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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
+14.57%
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
$45.7B
AUM Growth
+$10.6B
Cap. Flow
+$229M
Cap. Flow %
0.5%
Top 10 Hldgs %
38.52%
Holding
8,523
New
1,277
Increased
3,072
Reduced
2,710
Closed
1,251

Top Buys

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$70.1M
2
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$46.6M
3
GOOG icon
Alphabet (Google) Class C
GOOG
+$37.4M
4
AMZN icon
Amazon
AMZN
+$37M
5
TSLA icon
Tesla
TSLA
+$28M

Top Sells

Rank Stock Value
1
BABA icon
Alibaba
BABA
+$41M
2
BA icon
Boeing
BA
+$27.8M
3
BIIB icon
Biogen
BIIB
+$18.9M
4
GLD icon
SPDR Gold Trust
GLD
+$18.3M
5
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$13.6M

Sector Composition

Rank Sector Weight
1 Technology 0.75%
2 Consumer Discretionary 0.58%
3 Communication Services 0.33%
4 Healthcare 0.31%
5 Industrials 0.19%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TG icon
7001
CALL
Tredegar Corp
TG
$268M
$2K ﹤0.01%
1
– –
TRVG
7002
PUT
trivago
TRVG
$386M
$2K ﹤0.01%
2
+1
+100% +$15
TSLX icon
7003
PUT
Sixth Street Specialty
TSLX
$1.59B
$2K ﹤0.01%
1
-30
-97% -$638
TWI icon
7004
PUT
Titan International
TWI
$516M
$2K ﹤0.01%
6
+1
+20% +$3
TWIN icon
7005
Twin Disc
TWIN
$335M
$2K ﹤0.01%
+183
New +$1.91K
UBX
7006
CALL
DELISTED
Unity Biotechnology
UBX
– –
0
– –
UEC icon
7007
CALL
Uranium Energy
UEC
$4.71B
$2K ﹤0.01%
28
-69
-71% -$67
WIT icon
7008
Wipro
WIT
$18.5B
$2K ﹤0.01%
+1,526
New +$2.88K
XNET
7009
Xunlei
XNET
$351M
$2K ﹤0.01%
535
-23,668
-98% -$103K
XPRO icon
7010
Expro Ltd
XPRO
$1.79B
$2K ﹤0.01%
65
+50
+333% +$1.53K
YCBD icon
7011
cbdMD
YCBD
$5.65M
$2K ﹤0.01%
+3
New +$3.6K
YRD
7012
PUT
Yiren Digital
YRD
$103M
$2K ﹤0.01%
5
-94
-95% -$550
QTTB icon
7013
CALL
Q32 Bio
QTTB
$450M
– –
0
– –
CNR
7014
PUT
Core Natural Resources Inc
CNR
$4.19B
$2K ﹤0.01%
2
-123
-98% -$1.7K
ENZ
7015
DELISTED
Enzo Biochem, Inc.
ENZ
$2K ﹤0.01%
798
-513
-39% -$1.53K
GTHX
7016
CALL
DELISTED
G1 Therapeutics, Inc. Common Stock
GTHX
$2K ﹤0.01%
1
-3
-75% -$70
BFX
7017
PUT
DELISTED
BowFlex Inc.
BFX
$2K ﹤0.01%
+14
New +$22
HALL
7018
DELISTED
Hallmark Financial Services, Inc.
HALL
$2K ﹤0.01%
15
-3,100
-100% -$567K
FRGI
7019
DELISTED
Fiesta Restaurant Group, Inc.
FRGI
$2K ﹤0.01%
+260
New +$2.45K
FCRD
7020
CALL
DELISTED
First Eagle Alternative Capital BDC, Inc. Common Stock
FCRD
$2K ﹤0.01%
+4
New +$27
ZVO
7021
CALL
DELISTED
Zovio Inc. Common Stock
ZVO
$2K ﹤0.01%
10
-5
-33% -$10
CNR
7022
PUT
DELISTED
Cornerstone Building Brands, Inc.
CNR
$2K ﹤0.01%
+3
New +$21
HNP
7023
PUT
DELISTED
Huaneng Power Intl, Inc.
HNP
$2K ﹤0.01%
1
-18
-95% -$348
AFI
7024
CALL
DELISTED
Armstrong Flooring, Inc.
AFI
$2K ﹤0.01%
+7
New +$34
HMHC
7025
DELISTED
Houghton Mifflin Harcourt Company
HMHC
$2K ﹤0.01%
434
-1,035
-70% -$6.04K
279 280
281
282 283

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Simplex Trading's Q4 2019 Portfolio in Review

As of Q4 2019, Simplex Trading held 8,523 positions worth $45.7B, up 30% from $35.2B the previous quarter. Its ten largest holdings account for 39% of the portfolio.

Simplex Trading's Q4 2019 filing shows 1,277 new, 3,072 increased, 2,710 reduced and 1,251 closed positions. Its largest new stake was Apple: 1,090,316 shares worth $80M. The largest sale was Alibaba, an estimated $41M.

By sector, the portfolio is most concentrated in Technology at 0.75% of assets, up from 0.48% a quarter earlier, followed by Consumer Discretionary and Communication Services.

  • Simplex Trading's largest Q4 2019 buy was Apple: 1,090,316 shares worth $80M.
  • Simplex Trading added most to iShares 20+ Year Treasury Bond ETF in Q4 2019, an estimated $46.6M increase.
  • Simplex Trading's biggest Q4 2019 reduction was Alibaba, cutting an estimated $41M.
  • Simplex Trading fully exited Boeing in Q4 2019, selling an estimated $27.8M.
  • Simplex Trading's ten largest holdings make up 39% of its $45.7B portfolio in Q4 2019.
  • Simplex Trading opened 1,277 new positions and closed 1,251 in Q4 2019.
  • Simplex Trading's portfolio value rose 30% quarter-over-quarter to $45.7B.

Based on Simplex Trading's 13F filing for Q4 2019, filed 5 Feb 2020.