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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
ADEA icon
6851
Adeia
ADEA
$2.86B
$3K ﹤0.01%
790
-197
-20% -$1.05K
ALTO icon
6852
CALL
Alto Ingredients
ALTO
$360M
$3K ﹤0.01%
58
+37
+176% +$21
AMRC icon
6853
PUT
Ameresco
AMRC
$1.15B
$3K ﹤0.01%
2
-82
-98% -$1.29K
AQMS icon
6854
CALL
Aqua Metals
AQMS
$9.63M
– –
0
– –
ASC icon
6855
PUT
Ardmore Shipping
ASC
$678M
$3K ﹤0.01%
+4
New +$33
ASIX icon
6856
CALL
AdvanSix
ASIX
$567M
$3K ﹤0.01%
2
-2
-50% -$44
AVNT icon
6857
CALL
Avient
AVNT
$3.45B
$3K ﹤0.01%
1
-5
-83% -$163
AXTI icon
6858
CALL
AXT Inc
AXTI
$3.09B
$3K ﹤0.01%
7
-15
-68% -$48
BCRX icon
6859
CALL
BioCryst Pharmaceuticals
BCRX
$2.37B
$3K ﹤0.01%
10
-74
-88% -$186
BXMT icon
6860
CALL
Blackstone Mortgage Trust
BXMT
$2.82B
$3K ﹤0.01%
1
– –
BZQ icon
6861
ProShares UltraShort MSCI Brazil Capped
BZQ
$2.46M
$3K ﹤0.01%
12
-1,130
-99% -$405K
CELH icon
6862
CALL
Celsius Holdings
CELH
$6.93B
$3K ﹤0.01%
24
+9
+60% +$12
CHT icon
6863
CALL
Chunghwa Telecom
CHT
$33.2B
$3K ﹤0.01%
1
-10
-91% -$369
CHT icon
6864
PUT
Chunghwa Telecom
CHT
$33.2B
$3K ﹤0.01%
1
-5
-83% -$184
CLSD
6865
CALL
DELISTED
Clearside Biomedical
CLSD
$3K ﹤0.01%
+1
New +$21
CNTY icon
6866
PUT
Century Casinos
CNTY
$32.9M
$3K ﹤0.01%
5
-231
-98% -$1.8K
CRNT icon
6867
PUT
Ceragon Networks
CRNT
$194M
$3K ﹤0.01%
17
-244
-93% -$548
CVLG icon
6868
PUT
Covenant Logistics
CVLG
$1.18B
$3K ﹤0.01%
+6
New +$44
DAKT icon
6869
PUT
Daktronics
DAKT
$941M
$3K ﹤0.01%
6
-238
-98% -$1.59K
DMLP icon
6870
CALL
Dorchester Minerals
DMLP
$1.34B
$3K ﹤0.01%
2
-3
-60% -$54
DSX icon
6871
CALL
Diana Shipping
DSX
$280M
$3K ﹤0.01%
+14
New +$34
EGAN icon
6872
PUT
eGain
EGAN
$176M
$3K ﹤0.01%
5
-5
-50% -$39
EXK
6873
PUT
Endeavour Silver
EXK
$2.32B
$3K ﹤0.01%
15
-368
-96% -$835
FC icon
6874
PUT
Franklin Covey
FC
$233M
$3K ﹤0.01%
1
-10
-91% -$362
HPP
6875
PUT
Hudson Pacific Properties
HPP
$834M
– –
0
– –
273 274
275
276 277

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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.