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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
+7.55%
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
$31.1B
AUM Growth
+$5.63B
Cap. Flow
+$12.2M
Cap. Flow %
0.04%
Top 10 Hldgs %
33.61%
Holding
8,699
New
1,336
Increased
3,066
Reduced
2,755
Closed
1,315

Top Buys

Rank Stock Value
1
AMZN icon
Amazon
AMZN
+$148M
2
QQQ icon
Invesco QQQ Trust
QQQ
+$67.3M
3
META icon
Meta Platforms (Facebook)
META
+$63.2M
4
GS icon
Goldman Sachs
GS
+$23.9M
5
C icon
Citigroup
C
+$23.1M

Top Sells

Rank Stock Value
1
BRK.B icon
Berkshire Hathaway Class B
BRK.B
+$47.5M
2
AAPL icon
Apple
AAPL
+$46M
3
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$44.5M
4
MU icon
Micron Technology
MU
+$29.1M
5
ADBE icon
Adobe
ADBE
+$22.2M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 1.13%
2 Communication Services 0.89%
3 Technology 0.68%
4 Industrials 0.51%
5 Healthcare 0.44%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AVNT icon
6826
CALL
Avient
AVNT
$3.45B
$4K ﹤0.01%
+1
New +$44
AVT icon
6827
PUT
Avnet
AVT
$7.33B
$4K ﹤0.01%
+1
New +$46
BNO icon
6828
CALL
United States Brent Oil Fund
BNO
$815M
$4K ﹤0.01%
2
-14
-88% -$297
BZH icon
6829
CALL
Beazer Homes USA
BZH
$907M
$4K ﹤0.01%
4
-93
-96% -$1.22K
CBRE icon
6830
CALL
CBRE Group
CBRE
$40.8B
$4K ﹤0.01%
1
-7
-88% -$334
CLS icon
6831
CALL
Celestica
CLS
$35.1B
$4K ﹤0.01%
4
-42
-91% -$504
DGS icon
6832
WisdomTree Emerging Markets SmallCap Dividend Fund
DGS
$1.7B
$4K ﹤0.01%
88
-390
-82% -$18.3K
DX
6833
CALL
Dynex Capital
DX
$2.99B
$4K ﹤0.01%
2
-12
-86% -$231
EME icon
6834
Emcor
EME
$33.1B
$4K ﹤0.01%
+54
New +$4.17K
FBNC icon
6835
First Bancorp
FBNC
$2.6B
$4K ﹤0.01%
+100
New +$4.14K
FBNC icon
6836
PUT
First Bancorp
FBNC
$2.6B
$4K ﹤0.01%
+1
New +$41
FORR icon
6837
PUT
Forrester Research
FORR
$172M
$4K ﹤0.01%
1
-71
-99% -$3.26K
FSM icon
6838
PUT
Fortuna Silver Mines
FSM
$2.59B
$4K ﹤0.01%
11
-10
-48% -$49
FWRD icon
6839
Forward Air
FWRD
$482M
$4K ﹤0.01%
56
+39
+229% +$2.48K
TDAY
6840
PUT
USA Today Co
TDAY
$1.23B
$4K ﹤0.01%
3
-169
-98% -$2.83K
GIGM icon
6841
PUT
GigaMedia
GIGM
$15.3M
$4K ﹤0.01%
15
-1
-6% -$3
GMS
6842
CALL
DELISTED
GMS Inc
GMS
$4K ﹤0.01%
+2
New +$51
HCKT icon
6843
PUT
Hackett Group
HCKT
$245M
$4K ﹤0.01%
+2
New +$37
HOMB icon
6844
PUT
Home BancShares
HOMB
$6.21B
$4K ﹤0.01%
2
-40
-95% -$929
IAU icon
6845
CALL
iShares Gold Trust
IAU
$63B
$4K ﹤0.01%
2
-25
-93% -$581
IEV icon
6846
iShares Europe ETF
IEV
$1.63B
$4K ﹤0.01%
+100
New +$4.52K
KRC icon
6847
Kilroy Realty
KRC
$4.58B
$4K ﹤0.01%
66
– –
LILAK icon
6848
Liberty Latin America Class C
LILAK
$1.5B
$4K ﹤0.01%
+273
New +$4.6K
LYG icon
6849
CALL
Lloyds Banking Group
LYG
$87.4B
$4K ﹤0.01%
14
-150
-91% -$481
MATX icon
6850
Matsons
MATX
$6.37B
$4K ﹤0.01%
108
-498
-82% -$18.4K
272 273
274
275 276

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Simplex Trading's Q3 2018 Portfolio in Review

As of Q3 2018, Simplex Trading held 8,699 positions worth $31.1B, up 22% from $25.5B the previous quarter. Its ten largest holdings account for 34% of the portfolio.

Simplex Trading's Q3 2018 filing shows 1,336 new, 3,066 increased, 2,755 reduced and 1,315 closed positions. Its largest new stake was Invesco QQQ Trust: 371,806 shares worth $69.1M. The largest sale was Berkshire Hathaway Class B, an estimated $47.5M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 1.1% of assets, up from 0.92% a quarter earlier, followed by Communication Services and Technology.

  • Simplex Trading's largest Q3 2018 buy was Invesco QQQ Trust: 371,806 shares worth $69.1M.
  • Simplex Trading added most to Amazon in Q3 2018, an estimated $148M increase.
  • Simplex Trading's biggest Q3 2018 reduction was Apple, cutting an estimated $46M.
  • Simplex Trading fully exited Berkshire Hathaway Class B in Q3 2018, selling an estimated $47.5M.
  • Simplex Trading's ten largest holdings make up 34% of its $31.1B portfolio in Q3 2018.
  • Simplex Trading opened 1,336 new positions and closed 1,315 in Q3 2018.
  • Simplex Trading's portfolio value rose 22% quarter-over-quarter to $31.1B.

Based on Simplex Trading's 13F filing for Q3 2018, filed 23 Oct 2018.