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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
-2.07%
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
$35.2B
AUM Growth
-$1.49B
Cap. Flow
-$310M
Cap. Flow %
-0.88%
Top 10 Hldgs %
32.67%
Holding
8,410
New
1,312
Increased
3,129
Reduced
2,596
Closed
1,163

Top Buys

Rank Stock Value
1
BABA icon
Alibaba
BABA
+$50.3M
2
BA icon
Boeing
BA
+$24.3M
3
GLD icon
SPDR Gold Trust
GLD
+$18.3M
4
BIIB icon
Biogen
BIIB
+$15.9M
5
FDX icon
FedEx
FDX
+$15.1M

Top Sells

Rank Stock Value
1
GOOG icon
Alphabet (Google) Class C
GOOG
+$60.3M
2
IWM icon
iShares Russell 2000 ETF
IWM
+$36.4M
3
NFLX icon
Netflix
NFLX
+$19M
4
XLI icon
State Street Industrial Select Sector SPDR ETF
XLI
+$17.3M
5
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$14.2M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 0.49%
2 Technology 0.48%
3 Healthcare 0.35%
4 Industrials 0.35%
5 Communication Services 0.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ABUS icon
7151
Arbutus Biopharma
ABUS
$865M
$0 ﹤0.01%
419
-252
-38% -$434
ACA icon
7152
Arcosa
ACA
$7.12B
$0 ﹤0.01%
1,249
-617
-33% -$21.4K
ACGL icon
7153
Arch Capital
ACGL
$36.1B
– –
-5,277
Closed -$208K
ACGL icon
7154
PUT
Arch Capital
ACGL
$36.1B
– –
-4
Closed -$14K
ACIC icon
7155
CALL
American Coastal Insurance
ACIC
$498M
– –
-1
Closed -$1K
ADC icon
7156
CALL
Agree Realty
ADC
$9.68B
– –
-1
Closed -$6K
ADC icon
7157
Agree Realty
ADC
$9.68B
– –
-38
Closed -$2K
ADAP
7158
DELISTED
Adaptimmune Therapeutics
ADAP
$0 ﹤0.01%
65
-1,340
-95% -$3.13K
ADM icon
7159
Archer Daniels Midland
ADM
$41.4B
– –
-14,689
Closed -$585K
ADNT icon
7160
Adient
ADNT
$1.6B
– –
-86,431
Closed -$1.97M
ADT icon
7161
ADT
ADT
$5.16B
– –
-2,898
Closed -$16.4K
ADVM
7162
DELISTED
Adverum Biotechnologies
ADVM
– –
-2,130
Closed -$240K
AFMD
7163
DELISTED
Affimed
AFMD
– –
-126
Closed -$3.75K
AGEN
7164
Agenus
AGEN
$249M
– –
-3,155
Closed -$169K
AGEN
7165
PUT
Agenus
AGEN
$249M
– –
-63
Closed -$371K
AGNC icon
7166
AGNC Investment
AGNC
$12.3B
– –
-76,837
Closed -$1.26M
AGRO icon
7167
CALL
Adecoagro
AGRO
$1.53B
– –
-35
Closed -$24K
AJG icon
7168
PUT
Arthur J. Gallagher & Co
AJG
$63.7B
– –
-5
Closed -$43K
AKAM icon
7169
Akamai
AKAM
$16.8B
– –
-16,835
Closed -$1.46M
ALB icon
7170
Albemarle
ALB
$13.5B
– –
-9,877
Closed -$673K
ALGN icon
7171
Align Technology
ALGN
$12B
– –
-13,679
Closed -$2.84M
ALGT icon
7172
PUT
Allegiant Air
ALGT
$2.64B
– –
-3
Closed -$43K
ALLO icon
7173
Allogene Therapeutics
ALLO
$601M
– –
-157
Closed -$4.47K
ALRM icon
7174
Alarm.com
ALRM
$2.56B
– –
-3,633
Closed -$178K
ALT icon
7175
CALL
Altimmune
ALT
$539M
– –
-27
Closed -$6K
285 286
287
288 289

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Simplex Trading's Q3 2019 Portfolio in Review

As of Q3 2019, Simplex Trading held 8,410 positions worth $35.2B, down 4.1% from $36.6B the previous quarter. Its ten largest holdings account for 33% of the portfolio.

Simplex Trading's Q3 2019 filing shows 1,312 new, 3,129 increased, 2,596 reduced and 1,163 closed positions. Its largest new stake was SPDR Gold Trust: 131,281 shares worth $18.2M. The largest sale was Alphabet (Google) Class C, an estimated $60.3M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 0.49% of assets, up from 0.26% a quarter earlier, followed by Technology and Healthcare.

  • Simplex Trading's largest Q3 2019 buy was SPDR Gold Trust: 131,281 shares worth $18.2M.
  • Simplex Trading added most to Alibaba in Q3 2019, an estimated $50.3M increase.
  • Simplex Trading's biggest Q3 2019 reduction was Alphabet (Google) Class C, cutting an estimated $60.3M.
  • Simplex Trading fully exited iShares Russell 2000 ETF in Q3 2019, selling an estimated $36.4M.
  • Simplex Trading's ten largest holdings make up 33% of its $35.2B portfolio in Q3 2019.
  • Simplex Trading opened 1,312 new positions and closed 1,163 in Q3 2019.
  • Simplex Trading's portfolio value fell 4.1% quarter-over-quarter to $35.2B.

Based on Simplex Trading's 13F filing for Q3 2019, filed 15 Oct 2019.