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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
BRKL
6876
CALL
DELISTED
Brookline Bancorp
BRKL
$1K ﹤0.01%
1
– –
CCRN
6877
DELISTED
Cross Country Healthcare
CCRN
$1K ﹤0.01%
+154
New +$1.32K
CGBD icon
6878
PUT
Carlyle Secured Lending
CGBD
$698M
$1K ﹤0.01%
1
-2
-67% -$29
CNET icon
6879
ZW Data Action Technologies
CNET
$2.91M
$1K ﹤0.01%
28
-363
-93% -$12.3K
CPSS icon
6880
Consumer Portfolio Services
CPSS
$205M
$1K ﹤0.01%
+312
New +$1.22K
CRESY
6881
Cresud
CRESY
$794M
$1K ﹤0.01%
142
-40
-22% -$477
CTMX icon
6882
CytomX Therapeutics
CTMX
$705M
$1K ﹤0.01%
+144
New +$2.13K
CYTK icon
6883
Cytokinetics
CYTK
$11B
$1K ﹤0.01%
+228
New +$1.68K
DBC icon
6884
PUT
Invesco DB Commodity Index Tracking Fund
DBC
$1.73B
$1K ﹤0.01%
1
-4
-80% -$63
DCI icon
6885
Donaldson
DCI
$10.8B
$1K ﹤0.01%
+34
New +$1.64K
DNN icon
6886
Denison Mines
DNN
$2.63B
$1K ﹤0.01%
+2,500
New +$1.29K
DNN icon
6887
PUT
Denison Mines
DNN
$2.63B
$1K ﹤0.01%
+25
New +$13
DRRX
6888
DELISTED
DURECT Corp
DRRX
$1K ﹤0.01%
200
-110
-35% -$742
DRRX
6889
PUT
DELISTED
DURECT Corp
DRRX
$1K ﹤0.01%
2
-1
-33% -$7
DXLG icon
6890
CALL
Destination XL Group
DXLG
$34.7M
$1K ﹤0.01%
5
– –
FET icon
6891
PUT
Forum Energy Technologies
FET
$654M
– –
0
– –
FSS icon
6892
Federal Signal
FSS
$7.25B
$1K ﹤0.01%
+63
New +$1.44K
GEF icon
6893
Greif
GEF
$4.47B
$1K ﹤0.01%
+29
New +$1.16K
GEOS icon
6894
Geospace Technologies
GEOS
$91.6M
$1K ﹤0.01%
93
-64
-41% -$936
CBIO
6895
CALL
Crescent Biopharma
CBIO
$602M
– –
0
– –
GOGL
6896
CALL
DELISTED
Golden Ocean Group
GOGL
$1K ﹤0.01%
4
-37
-90% -$202
HCKT icon
6897
CALL
Hackett Group
HCKT
$245M
$1K ﹤0.01%
1
-9
-90% -$154
HDSN
6898
PUT
Hudson Technologies
HDSN
$267M
$1K ﹤0.01%
+10
New +$14
MCHB
6899
Mechanics Bancorp
MCHB
$3.47B
$1K ﹤0.01%
+67
New +$1.74K
IAG icon
6900
PUT
IAMGOLD
IAG
$8.47B
$1K ﹤0.01%
5
-2
-29% -$7
274 275
276
277 278

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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.