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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
ACRE
7051
CALL
Ares Commercial Real Estate
ACRE
$252M
$1K ﹤0.01%
1
-15
-94% -$233
AIRG icon
7052
CALL
Airgain
AIRG
$74.3M
$1K ﹤0.01%
1
-3
-75% -$32
AIRG icon
7053
Airgain
AIRG
$74.3M
$1K ﹤0.01%
+162
New +$1.7K
ALEX
7054
DELISTED
Alexander & Baldwin
ALEX
$1K ﹤0.01%
+81
New +$1.83K
ALT icon
7055
CALL
Altimmune
ALT
$539M
$1K ﹤0.01%
+8
New +$15
ALTO icon
7056
PUT
Alto Ingredients
ALTO
$360M
$1K ﹤0.01%
20
-12
-38% -$7
AMH icon
7057
American Homes 4 Rent
AMH
$12B
$1K ﹤0.01%
+44
New +$1.15K
ANGO icon
7058
AngioDynamics
ANGO
$562M
$1K ﹤0.01%
+69
New +$1.05K
ANGO icon
7059
PUT
AngioDynamics
ANGO
$562M
$1K ﹤0.01%
1
– –
AQMS icon
7060
Aqua Metals
AQMS
$9.63M
$1K ﹤0.01%
7
+3
+75% +$781
ASRT
7061
DELISTED
Assertio
ASRT
$1K ﹤0.01%
24
-17
-41% -$996
ATNM icon
7062
Actinium Pharmaceuticals
ATNM
$27M
$1K ﹤0.01%
+167
New +$1.15K
ATNM icon
7063
PUT
Actinium Pharmaceuticals
ATNM
$27M
$1K ﹤0.01%
+2
New +$14
AVD icon
7064
CALL
American Vanguard Corp
AVD
$73.5M
$1K ﹤0.01%
1
-12
-92% -$189
BBW icon
7065
PUT
Build-A-Bear
BBW
$423M
$1K ﹤0.01%
5
– –
BCSF icon
7066
CALL
Bain Capital Specialty
BCSF
$802M
$1K ﹤0.01%
+1
New +$19
BHR
7067
Braemar Hotels & Resorts
BHR
$153M
$1K ﹤0.01%
162
-83
-34% -$776
BLNK icon
7068
Blink Charging
BLNK
$75.2M
$1K ﹤0.01%
999
-3,709
-79% -$7.73K
BTG icon
7069
PUT
B2Gold
BTG
$5.16B
$1K ﹤0.01%
+4
New +$14
CBU icon
7070
CALL
Community Bank
CBU
$3.53B
$1K ﹤0.01%
8
-12
-60% -$804
CGBD icon
7071
CALL
Carlyle Secured Lending
CGBD
$698M
$1K ﹤0.01%
1
-243
-100% -$3.37K
CIG icon
7072
CEMIG Preferred Shares
CIG
$6.09B
$1K ﹤0.01%
851
+584
+219% +$953
CLFD icon
7073
Clearfield
CLFD
$421M
$1K ﹤0.01%
100
+42
+72% +$543
CNET icon
7074
PUT
ZW Data Action Technologies
CNET
$2.91M
$1K ﹤0.01%
+1
New +$25
CTSO icon
7075
CALL
Cytosorbents Corp
CTSO
$22.6M
$1K ﹤0.01%
4
-13
-76% -$57
281 282
283
284 285

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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.