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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
TBHC
7101
CALL
DELISTED
The Brand House Collective
TBHC
$1K ﹤0.01%
16
-4
-20% -$5
TBHC
7102
DELISTED
The Brand House Collective
TBHC
$1K ﹤0.01%
811
-9,708
-92% -$13K
KLXE icon
7103
PUT
KLX Energy Services
KLXE
$44.8M
– –
0
– –
KRO icon
7104
PUT
KRONOS Worldwide
KRO
$761M
$1K ﹤0.01%
1
-8
-89% -$105
KTCC icon
7105
Key Tronic
KTCC
$40.3M
$1K ﹤0.01%
+300
New +$1.74K
KURA icon
7106
PUT
Kura Oncology
KURA
$922M
$1K ﹤0.01%
1
-11
-92% -$163
LMNR icon
7107
CALL
Limoneira
LMNR
$237M
$1K ﹤0.01%
1
-2
-67% -$38
MLI icon
7108
Mueller Industries
MLI
$14.1B
$1K ﹤0.01%
152
-664
-81% -$5.08K
MYND
7109
Mynd.ai
MYND
$17.6M
$1K ﹤0.01%
+20
New +$1.2K
NMR icon
7110
CALL
Nomura Holdings
NMR
$28.7B
$1K ﹤0.01%
+3
New +$14
NTCT icon
7111
NETSCOUT
NTCT
$2.86B
$1K ﹤0.01%
+76
New +$1.8K
NVGS icon
7112
Navigator Holdings
NVGS
$1.34B
$1K ﹤0.01%
100
-9,636
-99% -$114K
NX icon
7113
CALL
Quanex
NX
$854M
$1K ﹤0.01%
1
-46
-98% -$866
OCSL icon
7114
CALL
Oaktree Specialty Lending
OCSL
$1.03B
$1K ﹤0.01%
1
– –
IMDX
7115
PUT
Insight Molecular Diagnostics
IMDX
$153M
– –
-1
Closed -$36
ONB icon
7116
PUT
Old National Bancorp
ONB
$10.1B
$1K ﹤0.01%
1
– –
PBPB
7117
CALL
DELISTED
Potbelly
PBPB
$1K ﹤0.01%
4
-1
-20% -$4
PDFS icon
7118
PUT
PDF Solutions
PDFS
$2.13B
$1K ﹤0.01%
1
-444
-100% -$6.81K
PHX
7119
CALL
DELISTED
PHX Minerals
PHX
$1K ﹤0.01%
1
-2
-67% -$26
PKE icon
7120
PUT
Park Aerospace
PKE
$745M
$1K ﹤0.01%
+1
New +$17
PLUS icon
7121
PUT
ePlus
PLUS
$2.33B
$1K ﹤0.01%
+16
New +$652
PLX icon
7122
PUT
Protalix BioTherapeutics
PLX
$191M
$1K ﹤0.01%
+5
New +$12
REVG
7123
CALL
DELISTED
REV Group
REVG
$1K ﹤0.01%
+1
New +$13
RNST icon
7124
Renasant Corp
RNST
$4.01B
$1K ﹤0.01%
+47
New +$1.66K
SENS icon
7125
PUT
Senseonics Holdings Inc
SENS
$254M
$1K ﹤0.01%
1
-3
-75% -$59
283 284
285
286 287

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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.