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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
ESCA icon
6551
CALL
Escalade
ESCA
$257M
$4K ﹤0.01%
+4
New +$47
FINV
6552
PUT
FinVolution Group
FINV
$1.12B
$4K ﹤0.01%
12
+6
+100% +$24
FORR icon
6553
CALL
Forrester Research
FORR
$172M
$4K ﹤0.01%
1
-18
-95% -$839
FORR icon
6554
Forrester Research
FORR
$172M
$4K ﹤0.01%
+93
New +$4.33K
FSK icon
6555
CALL
FS KKR Capital
FSK
$2.98B
$4K ﹤0.01%
+2
New +$50
GEF icon
6556
PUT
Greif
GEF
$4.47B
$4K ﹤0.01%
+1
New +$40
GIFI
6557
CALL
DELISTED
Gulf Island Fabrication
GIFI
$4K ﹤0.01%
5
– –
GNE icon
6558
Genie Energy
GNE
$378M
$4K ﹤0.01%
524
-11,896
-96% -$99.4K
GOOD
6559
Gladstone Commercial Corp
GOOD
$627M
$4K ﹤0.01%
+195
New +$3.93K
GRFS
6560
CALL
Grifois
GRFS
$5.16B
$4K ﹤0.01%
+2
New +$38
HE icon
6561
CALL
Hawaiian Electric Industries
HE
$2.33B
$4K ﹤0.01%
1
– –
HROW icon
6562
CALL
Harrow
HROW
$1.43B
$4K ﹤0.01%
+10
New +$60
IGC icon
6563
CALL
IGC Pharma
IGC
$27.6M
$4K ﹤0.01%
+23
New +$52
JBGS
6564
PUT
JBG SMITH
JBGS
$846M
$4K ﹤0.01%
1
– –
KEP icon
6565
Korea Electric Power
KEP
$15.5B
$4K ﹤0.01%
+327
New +$4.88K
KFY icon
6566
CALL
Korn Ferry
KFY
$3.98B
$4K ﹤0.01%
1
-1
-50% -$46
TBHC
6567
DELISTED
The Brand House Collective
TBHC
$4K ﹤0.01%
+579
New +$5.69K
KURA icon
6568
Kura Oncology
KURA
$922M
$4K ﹤0.01%
267
-10,331
-97% -$159K
LBRT icon
6569
CALL
Liberty Energy
LBRT
$2.83B
$4K ﹤0.01%
+3
New +$46
LXP icon
6570
CALL
LXP Industrial Trust
LXP
$3.53B
$4K ﹤0.01%
1
-1
-50% -$46
MCFT icon
6571
PUT
MasterCraft Boat Holdings
MCFT
$588M
$4K ﹤0.01%
+2
New +$44
MGRC icon
6572
McGrath RentCorp
MGRC
$2.94B
$4K ﹤0.01%
+72
New +$3.85K
NG icon
6573
NovaGold Resources
NG
$2.6B
$4K ﹤0.01%
+1,118
New +$4.41K
NGD
6574
PUT
DELISTED
New Gold Inc
NGD
$4K ﹤0.01%
+58
New +$57
NOMD icon
6575
PUT
Nomad Foods
NOMD
$1.64B
$4K ﹤0.01%
2
-31
-94% -$596
261 262
263
264 265

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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.