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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
-2.07%
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
$35.2B
AUM Growth
-$1.49B
Cap. Flow
-$310M
Cap. Flow %
-0.88%
Top 10 Hldgs %
32.67%
Holding
8,410
New
1,312
Increased
3,129
Reduced
2,596
Closed
1,163

Top Buys

Rank Stock Value
1
BABA icon
Alibaba
BABA
+$50.3M
2
BA icon
Boeing
BA
+$24.3M
3
GLD icon
SPDR Gold Trust
GLD
+$18.3M
4
BIIB icon
Biogen
BIIB
+$15.9M
5
FDX icon
FedEx
FDX
+$15.1M

Top Sells

Rank Stock Value
1
GOOG icon
Alphabet (Google) Class C
GOOG
+$60.3M
2
IWM icon
iShares Russell 2000 ETF
IWM
+$36.4M
3
NFLX icon
Netflix
NFLX
+$19M
4
XLI icon
State Street Industrial Select Sector SPDR ETF
XLI
+$17.3M
5
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$14.2M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 0.49%
2 Technology 0.48%
3 Healthcare 0.35%
4 Industrials 0.35%
5 Communication Services 0.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
KBR icon
6926
PUT
KBR
KBR
$4.68B
$2K ﹤0.01%
1
– –
KOP icon
6927
CALL
Koppers
KOP
$966M
$2K ﹤0.01%
1
-265
-100% -$7.35K
KOP icon
6928
PUT
Koppers
KOP
$966M
$2K ﹤0.01%
1
-14
-93% -$388
LOOP icon
6929
PUT
Loop Industries
LOOP
$38.9M
$2K ﹤0.01%
+2
New +$27
MGNI icon
6930
PUT
Magnite
MGNI
$2.65B
$2K ﹤0.01%
3
-222
-99% -$1.95K
KG
6931
Kestrel Group
KG
$71.3M
$2K ﹤0.01%
+187
New +$2.2K
MLR icon
6932
Miller Industries
MLR
$586M
$2K ﹤0.01%
86
-118
-58% -$3.76K
MRC
6933
CALL
DELISTED
MRC Global
MRC
$2K ﹤0.01%
2
-5
-71% -$71
MYE icon
6934
Myers Industries
MYE
$1.18B
$2K ﹤0.01%
+159
New +$2.72K
NGS icon
6935
Natural Gas Services Group
NGS
$470M
$2K ﹤0.01%
194
+121
+166% +$1.66K
NMR icon
6936
Nomura Holdings
NMR
$28.7B
$2K ﹤0.01%
+644
New +$2.45K
NRP icon
6937
PUT
Natural Resource Partners
NRP
$1.3B
$2K ﹤0.01%
1
-47
-98% -$1.38K
NVGS icon
6938
CALL
Navigator Holdings
NVGS
$1.34B
$2K ﹤0.01%
2
-11
-85% -$110
OESX icon
6939
CALL
Orion Energy Systems
OESX
$41.1M
$2K ﹤0.01%
1
-2
-67% -$57
OII icon
6940
Oceaneering
OII
$5.25B
$2K ﹤0.01%
+193
New +$2.92K
PAHC icon
6941
Phibro Animal Health
PAHC
$1.38B
$2K ﹤0.01%
+98
New +$2.68K
PAR icon
6942
PUT
PAR Technology
PAR
$637M
$2K ﹤0.01%
1
– –
PBPB
6943
CALL
DELISTED
Potbelly
PBPB
$2K ﹤0.01%
+5
New +$22
PBT
6944
CALL
Permian Basin Royalty Trust
PBT
$1.36B
$2K ﹤0.01%
+5
New +$26
PFS icon
6945
CALL
Provident Financial Services
PFS
$3.11B
$2K ﹤0.01%
+1
New +$24
PICK icon
6946
iShares MSCI Global Metals & Mining Producers ETF
PICK
$2.19B
$2K ﹤0.01%
+104
New +$2.85K
RGS icon
6947
PUT
Regis Corp
RGS
$69.9M
– –
0
– –
RING icon
6948
iShares MSCI Global Gold Miners ETF
RING
$2.31B
$2K ﹤0.01%
100
– –
RLGT icon
6949
Radiant Logistics
RLGT
$416M
$2K ﹤0.01%
403
-1,070
-73% -$5.56K
SHEN icon
6950
Shenandoah Telecom
SHEN
$632M
$2K ﹤0.01%
+76
New +$2.66K
276 277
278
279 280

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Simplex Trading's Q3 2019 Portfolio in Review

As of Q3 2019, Simplex Trading held 8,410 positions worth $35.2B, down 4.1% from $36.6B the previous quarter. Its ten largest holdings account for 33% of the portfolio.

Simplex Trading's Q3 2019 filing shows 1,312 new, 3,129 increased, 2,596 reduced and 1,163 closed positions. Its largest new stake was SPDR Gold Trust: 131,281 shares worth $18.2M. The largest sale was Alphabet (Google) Class C, an estimated $60.3M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 0.49% of assets, up from 0.26% a quarter earlier, followed by Technology and Healthcare.

  • Simplex Trading's largest Q3 2019 buy was SPDR Gold Trust: 131,281 shares worth $18.2M.
  • Simplex Trading added most to Alibaba in Q3 2019, an estimated $50.3M increase.
  • Simplex Trading's biggest Q3 2019 reduction was Alphabet (Google) Class C, cutting an estimated $60.3M.
  • Simplex Trading fully exited iShares Russell 2000 ETF in Q3 2019, selling an estimated $36.4M.
  • Simplex Trading's ten largest holdings make up 33% of its $35.2B portfolio in Q3 2019.
  • Simplex Trading opened 1,312 new positions and closed 1,163 in Q3 2019.
  • Simplex Trading's portfolio value fell 4.1% quarter-over-quarter to $35.2B.

Based on Simplex Trading's 13F filing for Q3 2019, filed 15 Oct 2019.