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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
ANGO icon
6751
CALL
AngioDynamics
ANGO
$562M
$2K ﹤0.01%
1
-8
-89% -$174
APYX icon
6752
Apyx Medical
APYX
$165M
$2K ﹤0.01%
375
-27,271
-99% -$211K
ASIX icon
6753
AdvanSix
ASIX
$567M
$2K ﹤0.01%
+90
New +$2.74K
BBT
6754
Beacon Financial Corp
BBT
$2.53B
$2K ﹤0.01%
+100
New +$2.9K
BBT
6755
PUT
Beacon Financial Corp
BBT
$2.53B
$2K ﹤0.01%
+1
New +$29
BOH icon
6756
Bank of Hawaii
BOH
$3.33B
$2K ﹤0.01%
+31
New +$2.43K
BTE icon
6757
PUT
Baytex Energy
BTE
$3.08B
$2K ﹤0.01%
17
-2,005
-99% -$3.51K
BZH icon
6758
PUT
Beazer Homes USA
BZH
$907M
$2K ﹤0.01%
2
-96
-98% -$1.15K
CARM
6759
CALL
DELISTED
Carisma Therapeutics
CARM
$2K ﹤0.01%
1
-2
-67% -$35
CBZ icon
6760
CBIZ
CBZ
$2.29B
$2K ﹤0.01%
+100
New +$2.02K
CNET icon
6761
PUT
ZW Data Action Technologies
CNET
$2.91M
$2K ﹤0.01%
1
-2
-67% -$68
CNXN icon
6762
PC Connection
CNXN
$2.05B
$2K ﹤0.01%
80
+22
+38% +$791
CRIS icon
6763
PUT
Curis
CRIS
$9.53M
– –
0
– –
CUK
6764
DELISTED
Carnival PLC
CUK
$2K ﹤0.01%
51
-3,492
-99% -$191K
CVEO icon
6765
CALL
Civeo
CVEO
$379M
$2K ﹤0.01%
1
– –
DGII icon
6766
Digi International
DGII
$2.52B
$2K ﹤0.01%
+231
New +$2.88K
DRRX
6767
CALL
DELISTED
DURECT Corp
DRRX
$2K ﹤0.01%
4
– –
DSS icon
6768
CALL
DSS Inc
DSS
$5.52M
– –
0
– –
ENVA icon
6769
PUT
Enova International
ENVA
$5.91B
$2K ﹤0.01%
+1
New +$24
EPAC icon
6770
Enerpac Tool Group
EPAC
$1.77B
$2K ﹤0.01%
+120
New +$2.81K
EPOL icon
6771
iShares MSCI Poland ETF
EPOL
$669M
$2K ﹤0.01%
107
-4,800
-98% -$113K
EXTR icon
6772
CALL
Extreme Networks
EXTR
$3.86B
$2K ﹤0.01%
4
-639
-99% -$4.66K
FBIO icon
6773
Fortress Biotech
FBIO
$111M
$2K ﹤0.01%
90
-43
-32% -$1.13K
FCEL icon
6774
FuelCell Energy
FCEL
$1.7B
$2K ﹤0.01%
+28
New +$4.83K
FCPT icon
6775
PUT
Four Corners Property Trust
FCPT
$2.86B
$2K ﹤0.01%
1
– –
269 270
271
272 273

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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.