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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
SNCR
6951
PUT
DELISTED
Synchronoss Technologies
SNCR
$2K ﹤0.01%
+1
New +$68
SSP icon
6952
CALL
E.W. Scripps
SSP
$274M
$2K ﹤0.01%
2
-28
-93% -$385
SSP icon
6953
PUT
E.W. Scripps
SSP
$274M
$2K ﹤0.01%
2
-17
-89% -$234
STGW icon
6954
Stagwell
STGW
$1.84B
$2K ﹤0.01%
859
+659
+330% +$1.65K
SYBX
6955
DELISTED
Synlogic
SYBX
$2K ﹤0.01%
+67
New +$4.85K
TALO icon
6956
PUT
Talos Energy
TALO
$2.49B
$2K ﹤0.01%
1
-2
-67% -$43
TOUR
6957
PUT
Tuniu
TOUR
$55.4M
$2K ﹤0.01%
1
– –
TOWN icon
6958
CALL
Towne Bank
TOWN
$3.35B
$2K ﹤0.01%
1
-563
-100% -$15.3K
TRVG
6959
PUT
trivago
TRVG
$386M
$2K ﹤0.01%
1
-11
-92% -$250
TSQ icon
6960
Townsquare Media
TSQ
$113M
$2K ﹤0.01%
+400
New +$2.42K
TV icon
6961
CALL
Televisa
TV
$1.45B
$2K ﹤0.01%
3
-1
-25% -$9
UVSP icon
6962
CALL
Univest Financial
UVSP
$1.23B
$2K ﹤0.01%
1
– –
VERU icon
6963
CALL
Veru
VERU
$36.1M
$2K ﹤0.01%
1
-11
-92% -$229
WIT icon
6964
CALL
Wipro
WIT
$18.5B
$2K ﹤0.01%
16
-4
-20% -$8
WVE icon
6965
CALL
Wave Life Sciences
WVE
$1.12B
$2K ﹤0.01%
1
-25
-96% -$573
WVE icon
6966
PUT
Wave Life Sciences
WVE
$1.12B
$2K ﹤0.01%
1
-36
-97% -$825
XBIT icon
6967
XBiotech
XBIT
$69.2M
$2K ﹤0.01%
+238
New +$1.94K
XHR
6968
CALL
Xenia Hotels & Resorts
XHR
$1.98B
$2K ﹤0.01%
+1
New +$21
XPRO icon
6969
PUT
Expro Ltd
XPRO
$1.79B
$2K ﹤0.01%
1
-1
-50% -$30
UCB
6970
CALL
United Community Banks
UCB
$4.22B
$2K ﹤0.01%
+1
New +$27
TPC
6971
PUT
Tutor Perini Cor
TPC
$4.57B
$2K ﹤0.01%
2
-1
-33% -$12
CDMO
6972
CALL
DELISTED
Avid Bioservices, Inc. Common Stock
CDMO
$2K ﹤0.01%
4
-8
-67% -$50
SCWX
6973
PUT
DELISTED
SecureWorks Corp Class A Common Stock
SCWX
$2K ﹤0.01%
2
– –
VIRX
6974
PUT
DELISTED
Viracta Therapeutics, Inc. Common Stock
VIRX
$2K ﹤0.01%
1
– –
THCX
6975
DELISTED
AXS Cannabis ETF
THCX
$2K ﹤0.01%
+15
New +$3.18K
277 278
279
280 281

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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.