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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
NWPX icon
6801
NWPX Infrastructure Inc
NWPX
$1.25B
$2K ﹤0.01%
112
-807
-88% -$19.1K
OPCH icon
6802
CALL
Option Care Health
OPCH
$3.4B
$2K ﹤0.01%
4
-50
-93% -$658
PBH icon
6803
PUT
Prestige Consumer Healthcare
PBH
$2.35B
$2K ﹤0.01%
1
-218
-100% -$6.25K
PDM
6804
CALL
Piedmont Realty Trust
PDM
$1.22B
$2K ﹤0.01%
1
– –
PEO
6805
Adams Natural Resources Fund
PEO
$759M
$2K ﹤0.01%
+135
New +$2.11K
PNNT
6806
CALL
Pennant Park Investment Corp
PNNT
$215M
$2K ﹤0.01%
3
– –
PRTA icon
6807
CALL
Prothena Corp
PRTA
$458M
$2K ﹤0.01%
2
-558
-100% -$6.97K
PRTA icon
6808
Prothena Corp
PRTA
$458M
$2K ﹤0.01%
171
-20,866
-99% -$261K
QUIK icon
6809
PUT
QuickLogic
QUIK
$224M
$2K ﹤0.01%
+3
New +$35
REFR icon
6810
Research Frontiers
REFR
$16.1M
$2K ﹤0.01%
+1,195
New +$2.76K
SB icon
6811
PUT
Safe Bulkers
SB
$781M
$2K ﹤0.01%
15
-49
-77% -$81
SBRA icon
6812
Sabra Healthcare REIT
SBRA
$5.64B
$2K ﹤0.01%
130
-780
-86% -$14.8K
SBS icon
6813
PUT
Sabesp
SBS
$19.7B
$2K ﹤0.01%
+10
New +$21
SCOR icon
6814
CALL
Comscore
SCOR
– –
0
– –
SGU icon
6815
Star Group
SGU
$428M
$2K ﹤0.01%
257
-174
-40% -$1.66K
SLGN icon
6816
PUT
Silgan Holdings
SLGN
$4.91B
$2K ﹤0.01%
1
-455
-100% -$12.5K
SMPL icon
6817
PUT
Simply Good Foods
SMPL
$904M
$2K ﹤0.01%
1
– –
SRI icon
6818
CALL
Stoneridge
SRI
$209M
$2K ﹤0.01%
1
-20
-95% -$547
TDW icon
6819
CALL
Tidewater
TDW
$3.91B
$2K ﹤0.01%
1
-4
-80% -$90
TSLX icon
6820
CALL
Sixth Street Specialty
TSLX
$1.59B
$2K ﹤0.01%
1
– –
UUUU icon
6821
CALL
Energy Fuels
UUUU
$2.82B
$2K ﹤0.01%
9
-9
-50% -$27
WAFD icon
6822
WaFd
WAFD
$2.72B
$2K ﹤0.01%
85
-19
-18% -$559
WNC icon
6823
PUT
Wabash National
WNC
$543M
$2K ﹤0.01%
2
– –
ONIT
6824
PUT
Onity Group
ONIT
$333M
$2K ﹤0.01%
+1
New +$28
BEST
6825
CALL
DELISTED
BEST Inc. American Depositary Shares, each representing twenty (20) Class A Ordinary Shares
BEST
– –
-1
Closed -$104
271 272
273
274 275

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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.