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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
AZUL
7226
DELISTED
Azul
AZUL
– –
-6,395
Closed -$239K
BAH icon
7227
Booz Allen Hamilton
BAH
$8.7B
– –
-11,140
Closed -$789K
BAK icon
7228
CALL
Braskem
BAK
$980M
– –
-5
Closed -$9K
BAK icon
7229
PUT
Braskem
BAK
$980M
– –
-7
Closed -$12K
BAP icon
7230
Credicorp
BAP
$30.9B
– –
-119
Closed -$27K
BAP icon
7231
PUT
Credicorp
BAP
$30.9B
– –
-6
Closed -$137K
BBAR icon
7232
BBVA Argentina
BBAR
$3.85B
– –
-68,638
Closed -$534K
BBDC icon
7233
CALL
Barings BDC
BBDC
$862M
– –
-29
Closed -$28K
BBW icon
7234
CALL
Build-A-Bear
BBW
$423M
– –
-30
Closed -$16K
BCLI
7235
DELISTED
BRAINSTORM CELL THERAPUTC
BCLI
– –
-1,065
Closed -$62.8K
BG icon
7236
Bunge Global
BG
$23.6B
– –
-13,560
Closed -$757K
BIP icon
7237
Brookfield Infrastructure Partners
BIP
$18.8B
– –
-133
Closed -$3.61K
BIS icon
7238
ProShares UltraShort NASDAQ Biotechnology
BIS
$2.3M
– –
-37
Closed -$5K
GENZ
7239
VanEck Digital Native Economy ETF
GENZ
$16.3M
– –
-58
Closed -$2K
BKE icon
7240
Buckle
BKE
$2.19B
– –
-173
Closed -$3.33K
BKF icon
7241
iShares MSCI BIC ETF
BKF
$75.2M
– –
-500
Closed -$21K
BKH icon
7242
CALL
Black Hills Corp
BKH
$5.73B
– –
-1
Closed -$7K
BKH icon
7243
Black Hills Corp
BKH
$5.73B
– –
-18
Closed -$1K
BKU icon
7244
Bankunited
BKU
$3.38B
– –
-4,824
Closed -$158K
BND icon
7245
Vanguard Total Bond Market
BND
$157B
– –
-3,527
Closed -$296K
BMY icon
7246
Bristol-Myers Squibb
BMY
$127B
– –
-201,734
Closed -$9.48M
BNS icon
7247
PUT
Scotiabank
BNS
$106B
– –
-32
Closed -$173K
BOOM icon
7248
DMC Global
BOOM
$121M
– –
-11,945
Closed -$601K
BP icon
7249
BP
BP
$113B
– –
-76,795
Closed -$2.93M
BRO icon
7250
Brown & Brown
BRO
$22.9B
– –
-13,332
Closed -$477K
288 289
290
291 292

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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.