Inc
NNBR
$272M
$12K ﹤0.01%
13
-23
-64% -$185
NOG icon
6291
CALL
Northern Oil and Gas
NOG
$2.3B
$12K ﹤0.01%
5
-10
-67% -$198
NTWK icon
6292
PUT
NetSol Technologies
NTWK
$51.7M
$12K ﹤0.01%
30
-90
-75% -$415
OGI
6293
PUT
Organigram Holdings
OGI
$132M
$12K ﹤0.01%
+13
New +$153
REI icon
6294
PUT
Ring Energy
REI
$322M
$12K ﹤0.01%
46
-40
-47% -$78
RIGL icon
6295
CALL
Rigel Pharmaceuticals
RIGL
$680M
$12K ﹤0.01%
6
– –
ROG icon
6296
CALL
Rogers Corp
ROG
$2.33B
$12K ﹤0.01%
1
-5
-83% -$676
ROG icon
6297
PUT
Rogers Corp
ROG
$2.33B
$12K ﹤0.01%
1
– –
STGW icon
6298
PUT
Stagwell
STGW
$1.84B
$12K ﹤0.01%
+45
New +$121
TCX icon
6299
CALL
Tucows
TCX
$97.1M
$12K ﹤0.01%
2
-60
-97% -$3.42K
TVTX icon
6300
CALL
Travere Therapeutics
TVTX
$5.33B
$12K ﹤0.01%
9
-40
-82% -$511
250 251
252
253 254

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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.