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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
CTVA icon
7326
Corteva
CTVA
$59.2B
– –
-3,891
Closed -$112K
CVEO icon
7327
CALL
Civeo
CVEO
$385M
– –
-1
Closed -$1K
CVEO icon
7328
Civeo
CVEO
$385M
– –
-30
Closed -$529
CVI icon
7329
CVR Energy
CVI
$3.38B
– –
-1,343
Closed -$62.5K
CVLG icon
7330
CALL
Covenant Logistics
CVLG
$1.21B
– –
-40
Closed -$29K
CVS icon
7331
CVS Health
CVS
$137B
– –
-28,949
Closed -$1.72M
CVX icon
7332
Chevron
CVX
$388B
– –
-10,044
Closed -$1.22M
CWCO icon
7333
Consolidated Water Co
CWCO
$469M
– –
-276
Closed -$4.05K
CWCO icon
7334
PUT
Consolidated Water Co
CWCO
$469M
– –
-1
Closed -$1K
CWH icon
7335
Camping World
CWH
$363M
– –
-5,186
Closed -$50.1K
CWK icon
7336
CALL
Cushman & Wakefield Ltd
CWK
$3.04B
– –
-175
Closed -$312K
CWK icon
7337
Cushman & Wakefield Ltd
CWK
$3.04B
– –
-570
Closed -$10K
CWK icon
7338
PUT
Cushman & Wakefield Ltd
CWK
$3.04B
– –
-175
Closed -$312K
CWT icon
7339
California Water Service
CWT
$3.06B
– –
-113
Closed -$6.05K
CYRX icon
7340
CryoPort
CYRX
$807M
– –
-10,092
Closed -$202K
CYRX icon
7341
PUT
CryoPort
CYRX
$807M
– –
-60
Closed -$109K
CZR icon
7342
Caesars Entertainment
CZR
$6.09B
– –
-23,626
Closed -$1M
DAL icon
7343
Delta Air Lines
DAL
$56.4B
– –
-111,008
Closed -$6.58M
DAR icon
7344
Darling Ingredients
DAR
$9.98B
– –
-4,169
Closed -$81.5K
DBE icon
7345
Invesco DB Energy Fund
DBE
$92.7M
– –
-705
Closed -$9K
DBI icon
7346
Designer Brands
DBI
$281M
– –
-12,651
Closed -$215K
DBRG icon
7347
DigitalBridge
DBRG
$2.93B
– –
-2,862
Closed -$59.2K
DDM icon
7348
ProShares Ultra Dow30
DDM
$533M
– –
-6,798
Closed -$164K
DDS icon
7349
Dillards
DDS
$8.89B
– –
-23,784
Closed -$1.52M
DEA
7350
Easterly Government Properties
DEA
$1.18B
– –
-6
Closed -$298
292 293
294
295 296

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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.