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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
AMKR icon
6476
Amkor Technology
AMKR
$16.1B
$8K ﹤0.01%
688
+196
+40% +$2.34K
APO icon
6477
Apollo Global Management
APO
$70.7B
$8K ﹤0.01%
+186
New +$7.94K
ARAY icon
6478
PUT
Accuray
ARAY
$28.4M
$8K ﹤0.01%
31
+20
+182% +$56
ASB icon
6479
PUT
Associated Banc-Corp
ASB
$5.81B
$8K ﹤0.01%
+4
New +$84
ATEN icon
6480
CALL
A10 Networks
ATEN
$2.47B
$8K ﹤0.01%
12
-63
-84% -$424
BRX icon
6481
PUT
Brixmor Property Group
BRX
$9.95B
$8K ﹤0.01%
4
-3
-43% -$64
CARM
6482
DELISTED
Carisma Therapeutics
CARM
$8K ﹤0.01%
423
+18
+4% +$414
CNA icon
6483
CALL
CNA Financial
CNA
$14.5B
$8K ﹤0.01%
+2
New +$90
CWEB icon
6484
Direxion Daily CSI China Internet Index Bull 2X ETF
CWEB
$218M
$8K ﹤0.01%
29
-54
-65% -$13.5K
KUST
6485
CALL
Kustom Entertainment Inc
KUST
$846K
– –
0
– –
FCFS icon
6486
CALL
FirstCash
FCFS
$8.55B
$8K ﹤0.01%
1
-5
-83% -$420
FOX icon
6487
Fox Class B
FOX
$20.7B
$8K ﹤0.01%
246
+172
+232% +$5.78K
GSAT icon
6488
PUT
Globalstar
GSAT
$10.2B
$8K ﹤0.01%
11
– –
HBM icon
6489
PUT
Hudbay
HBM
$9.92B
$8K ﹤0.01%
20
-27
-57% -$98
IRT icon
6490
CALL
Independence Realty Trust
IRT
$3.92B
$8K ﹤0.01%
+6
New +$87
ITGR icon
6491
CALL
Integer Holdings
ITGR
$3.35B
$8K ﹤0.01%
1
-103
-99% -$7.86K
KEX icon
6492
CALL
Kirby Corp
KEX
$7.95B
$8K ﹤0.01%
1
-1
-50% -$83
KEX icon
6493
PUT
Kirby Corp
KEX
$7.95B
$8K ﹤0.01%
1
-1
-50% -$83
KTB icon
6494
PUT
Kontoor Brands
KTB
$4.62B
$8K ﹤0.01%
2
-25
-93% -$944
MATW icon
6495
Matthews International
MATW
$864M
$8K ﹤0.01%
+215
New +$7.88K
MRC
6496
CALL
DELISTED
MRC Global
MRC
$8K ﹤0.01%
6
+4
+200% +$52
MRC
6497
DELISTED
MRC Global
MRC
$8K ﹤0.01%
632
-2,780
-81% -$36.2K
NGVT icon
6498
CALL
Ingevity
NGVT
$2.55B
$8K ﹤0.01%
+1
New +$87
OCSL icon
6499
PUT
Oaktree Specialty Lending
OCSL
$1.03B
$8K ﹤0.01%
+5
New +$79
OPY icon
6500
PUT
Oppenheimer Holdings
OPY
$1.17B
$8K ﹤0.01%
3
-15
-83% -$418
258 259
260
261 262

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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.