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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
GLNG icon
7351
Golar LNG
GLNG
$4.95B
– –
-18,935
Closed -$417K
LKFT
7352
Lakefront Biotherapeutics American Depositary Shares
LKFT
$1.82B
– –
-18
Closed -$1.81K
GMED icon
7353
Globus Medical
GMED
$10.4B
– –
-1,514
Closed -$68.5K
GNSS icon
7354
Genasys
GNSS
$75.6M
– –
-200
Closed –
GOGL
7355
DELISTED
Golden Ocean Group
GOGL
– –
-2,472
Closed -$13.5K
GORO icon
7356
Goldgroup Mining Inc.
GORO
$151M
– –
-2,691
Closed -$11.6K
GORO icon
7357
PUT
Goldgroup Mining Inc.
GORO
$151M
– –
-21
Closed -$8K
GPI icon
7358
CALL
Group 1 Automotive
GPI
$3.94B
– –
-12
Closed -$63K
GPI icon
7359
PUT
Group 1 Automotive
GPI
$3.94B
– –
-30
Closed -$158K
GPK icon
7360
CALL
Graphic Packaging
GPK
$3.26B
– –
-79
Closed -$84K
GPRK icon
7361
CALL
GeoPark
GPRK
$649M
– –
-14
Closed -$19K
GROW icon
7362
US Global Investors
GROW
$36.3M
$0 ﹤0.01%
104
-2,681
-96% -$3.3K
GROW icon
7363
PUT
US Global Investors
GROW
$36.3M
– –
-172
Closed -$18K
GSK icon
7364
GSK
GSK
$103B
– –
-7,872
Closed -$393K
GTES icon
7365
CALL
Gates Industrial Corporation Ltd.
GTES
$6.81B
– –
-3
Closed -$3K
GTES icon
7366
Gates Industrial Corporation Ltd.
GTES
$6.81B
– –
-49
Closed –
GTIM icon
7367
Good Times Restaurants
GTIM
$14.7M
– –
-600
Closed -$1K
GTIM icon
7368
PUT
Good Times Restaurants
GTIM
$14.7M
– –
-6
Closed -$1K
GTX icon
7369
Garrett Motion
GTX
$5.9B
$0 ﹤0.01%
10,834
+7,344
+210% +$111K
GVA icon
7370
Granite Construction
GVA
$5.45B
– –
-341
Closed -$15.2K
COLO
7371
Global X MSCI Colombia ETF
COLO
$196M
– –
-80
Closed -$2K
H icon
7372
Hyatt Hotels
H
$17.6B
– –
-21
Closed -$1.49K
HAFC icon
7373
CALL
Hanmi Financial
HAFC
$943M
– –
-1
Closed -$1K
HAE icon
7374
Haemonetics
HAE
$3.58B
– –
-272
Closed -$24.7K
HAE icon
7375
PUT
Haemonetics
HAE
$3.58B
– –
-1
Closed -$10K
293 294
295
296 297

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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.