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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
BLFS icon
6601
CALL
BioLife Solutions
BLFS
$1.46B
$6K ﹤0.01%
+4
New +$65
BPOP icon
6602
Popular Inc
BPOP
$11B
$6K ﹤0.01%
+109
New +$6.09K
STEX
6603
PUT
Streamex Corp
STEX
$76.7M
$6K ﹤0.01%
1
– –
CAAS icon
6604
China Automotive Systems
CAAS
$131M
$6K ﹤0.01%
+1,947
New +$5.11K
CADE
6605
CALL
DELISTED
Cadence Bank
CADE
$6K ﹤0.01%
+2
New +$62
CBRE icon
6606
CALL
CBRE Group
CBRE
$40.8B
$6K ﹤0.01%
1
-13
-93% -$720
CIA icon
6607
CALL
Citizens
CIA
$245M
$6K ﹤0.01%
10
-250
-96% -$1.72K
CIG icon
6608
PUT
CEMIG Preferred Shares
CIG
$6.09B
$6K ﹤0.01%
+35
New +$57
CLW icon
6609
PUT
Clearwater Paper
CLW
$271M
$6K ﹤0.01%
3
-19
-86% -$382
DLB icon
6610
CALL
Dolby
DLB
$4.72B
$6K ﹤0.01%
1
-116
-99% -$7.67K
DLTH icon
6611
PUT
Duluth Holdings
DLTH
$160M
$6K ﹤0.01%
6
-34
-85% -$317
EVRG icon
6612
PUT
Evergy
EVRG
$20.1B
$6K ﹤0.01%
1
-11
-92% -$701
EVTC icon
6613
PUT
Evertec
EVTC
$1.83B
$6K ﹤0.01%
2
-3
-60% -$95
FDUS icon
6614
Fidus Investment
FDUS
$737M
$6K ﹤0.01%
434
-2,771
-86% -$41.7K
FF icon
6615
PUT
Future Fuel
FF
$204M
$6K ﹤0.01%
5
– –
FPI
6616
PUT
Farmland Partners
FPI
$419M
$6K ﹤0.01%
10
– –
FSK icon
6617
FS KKR Capital
FSK
$2.98B
$6K ﹤0.01%
268
-13,702
-98% -$327K
GMAB icon
6618
CALL
Genmab
GMAB
$17.7B
$6K ﹤0.01%
+3
New +$65
GOGL
6619
CALL
DELISTED
Golden Ocean Group
GOGL
$6K ﹤0.01%
+11
New +$63
GPRK icon
6620
PUT
GeoPark
GPRK
$649M
$6K ﹤0.01%
+3
New +$57
GTLS
6621
PUT
DELISTED
Chart Industries
GTLS
$6K ﹤0.01%
1
-4
-80% -$234
HRTG icon
6622
CALL
Heritage Insurance Holdings
HRTG
$842M
$6K ﹤0.01%
5
-51
-91% -$701
IBP icon
6623
PUT
Installed Building Products
IBP
$6.13B
$6K ﹤0.01%
+1
New +$67
IEP icon
6624
CALL
Icahn Enterprises
IEP
$5.17B
$6K ﹤0.01%
1
-187
-99% -$12.1K
KOF icon
6625
CALL
Coca-Cola Femsa
KOF
$21.6B
$6K ﹤0.01%
1
-4
-80% -$235
263 264
265
266 267

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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.