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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
-18.41%
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
$34.1B
AUM Growth
+$2.94B
Cap. Flow
-$379M
Cap. Flow %
-1.11%
Top 10 Hldgs %
42.6%
Holding
8,576
New
1,199
Increased
2,701
Reduced
2,877
Closed
1,573

Top Buys

Rank Stock Value
1
IWM icon
iShares Russell 2000 ETF
IWM
+$58.5M
2
GOOG icon
Alphabet (Google) Class C
GOOG
+$56.5M
3
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$44.1M
4
AAPL icon
Apple
AAPL
+$20.3M
5
XOP icon
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
+$12.7M

Top Sells

Rank Stock Value
1
AMZN icon
Amazon
AMZN
+$109M
2
META icon
Meta Platforms (Facebook)
META
+$62.3M
3
QQQ icon
Invesco QQQ Trust
QQQ
+$36.2M
4
GS icon
Goldman Sachs
GS
+$27.1M
5
BA icon
Boeing
BA
+$24.7M

Sector Composition

Rank Sector Weight
1 Communication Services 0.49%
2 Consumer Discretionary 0.48%
3 Technology 0.4%
4 Financials 0.25%
5 Industrials 0.22%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AWR icon
6976
CALL
American States Water
AWR
$3.39B
– –
-6
Closed -$36K
AXDX
6977
DELISTED
Accelerate Diagnostics
AXDX
– –
-255
Closed -$37.8K
AXON
6978
Axon Enterprise
AXON
$40.5B
– –
-2,063
Closed -$107K
AXS icon
6979
CALL
AXIS Capital
AXS
$8.59B
– –
-11
Closed -$63K
AZUL
6980
DELISTED
Azul
AZUL
– –
-77,851
Closed -$1.9M
AZUL
6981
PUT
DELISTED
Azul
AZUL
– –
-51
Closed -$90K
BA icon
6982
Boeing
BA
$165B
– –
-71,366
Closed -$24.7M
BAC icon
6983
Bank of America
BAC
$435B
$0 ﹤0.01%
86,023
-203,746
-70% -$5.53M
BAK icon
6984
Braskem
BAK
$980M
– –
-8,741
Closed -$237K
BALL icon
6985
Ball Corp
BALL
$17B
– –
-9,750
Closed -$456K
BANR icon
6986
Banner Corp
BANR
$2.39B
– –
-870
Closed -$54K
BANR icon
6987
PUT
Banner Corp
BANR
$2.39B
– –
-38
Closed -$236K
BAP icon
6988
Credicorp
BAP
$30.9B
– –
-3
Closed -$663
BB icon
6989
BlackBerry
BB
$5.01B
– –
-91,401
Closed -$805K
BBD icon
6990
Banco Bradesco
BBD
$38.1B
– –
-125,137
Closed -$727K
BBDC icon
6991
CALL
Barings BDC
BBDC
$862M
– –
-27
Closed -$27K
BBDC icon
6992
PUT
Barings BDC
BBDC
$862M
– –
-255
Closed -$255K
BBSI icon
6993
PUT
Barrett Business Services
BBSI
$976M
– –
-40
Closed -$66K
BBU
6994
PUT
DELISTED
Brookfield Business Partners
BBU
– –
-3
Closed -$9K
BBWI icon
6995
Bath & Body Works
BBWI
$4.01B
– –
-56,760
Closed -$1.43M
BCO icon
6996
Brink's
BCO
$5.02B
– –
-1,912
Closed -$126K
BDN
6997
Brandywine Realty Trust
BDN
$551M
$0 ﹤0.01%
+9
New +$127
BDX icon
6998
Becton Dickinson
BDX
$43.1B
– –
-2,648
Closed -$615K
BHE icon
6999
PUT
Benchmark Electronics
BHE
$2.91B
– –
-57
Closed -$133K
BHF icon
7000
Brighthouse Financial
BHF
$3.63B
$0 ﹤0.01%
+68,865
New +$2.69M
278 279
280
281 282

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Simplex Trading's Q4 2018 Portfolio in Review

As of Q4 2018, Simplex Trading held 8,576 positions worth $34.1B, up 9.5% from $31.1B the previous quarter. Its ten largest holdings account for 43% of the portfolio.

Simplex Trading's Q4 2018 filing shows 1,199 new, 2,701 increased, 2,877 reduced and 1,573 closed positions. Its largest new stake was State Street SPDR S&P 500 ETF Trust: 163,699 shares worth $40.9M. The largest sale was Amazon, an estimated $109M.

By sector, the portfolio is most concentrated in Communication Services at 0.49% of assets, down from 0.89% a quarter earlier, followed by Consumer Discretionary and Technology.

  • Simplex Trading's largest Q4 2018 buy was State Street SPDR S&P 500 ETF Trust: 163,699 shares worth $40.9M.
  • Simplex Trading added most to iShares Russell 2000 ETF in Q4 2018, an estimated $58.5M increase.
  • Simplex Trading's biggest Q4 2018 reduction was Amazon, cutting an estimated $109M.
  • Simplex Trading fully exited Meta Platforms (Facebook) in Q4 2018, selling an estimated $62.3M.
  • Simplex Trading's ten largest holdings make up 43% of its $34.1B portfolio in Q4 2018.
  • Simplex Trading opened 1,199 new positions and closed 1,573 in Q4 2018.
  • Simplex Trading's portfolio value rose 9.5% quarter-over-quarter to $34.1B.

Based on Simplex Trading's 13F filing for Q4 2018, filed 16 Jan 2019.