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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
+17.83%
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
$36B
AUM Growth
+$1.89B
Cap. Flow
-$586M
Cap. Flow %
-1.63%
Top 10 Hldgs %
34.84%
Holding
8,479
New
1,472
Increased
3,049
Reduced
2,419
Closed
1,324

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$86.9M
2
DIS icon
Walt Disney
DIS
+$25.5M
3
BIDU icon
Baidu
BIDU
+$12.3M
4
GOOGL icon
Alphabet (Google) Class A
GOOGL
+$12.3M
5
RHT
Red Hat Inc
RHT
+$11.4M

Top Sells

Rank Stock Value
1
AMZN icon
Amazon
AMZN
+$66M
2
IWM icon
iShares Russell 2000 ETF
IWM
+$60.3M
3
GOOG icon
Alphabet (Google) Class C
GOOG
+$33.9M
4
AAPL icon
Apple
AAPL
+$21.1M
5
XLF icon
State Street Financial Select Sector SPDR ETF
XLF
+$18.2M

Sector Composition

Rank Sector Weight
1 Communication Services 0.58%
2 Technology 0.42%
3 Healthcare 0.34%
4 Consumer Discretionary 0.29%
5 Industrials 0.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BGFV
7126
DELISTED
Big 5 Sporting Goods
BGFV
– –
-5,003
Closed -$18.1K
BHF icon
7127
Brighthouse Financial
BHF
$3.63B
– –
-68,865
Closed -$2.58M
BHR
7128
PUT
Braemar Hotels & Resorts
BHR
$153M
– –
-247
Closed -$218K
BIP icon
7129
Brookfield Infrastructure Partners
BIP
$18.8B
– –
-1,957
Closed -$46K
BJRI icon
7130
BJ's Restaurants
BJRI
$1.41B
– –
-7,354
Closed -$369K
BNY
7131
Bank of New York Mellon
BNY
$108B
– –
-28,421
Closed -$1.46M
BKD icon
7132
Brookdale Senior Living
BKD
$3.62B
– –
-17,872
Closed -$131K
BKF icon
7133
iShares MSCI BIC ETF
BKF
$75.2M
– –
-1,316
Closed -$49K
BLD
7134
DELISTED
TopBuild
BLD
– –
-4,787
Closed -$269K
BLK icon
7135
Blackrock
BLK
$164B
– –
-5,971
Closed -$2.51M
BMA icon
7136
Banco Macro
BMA
$5.7B
– –
-3,283
Closed -$169K
BMO icon
7137
Bank of Montreal
BMO
$125B
– –
-1
Closed -$74
BN icon
7138
Brookfield
BN
$102B
– –
-17,769
Closed -$277K
BND icon
7139
Vanguard Total Bond Market
BND
$157B
– –
-685
Closed -$54.7K
BOKF icon
7140
BOK Financial
BOKF
$8.64B
– –
-45
Closed -$3.78K
BOOM icon
7141
DMC Global
BOOM
$121M
– –
-5,602
Closed -$227K
BPT
7142
DELISTED
BP Prudhoe Bay Royalty Trust
BPT
– –
-17,027
Closed -$428K
BRC icon
7143
Brady Corp
BRC
$4.45B
– –
-75
Closed -$3.45K
BRKL
7144
DELISTED
Brookline Bancorp
BRKL
$0 ﹤0.01%
+32
New +$480
BRO icon
7145
Brown & Brown
BRO
$22.9B
– –
-74
Closed -$2.11K
BRO icon
7146
PUT
Brown & Brown
BRO
$22.9B
– –
-3
Closed -$8K
BTE icon
7147
Baytex Energy
BTE
$3.08B
– –
-198,610
Closed -$348K
BTI icon
7148
British American Tobacco
BTI
$132B
– –
-8,865
Closed -$323K
BTU icon
7149
Peabody Energy
BTU
$2.78B
– –
-17,431
Closed -$549K
BXMT icon
7150
Blackstone Mortgage Trust
BXMT
$2.82B
– –
-1,309
Closed -$44.4K
284 285
286
287 288

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Simplex Trading's Q1 2019 Portfolio in Review

As of Q1 2019, Simplex Trading held 8,479 positions worth $36B, up 5.5% from $34.1B the previous quarter. Its ten largest holdings account for 35% of the portfolio.

Simplex Trading's Q1 2019 filing shows 1,472 new, 3,049 increased, 2,419 reduced and 1,324 closed positions. Its largest new stake was Walt Disney: 228,471 shares worth $25.4M. The largest sale was Amazon, an estimated $66M.

By sector, the portfolio is most concentrated in Communication Services at 0.58% of assets, up from 0.49% a quarter earlier, followed by Technology and Healthcare.

  • Simplex Trading's largest Q1 2019 buy was Walt Disney: 228,471 shares worth $25.4M.
  • Simplex Trading added most to Invesco QQQ Trust in Q1 2019, an estimated $86.9M increase.
  • Simplex Trading's biggest Q1 2019 reduction was iShares Russell 2000 ETF, cutting an estimated $60.3M.
  • Simplex Trading fully exited Amazon in Q1 2019, selling an estimated $66M.
  • Simplex Trading's ten largest holdings make up 35% of its $36B portfolio in Q1 2019.
  • Simplex Trading opened 1,472 new positions and closed 1,324 in Q1 2019.
  • Simplex Trading's portfolio value rose 5.5% quarter-over-quarter to $36B.

Based on Simplex Trading's 13F filing for Q1 2019, filed 18 Apr 2019.