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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
-2.07%
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
$35.2B
AUM Growth
-$1.49B
Cap. Flow
-$310M
Cap. Flow %
-0.88%
Top 10 Hldgs %
32.67%
Holding
8,410
New
1,312
Increased
3,129
Reduced
2,596
Closed
1,163

Top Buys

Rank Stock Value
1
BABA icon
Alibaba
BABA
+$50.3M
2
BA icon
Boeing
BA
+$24.3M
3
GLD icon
SPDR Gold Trust
GLD
+$18.3M
4
BIIB icon
Biogen
BIIB
+$15.9M
5
FDX icon
FedEx
FDX
+$15.1M

Top Sells

Rank Stock Value
1
GOOG icon
Alphabet (Google) Class C
GOOG
+$60.3M
2
IWM icon
iShares Russell 2000 ETF
IWM
+$36.4M
3
NFLX icon
Netflix
NFLX
+$19M
4
XLI icon
State Street Industrial Select Sector SPDR ETF
XLI
+$17.3M
5
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$14.2M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 0.49%
2 Technology 0.48%
3 Healthcare 0.35%
4 Industrials 0.35%
5 Communication Services 0.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NTCT icon
6301
CALL
NETSCOUT
NTCT
$2.86B
$9K ﹤0.01%
4
-17
-81% -$406
OBE
6302
CALL
Obsidian Energy
OBE
$707M
$9K ﹤0.01%
+111
New +$114
OII icon
6303
PUT
Oceaneering
OII
$5.25B
$9K ﹤0.01%
7
– –
PRTA icon
6304
PUT
Prothena Corp
PRTA
$458M
$9K ﹤0.01%
12
– –
RGP icon
6305
Resources Connection
RGP
$129M
$9K ﹤0.01%
587
+407
+226% +$6.85K
ROCK icon
6306
PUT
Gibraltar Industries
ROCK
$1.34B
$9K ﹤0.01%
2
-11
-85% -$460
RS icon
6307
PUT
Reliance Steel & Aluminium
RS
$20.8B
$9K ﹤0.01%
1
-3
-75% -$293
SCS
6308
PUT
DELISTED
Steelcase
SCS
$9K ﹤0.01%
5
+4
+400% +$67
SCSC icon
6309
CALL
Scansource
SCSC
$1.12B
$9K ﹤0.01%
3
-1
-25% -$31
SHOE
6310
Shoe Station Group
SHOE
$395M
$9K ﹤0.01%
+596
New +$8.28K
SGU icon
6311
CALL
Star Group
SGU
$428M
$9K ﹤0.01%
+10
New +$96
SIGA icon
6312
CALL
SIGA Technologies
SIGA
$223M
$9K ﹤0.01%
18
-9
-33% -$49
SPSC icon
6313
CALL
SPS Commerce
SPSC
$2.25B
$9K ﹤0.01%
2
-4
-67% -$203
SRL icon
6314
Scully Royalty
SRL
$76.7M
$9K ﹤0.01%
804
-96
-11% -$1.25K
SRI icon
6315
CALL
Stoneridge
SRI
$209M
$9K ﹤0.01%
+3
New +$94
TMQ
6316
CALL
Trilogy Metals
TMQ
$522M
$9K ﹤0.01%
+56
New +$113
TNK icon
6317
PUT
Teekay Tankers
TNK
$2.63B
$9K ﹤0.01%
+9
New +$85
TTEC icon
6318
PUT
TTEC Holdings
TTEC
$103M
$9K ﹤0.01%
2
– –
TURN
6319
CALL
DELISTED
180 Degree Capital
TURN
$9K ﹤0.01%
+15
New +$92
UEC icon
6320
CALL
Uranium Energy
UEC
$4.71B
$9K ﹤0.01%
97
+69
+246% +$70
VEA icon
6321
Vanguard FTSE Developed Markets ETF
VEA
$226B
$9K ﹤0.01%
+221
New +$9.03K
VERI icon
6322
CALL
Veritone
VERI
$96.7M
$9K ﹤0.01%
26
+6
+30% +$34
VRE
6323
DELISTED
Veris Residential
VRE
$9K ﹤0.01%
457
+231
+102% +$5.13K
WCC
6324
PUT
WESCO International
WCC
$16.2B
$9K ﹤0.01%
2
-4
-67% -$188
XIN
6325
DELISTED
Xinyuan Real Estate
XIN
$9K ﹤0.01%
238
-145
-38% -$6.05K
251 252
253
254 255

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Simplex Trading's Q3 2019 Portfolio in Review

As of Q3 2019, Simplex Trading held 8,410 positions worth $35.2B, down 4.1% from $36.6B the previous quarter. Its ten largest holdings account for 33% of the portfolio.

Simplex Trading's Q3 2019 filing shows 1,312 new, 3,129 increased, 2,596 reduced and 1,163 closed positions. Its largest new stake was SPDR Gold Trust: 131,281 shares worth $18.2M. The largest sale was Alphabet (Google) Class C, an estimated $60.3M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 0.49% of assets, up from 0.26% a quarter earlier, followed by Technology and Healthcare.

  • Simplex Trading's largest Q3 2019 buy was SPDR Gold Trust: 131,281 shares worth $18.2M.
  • Simplex Trading added most to Alibaba in Q3 2019, an estimated $50.3M increase.
  • Simplex Trading's biggest Q3 2019 reduction was Alphabet (Google) Class C, cutting an estimated $60.3M.
  • Simplex Trading fully exited iShares Russell 2000 ETF in Q3 2019, selling an estimated $36.4M.
  • Simplex Trading's ten largest holdings make up 33% of its $35.2B portfolio in Q3 2019.
  • Simplex Trading opened 1,312 new positions and closed 1,163 in Q3 2019.
  • Simplex Trading's portfolio value fell 4.1% quarter-over-quarter to $35.2B.

Based on Simplex Trading's 13F filing for Q3 2019, filed 15 Oct 2019.