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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
FORM icon
7326
FormFactor
FORM
$8.11B
– –
-654
Closed -$9.86K
FR icon
7327
First Industrial Realty Trust
FR
$8.88B
$0 ﹤0.01%
+2
New +$66
FSTR icon
7328
CALL
Foster
FSTR
$443M
– –
-2
Closed -$3K
FTDR icon
7329
Frontdoor
FTDR
$5.02B
– –
-1,073
Closed -$32.8K
FTEK icon
7330
Fuel Tech
FTEK
$48M
$0 ﹤0.01%
+474
New +$623
FTK icon
7331
Flotek Industries
FTK
$935M
– –
-208
Closed -$3.39K
FTNT icon
7332
Fortinet
FTNT
$112B
– –
-2,695
Closed -$43K
FTV icon
7333
Fortive
FTV
$19B
– –
-10,028
Closed -$489K
FULT icon
7334
PUT
Fulton Financial
FULT
$4.7B
– –
-5
Closed -$7K
FWONK icon
7335
Liberty Media Series C
FWONK
$24.3B
– –
-201
Closed -$5K
G icon
7336
Genpact
G
$5.3B
– –
-627
Closed -$19.8K
GALT icon
7337
Galectin Therapeutics
GALT
$229M
– –
-7,727
Closed -$37.1K
GASS icon
7338
StealthGas
GASS
$328M
$0 ﹤0.01%
111
-644
-85% -$2.06K
GBDC icon
7339
Golub Capital BDC
GBDC
$3.33B
– –
-163
Closed -$2.87K
GDOT icon
7340
Green Dot
GDOT
$753M
– –
-40
Closed -$2.79K
GDXJ icon
7341
VanEck Junior Gold Miners ETF
GDXJ
$7.06B
– –
-57,535
Closed -$1.74M
GEOS icon
7342
PUT
Geospace Technologies
GEOS
$91.6M
– –
-5
Closed -$5K
GGAL icon
7343
Galicia Financial Group
GGAL
$7.92B
– –
-8,416
Closed -$264K
GGG icon
7344
PUT
Graco
GGG
$12.9B
– –
-19
Closed -$79K
GIB icon
7345
CGI
GIB
$13.9B
– –
-4,267
Closed -$261K
GIGM icon
7346
PUT
GigaMedia
GIGM
$15.3M
– –
-15
Closed -$4K
GIL icon
7347
CALL
Gildan
GIL
$9.25B
– –
-2
Closed -$6K
GIII icon
7348
G-III Apparel Group
GIII
$1.47B
– –
-17,694
Closed -$615K
GLAD icon
7349
Gladstone Capital
GLAD
$425M
– –
-516
Closed -$7K
GLDD
7350
DELISTED
Great Lakes Dredge & Dock
GLDD
– –
-10,440
Closed -$81.2K
292 293
294
295 296

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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.