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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
CADE
7051
DELISTED
Cadence Bank
CADE
$2K ﹤0.01%
+91
New +$3.09K
CBZ icon
7052
PUT
CBIZ
CBZ
$2.29B
$2K ﹤0.01%
+1
New +$23
CLNE icon
7053
Clean Energy Fuels
CLNE
$447M
$2K ﹤0.01%
1,046
-17,055
-94% -$47.5K
CTRN icon
7054
CALL
Citi Trends
CTRN
$524M
$2K ﹤0.01%
1
-76
-99% -$2.24K
DAKT icon
7055
CALL
Daktronics
DAKT
$941M
$2K ﹤0.01%
3
– –
DENN
7056
PUT
DELISTED
Denny's
DENN
$2K ﹤0.01%
+2
New +$30
EFAV icon
7057
iShares MSCI EAFE Min Vol Factor ETF
EFAV
$5.22B
$2K ﹤0.01%
37
-1,568
-98% -$113K
EFC
7058
Ellington Financial
EFC
$1.68B
$2K ﹤0.01%
165
+108
+189% +$1.75K
EGHT icon
7059
8x8 Inc
EGHT
$247M
$2K ﹤0.01%
+101
New +$2.2K
FHI icon
7060
CALL
Federated Hermes
FHI
$4.4B
$2K ﹤0.01%
1
-11
-92% -$259
FSS icon
7061
CALL
Federal Signal
FSS
$7.25B
$2K ﹤0.01%
+1
New +$25
FSS icon
7062
Federal Signal
FSS
$7.25B
$2K ﹤0.01%
76
-2,382
-97% -$60.2K
TDAY
7063
USA Today Co
TDAY
$1.23B
$2K ﹤0.01%
128
-7,013
-98% -$118K
GGB icon
7064
CALL
Gerdau
GGB
$9.44B
$2K ﹤0.01%
6
-18
-75% -$58
GMS
7065
PUT
DELISTED
GMS Inc
GMS
$2K ﹤0.01%
1
-17
-94% -$431
GNE icon
7066
Genie Energy
GNE
$378M
$2K ﹤0.01%
+530
New +$2.95K
GVA icon
7067
Granite Construction
GVA
$5.45B
$2K ﹤0.01%
+63
New +$3.08K
COLO
7068
Global X MSCI Colombia ETF
COLO
$196M
$2K ﹤0.01%
+70
New +$2.85K
HAFC icon
7069
CALL
Hanmi Financial
HAFC
$943M
$2K ﹤0.01%
1
-2
-67% -$53
HAFC icon
7070
PUT
Hanmi Financial
HAFC
$943M
$2K ﹤0.01%
1
-5
-83% -$132
HCKT icon
7071
CALL
Hackett Group
HCKT
$245M
$2K ﹤0.01%
+1
New +$19
HDGE icon
7072
AdvisorShares Ranger Equity Bear ETF
HDGE
$63.2M
$2K ﹤0.01%
30
-45
-60% -$3.36K
MCHB
7073
Mechanics Bancorp
MCHB
$3.47B
$2K ﹤0.01%
+87
New +$2.51K
HRZN icon
7074
Horizon Technology Finance
HRZN
$294M
$2K ﹤0.01%
+240
New +$2.64K
IPI icon
7075
CALL
Intrepid Potash
IPI
$460M
$2K ﹤0.01%
1
-4
-80% -$146
281 282
283
284 285

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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.