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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
ALTO icon
7176
Alto Ingredients
ALTO
$360M
– –
-11,776
Closed -$7.62K
ALV icon
7177
Autoliv
ALV
$8.6B
– –
-2,186
Closed -$156K
AM icon
7178
Antero Midstream
AM
$10.8B
– –
-19,514
Closed -$168K
AMCR icon
7179
CALL
Amcor
AMCR
$20.6B
– –
-1
Closed -$3K
AMCR icon
7180
Amcor
AMCR
$20.6B
– –
-22
Closed -$1.14K
AMD icon
7181
Advanced Micro Devices
AMD
$851B
– –
-7,063
Closed -$221K
AME icon
7182
Ametek
AME
$55.5B
– –
-2,282
Closed -$201K
AMSC icon
7183
American Superconductor
AMSC
$1.48B
$0 ﹤0.01%
+111
New +$944
AMX icon
7184
America Movil
AMX
$78.1B
– –
-1,095
Closed -$15.7K
ANIK icon
7185
Anika Therapeutics
ANIK
$199M
– –
-1,718
Closed -$88.2K
AORT icon
7186
Artivion
AORT
$1.23B
– –
-1,836
Closed -$52K
AP icon
7187
Ampco-Pittsburgh
AP
$167M
$0 ﹤0.01%
37
– –
AP icon
7188
PUT
Ampco-Pittsburgh
AP
$167M
– –
-25
Closed -$10K
APAM icon
7189
Artisan Partners
APAM
$2.79B
– –
-1,116
Closed -$31.2K
APLE icon
7190
Apple Hospitality REIT
APLE
$3.96B
– –
-751
Closed -$11.9K
APO icon
7191
Apollo Global Management
APO
$70.7B
– –
-27,910
Closed -$1.02M
APOG icon
7192
PUT
Apogee Enterprises
APOG
$850M
– –
-7
Closed -$30K
APPF icon
7193
AppFolio
APPF
$5.84B
– –
-209
Closed -$20.8K
APPN icon
7194
Appian
APPN
$1.74B
– –
-9,823
Closed -$460K
APYX icon
7195
Apyx Medical
APYX
$165M
$0 ﹤0.01%
82
-1,318
-94% -$9.35K
ARAY icon
7196
Accuray
ARAY
$28.4M
– –
-2,090
Closed -$6.93K
ARCB icon
7197
ArcBest
ARCB
$3.44B
– –
-26
Closed -$748
ARCB icon
7198
PUT
ArcBest
ARCB
$3.44B
– –
-2
Closed -$5K
ARCC icon
7199
Ares Capital
ARCC
$13.5B
– –
-39,824
Closed -$739K
ARCO icon
7200
PUT
Arcos Dorados Holdings
ARCO
$1.73B
– –
-10
Closed -$7K
286 287
288
289 290

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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.