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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
GIFI
6376
PUT
DELISTED
Gulf Island Fabrication
GIFI
$10K ﹤0.01%
21
+12
+133% +$61
GIII icon
6377
PUT
G-III Apparel Group
GIII
$1.47B
$10K ﹤0.01%
3
-127
-98% -$3.6K
GLAD icon
6378
PUT
Gladstone Capital
GLAD
$425M
$10K ﹤0.01%
6
+3
+100% +$60
HMY icon
6379
PUT
Harmony Gold Mining
HMY
$9.92B
$10K ﹤0.01%
30
+6
+25% +$19
HWKN icon
6380
Hawkins
HWKN
$2.91B
$10K ﹤0.01%
440
-200
-31% -$4.23K
IIIN icon
6381
PUT
Insteel Industries
IIIN
$633M
$10K ﹤0.01%
5
-58
-92% -$1.23K
KB icon
6382
KB Financial Group
KB
$41.2B
$10K ﹤0.01%
243
-282
-54% -$10.8K
KOS icon
6383
PUT
Kosmos Energy
KOS
$1.56B
$10K ﹤0.01%
18
-15
-45% -$91
LBRDK icon
6384
Liberty Broadband Class C
LBRDK
$4.15B
$10K ﹤0.01%
84
-15
-15% -$1.75K
NHC icon
6385
National Healthcare
NHC
$3.53B
$10K ﹤0.01%
118
-10,345
-99% -$864K
NX icon
6386
PUT
Quanex
NX
$854M
$10K ﹤0.01%
6
+3
+100% +$56
PKX icon
6387
PUT
POSCO
PKX
$15.8B
$10K ﹤0.01%
2
-84
-98% -$4.05K
PSQ icon
6388
ProShares Short QQQ
PSQ
$694M
$10K ﹤0.01%
+82
New +$10.7K
QUAD icon
6389
PUT
Quad
QUAD
$430M
$10K ﹤0.01%
23
-89
-79% -$556
RFIL icon
6390
CALL
RF Industries
RFIL
$135M
$10K ﹤0.01%
+15
New +$93
SHYF
6391
DELISTED
The Shyft Group
SHYF
$10K ﹤0.01%
+600
New +$10K
SKF icon
6392
ProShares UltraShort Financials
SKF
$10.5M
$10K ﹤0.01%
+49
New +$11.7K
SY
6393
PUT
So-Young International
SY
$194M
$10K ﹤0.01%
9
+3
+50% +$33
TDW icon
6394
Tidewater
TDW
$3.91B
$10K ﹤0.01%
536
-6,018
-92% -$96.1K
TFSL icon
6395
TFS Financial
TFSL
$5.1B
$10K ﹤0.01%
526
-511
-49% -$9.86K
TILE icon
6396
Interface
TILE
$1.91B
$10K ﹤0.01%
625
-976
-61% -$15.7K
TNL icon
6397
PUT
Travel + Leisure Co
TNL
$4.54B
$10K ﹤0.01%
2
-2
-50% -$96
UXIN
6398
CALL
Uxin Ltd
UXIN
$330M
– –
-1
Closed -$270
VECO icon
6399
PUT
Veeco
VECO
$3.15B
$10K ﹤0.01%
+7
New +$95
JBTM
6400
JBT Marel
JBTM
$7.14B
$10K ﹤0.01%
89
-532
-86% -$57K
254 255
256
257 258

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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.