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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
CHDN icon
7176
CALL
Churchill Downs
CHDN
$6.03B
– –
-24
Closed -$97K
CIA icon
7177
CALL
Citizens
CIA
$245M
– –
-68
Closed -$51K
CIA icon
7178
PUT
Citizens
CIA
$245M
– –
-99
Closed -$74K
CIG icon
7179
CEMIG Preferred Shares
CIG
$6.09B
– –
-25,961
Closed -$48.9K
CIG icon
7180
PUT
CEMIG Preferred Shares
CIG
$6.09B
– –
-153
Closed -$27K
CLAR icon
7181
Clarus
CLAR
$125M
$0 ﹤0.01%
15
-1,236
-99% -$13.9K
CLAR icon
7182
PUT
Clarus
CLAR
$125M
– –
-20
Closed -$20K
CLDT
7183
Chatham Lodging
CLDT
$630M
– –
-141
Closed -$2.77K
CLIR icon
7184
ClearSign Technologies
CLIR
$22M
– –
-4,460
Closed -$45K
CLIR icon
7185
PUT
ClearSign Technologies
CLIR
$22M
– –
-50
Closed -$51K
CLMT icon
7186
Calumet Specialty Products
CLMT
$3.63B
– –
-950
Closed -$3.16K
CLS icon
7187
Celestica
CLS
$35.1B
$0 ﹤0.01%
+4
New +$36
CLSD
7188
DELISTED
Clearside Biomedical
CLSD
– –
-243
Closed -$4.82K
CLSD
7189
PUT
DELISTED
Clearside Biomedical
CLSD
– –
-2
Closed -$3K
CLX icon
7190
Clorox
CLX
$11.6B
– –
-4,350
Closed -$675K
CMA
7191
DELISTED
Comerica
CMA
– –
-30,154
Closed -$2.42M
CMCO icon
7192
Columbus McKinnon
CMCO
$465M
$0 ﹤0.01%
+19
New +$661
CMRE icon
7193
CALL
Costamare
CMRE
$1.9B
– –
-29
Closed -$12K
CNA icon
7194
CNA Financial
CNA
$14.5B
– –
-348
Closed -$15.4K
CNP icon
7195
CenterPoint Energy
CNP
$29.1B
– –
-3,362
Closed -$102K
CNQ icon
7196
Canadian Natural Resources
CNQ
$96.9B
– –
-345
Closed -$4.58K
CNS icon
7197
Cohen & Steers
CNS
$4.18B
– –
-2,326
Closed -$90.4K
CNTY icon
7198
Century Casinos
CNTY
$32.9M
$0 ﹤0.01%
+16
New +$131
CNXT icon
7199
VanEck ChiNext Innovators ETF
CNXT
$109M
– –
-2,734
Closed -$57K
CNYA icon
7200
iShares MSCI China A ETF
CNYA
$221M
$0 ﹤0.01%
+5
New +$132
286 287
288
289 290

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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.