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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
CDTX
7276
DELISTED
Cidara Therapeutics
CDTX
$0 ﹤0.01%
+13
New +$437
CECO icon
7277
Ceco Environmental
CECO
$4.39B
$0 ﹤0.01%
88
+69
+363% +$551
CENTA icon
7278
CALL
Central Garden & Pet Co Class A
CENTA
$2.39B
– –
-16
Closed -$35K
CERS icon
7279
Cerus
CERS
$585M
– –
-7,353
Closed -$39.4K
CEVA icon
7280
PUT
CEVA Inc
CEVA
$1.01B
– –
-3
Closed -$7K
CGBD icon
7281
Carlyle Secured Lending
CGBD
$697M
– –
-6,667
Closed -$98K
CHIQ icon
7282
Global X MSCI China Consumer Discretionary ETF
CHIQ
$124M
– –
-3,729
Closed -$60K
CI icon
7283
Cigna
CI
$76.5B
$0 ﹤0.01%
3,756
-8,686
-70% -$1.41M
CIG icon
7284
CALL
CEMIG Preferred Shares
CIG
$6.15B
– –
-541
Closed -$105K
CIG icon
7285
CEMIG Preferred Shares
CIG
$6.15B
$0 ﹤0.01%
267
-6,635
-96% -$12.2K
CIVI
7286
DELISTED
Civitas Resources
CIVI
– –
-1,756
Closed -$39.1K
CLAR icon
7287
Clarus
CLAR
$125M
– –
-483
Closed -$5.99K
CLF icon
7288
Cleveland-Cliffs
CLF
$6.81B
– –
-68,422
Closed -$616K
CLFD icon
7289
CALL
Clearfield
CLFD
$411M
– –
-6
Closed -$7K
CLFD icon
7290
Clearfield
CLFD
$411M
$0 ﹤0.01%
+58
New +$710
CLS icon
7291
Celestica
CLS
$35.2B
– –
-4
Closed -$27
CLSD
7292
CALL
DELISTED
Clearside Biomedical
CLSD
– –
-9
Closed -$13K
CLSD
7293
DELISTED
Clearside Biomedical
CLSD
$0 ﹤0.01%
30
-1
-3% -$14
CM icon
7294
Canadian Imperial Bank of Commerce
CM
$107B
– –
-4,292
Closed -$169K
CMA
7295
DELISTED
Comerica
CMA
– –
-4,398
Closed -$291K
CMI icon
7296
Cummins
CMI
$91.1B
– –
-810
Closed -$130K
CMPR icon
7297
Cimpress
CMPR
$2.36B
– –
-1,588
Closed -$175K
CNA icon
7298
CNA Financial
CNA
$14.5B
– –
-26
Closed -$1K
CNA icon
7299
PUT
CNA Financial
CNA
$14.5B
– –
-1
Closed -$4K
CNET icon
7300
ZW Data Action Technologies
CNET
$4.48M
– –
-30
Closed –
290 291
292
293 294

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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.