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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
+14.57%
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
$45.7B
AUM Growth
+$10.6B
Cap. Flow
+$229M
Cap. Flow %
0.5%
Top 10 Hldgs %
38.52%
Holding
8,523
New
1,277
Increased
3,072
Reduced
2,710
Closed
1,251

Top Buys

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$70.1M
2
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$46.6M
3
GOOG icon
Alphabet (Google) Class C
GOOG
+$37.4M
4
AMZN icon
Amazon
AMZN
+$37M
5
TSLA icon
Tesla
TSLA
+$28M

Top Sells

Rank Stock Value
1
BABA icon
Alibaba
BABA
+$41M
2
BA icon
Boeing
BA
+$27.8M
3
BIIB icon
Biogen
BIIB
+$18.9M
4
GLD icon
SPDR Gold Trust
GLD
+$18.3M
5
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$13.6M

Sector Composition

Rank Sector Weight
1 Technology 0.75%
2 Consumer Discretionary 0.58%
3 Communication Services 0.33%
4 Healthcare 0.31%
5 Industrials 0.19%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CAPL icon
7326
CrossAmerica Partners
CAPL
$841M
– –
-927
Closed -$16.5K
CATY icon
7327
Cathay General Bancorp
CATY
$4.21B
– –
-103
Closed -$3.77K
CBT icon
7328
Cabot Corp
CBT
$4.66B
– –
-399
Closed -$18.5K
CBU icon
7329
PUT
Community Bank
CBU
$3.55B
– –
-15
Closed -$92K
CCEP icon
7330
Coca-Cola Europacific Partners
CCEP
$46.3B
– –
-143
Closed -$7.53K
CCK icon
7331
Crown Holdings
CCK
$12.7B
– –
-7,230
Closed -$516K
CCRN
7332
PUT
DELISTED
Cross Country Healthcare
CCRN
– –
-50
Closed -$51K
CCS icon
7333
Century Communities
CCS
$1.97B
– –
-2,777
Closed -$81.3K
CDP icon
7334
COPT Defense Properties
CDP
$4.3B
– –
-63
Closed -$1.84K
CDP icon
7335
PUT
COPT Defense Properties
CDP
$4.3B
– –
-20
Closed -$59K
CDTX
7336
DELISTED
Cidara Therapeutics
CDTX
– –
-13
Closed -$595
CECO icon
7337
Ceco Environmental
CECO
$4.52B
$0 ﹤0.01%
39
-49
-56% -$366
CELH icon
7338
Celsius Holdings
CELH
$6.96B
– –
-1,932
Closed -$2.56K
CENT icon
7339
Central Garden & Pet Co
CENT
$2.73B
– –
-340
Closed -$7K
CENTA icon
7340
PUT
Central Garden & Pet Co Class A
CENTA
$2.39B
– –
-1
Closed -$2K
CEVA icon
7341
CALL
CEVA Inc
CEVA
$1.04B
– –
-5
Closed -$14K
CFFN icon
7342
PUT
Capitol Federal Financial
CFFN
$1.08B
– –
-12
Closed -$16K
CGBD icon
7343
PUT
Carlyle Secured Lending
CGBD
$698M
– –
-8
Closed -$11K
CHE icon
7344
PUT
Chemed
CHE
$6.76B
– –
-180
Closed -$7.52M
CHEF icon
7345
Chefs' Warehouse
CHEF
$3.84B
– –
-100
Closed -$3.64K
CHH icon
7346
PUT
Choice Hotels
CHH
$5.04B
– –
-1
Closed -$8K
CHRD icon
7347
Chord Energy
CHRD
$7.82B
– –
-98,649
Closed -$282K
CHX
7348
PUT
DELISTED
ChampionX
CHX
– –
-1
Closed -$2K
CI icon
7349
Cigna
CI
$76B
– –
-3,756
Closed -$689K
CLAR icon
7350
CALL
Clarus
CLAR
$126M
– –
-2
Closed -$2K
292 293
294
295 296

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Simplex Trading's Q4 2019 Portfolio in Review

As of Q4 2019, Simplex Trading held 8,523 positions worth $45.7B, up 30% from $35.2B the previous quarter. Its ten largest holdings account for 39% of the portfolio.

Simplex Trading's Q4 2019 filing shows 1,277 new, 3,072 increased, 2,710 reduced and 1,251 closed positions. Its largest new stake was Apple: 1,090,316 shares worth $80M. The largest sale was Alibaba, an estimated $41M.

By sector, the portfolio is most concentrated in Technology at 0.75% of assets, up from 0.48% a quarter earlier, followed by Consumer Discretionary and Communication Services.

  • Simplex Trading's largest Q4 2019 buy was Apple: 1,090,316 shares worth $80M.
  • Simplex Trading added most to iShares 20+ Year Treasury Bond ETF in Q4 2019, an estimated $46.6M increase.
  • Simplex Trading's biggest Q4 2019 reduction was Alibaba, cutting an estimated $41M.
  • Simplex Trading fully exited Boeing in Q4 2019, selling an estimated $27.8M.
  • Simplex Trading's ten largest holdings make up 39% of its $45.7B portfolio in Q4 2019.
  • Simplex Trading opened 1,277 new positions and closed 1,251 in Q4 2019.
  • Simplex Trading's portfolio value rose 30% quarter-over-quarter to $45.7B.

Based on Simplex Trading's 13F filing for Q4 2019, filed 5 Feb 2020.