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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
CNET icon
7301
PUT
ZW Data Action Technologies
CNET
$3.6M
– –
0
– -$1K
CNI icon
7302
Canadian National Railway
CNI
$79.3B
– –
-4,148
Closed -$383K
CNK icon
7303
Cinemark Holdings
CNK
$3.87B
– –
-2,252
Closed -$86K
CNO icon
7304
CALL
CNO Financial Group
CNO
$4.97B
– –
-1
Closed -$1K
CNO icon
7305
CNO Financial Group
CNO
$4.97B
– –
-204
Closed -$3K
CNNE icon
7306
Cannae Holdings
CNNE
$645M
– –
-855
Closed -$24K
CNP icon
7307
CenterPoint Energy
CNP
$29.1B
– –
-10,811
Closed -$312K
CNXN icon
7308
PC Connection
CNXN
$2.05B
– –
-80
Closed -$2K
CNYA icon
7309
iShares MSCI China A ETF
CNYA
$222M
– –
-5
Closed –
COLL icon
7310
CALL
Collegium Pharmaceutical
COLL
$1.15B
– –
-2
Closed -$2K
COLL icon
7311
PUT
Collegium Pharmaceutical
COLL
$1.15B
– –
-239
Closed -$314K
COP icon
7312
ConocoPhillips
COP
$147B
– –
-61,007
Closed -$3.47M
CPS icon
7313
Cooper-Standard Automotive
CPS
$517M
– –
-1,607
Closed -$67.3K
CPSS icon
7314
CALL
Consumer Portfolio Services
CPSS
$207M
– –
-10
Closed -$3K
CPSS icon
7315
PUT
Consumer Portfolio Services
CPSS
$207M
– –
-36
Closed -$13K
CRMT icon
7316
CALL
America's Car Mart
CRMT
$26.1M
– –
-1
Closed -$8K
CRMT icon
7317
America's Car Mart
CRMT
$26.1M
– –
-6
Closed –
CRVL icon
7318
CorVel
CRVL
$3.03B
– –
-6
Closed –
CRVL icon
7319
PUT
CorVel
CRVL
$3.03B
– –
-6
Closed -$17K
CSGS
7320
CALL
DELISTED
CSG Systems International
CSGS
– –
-1
Closed -$4K
CSV icon
7321
CALL
Carriage Services
CSV
$614M
– –
-3
Closed -$5K
CSV icon
7322
Carriage Services
CSV
$614M
– –
-111
Closed -$2K
CSV icon
7323
PUT
Carriage Services
CSV
$614M
– –
-1
Closed -$1K
CTLP
7324
DELISTED
Cantaloupe
CTLP
– –
-4,776
Closed -$34.3K
CTRN icon
7325
PUT
Citi Trends
CTRN
$524M
– –
-2
Closed -$2K
291 292
293
294 295

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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.