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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
OGE icon
6976
CALL
OGE Energy
OGE
$10.3B
$3K ﹤0.01%
1
-4
-80% -$146
OTEX icon
6977
PUT
Open Text
OTEX
$5.43B
$3K ﹤0.01%
1
– –
PFGC icon
6978
Performance Food Group
PFGC
$17.5B
$3K ﹤0.01%
+91
New +$3.21K
PFGC icon
6979
PUT
Performance Food Group
PFGC
$17.5B
$3K ﹤0.01%
1
-1
-50% -$35
PUK icon
6980
Prudential
PUK
$36.5B
$3K ﹤0.01%
+72
New +$3.18K
QGEN icon
6981
Qiagen
QGEN
$8.53B
$3K ﹤0.01%
+94
New +$3.76K
SFNC icon
6982
Simmons First National
SFNC
$3.35B
$3K ﹤0.01%
+135
New +$4.15K
SGRY icon
6983
PUT
Surgery Partners
SGRY
$2.06B
$3K ﹤0.01%
+2
New +$32
SPNT icon
6984
SiriusPoint
SPNT
$2.98B
$3K ﹤0.01%
279
+244
+697% +$3.19K
SPSM icon
6985
State Street SPDR Portfolio S&P 600 Small Cap ETF
SPSM
$16.9B
$3K ﹤0.01%
+100
New +$3.33K
STRL icon
6986
Sterling Infrastructure
STRL
$20.3B
$3K ﹤0.01%
+259
New +$3.67K
SYY icon
6987
Sysco
SYY
$39.7B
$3K ﹤0.01%
+44
New +$3.17K
TBPH icon
6988
PUT
Theravance Biopharma
TBPH
$874M
$3K ﹤0.01%
+1
New +$27
TEF
6989
CALL
DELISTED
Telefonica
TEF
$3K ﹤0.01%
+6
New +$41
TGB
6990
Trekor Metals
TGB
$2.56B
$3K ﹤0.01%
+4,000
New +$3.35K
TRX icon
6991
TRX Gold Corp
TRX
$255M
$3K ﹤0.01%
8,500
+8,400
+8,400% +$3.39K
TRX icon
6992
PUT
TRX Gold Corp
TRX
$255M
$3K ﹤0.01%
+85
New +$34
VOC icon
6993
CALL
VOC Energy
VOC
$57.5M
$3K ﹤0.01%
7
-964
-99% -$5.47K
VVX icon
6994
PUT
V2X
VVX
$2.62B
$3K ﹤0.01%
1
-30
-97% -$967
WAFD icon
6995
WaFd
WAFD
$2.72B
$3K ﹤0.01%
+100
New +$3.37K
WK icon
6996
PUT
Workiva
WK
$2.94B
$3K ﹤0.01%
1
-11
-92% -$342
XBIT icon
6997
CALL
XBiotech
XBIT
$69.2M
$3K ﹤0.01%
10
-57
-85% -$222
XYLD icon
6998
CALL
Global X S&P 500 Covered Call ETF
XYLD
$3.2B
$3K ﹤0.01%
+1
New +$52
SEI
6999
PUT
Solaris Energy Infrastructure
SEI
$3.31B
$3K ﹤0.01%
2
-64
-97% -$1.03K
CMRX
7000
CALL
DELISTED
Chimerix, Inc.
CMRX
$3K ﹤0.01%
+10
New +$43
278 279
280
281 282

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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.