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Simplex Trading

Simplex Trading Portfolio holdings

AUM $171B
1-Year Est. Return 85%
 

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
+85%
3 Year Est. Return
+183.25%
5 Year Est. Return
+145.21%
10 Year Est. Return
+1,056.84%
AUM
$35.2B
AUM Growth
-$1.49B
Cap. Flow
-$61.7M
Cap. Flow %
-0.18%
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 Miscellaneous 97.54%
2 Consumer Discretionary 0.49%
3 Technology 0.48%
4 Healthcare 0.37%
5 Industrials 0.35%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DEI icon
7351
PUT
Douglas Emmett
DEI
$1.91B
– –
-1
Closed -$3K
DELL icon
7352
Dell
DELL
$339B
– –
-72,397
Closed -$1.92M
DFE icon
7353
WisdomTree Europe SmallCap Dividend Fund
DFE
$172M
– –
-23
Closed -$1K
DFIN icon
7354
Donnelley Financial Solutions
DFIN
$1.25B
– –
-936
Closed -$12K
DHC
7355
Diversified Healthcare Trust
DHC
$1.82B
– –
-2,157
Closed -$18.6K
DHX icon
7356
DHI Group
DHX
$196M
– –
-949
Closed -$3K
DIOD icon
7357
Diodes
DIOD
$4.23B
– –
-3,111
Closed -$120K
DJP icon
7358
PUT
iPath Bloomberg Commodity Index Total Return ETN due 12 June 2036
DJP
$873M
– –
-4
Closed -$8K
DKS icon
7359
Dick's Sporting Goods
DKS
$12.4B
– –
-15,020
Closed -$541K
DLNG icon
7360
CALL
Dynagas LNG Partners
DLNG
$133M
– –
-17
Closed -$2K
DLR icon
7361
Digital Realty Trust
DLR
$69.9B
– –
-1,895
Closed -$231K
DLX icon
7362
PUT
Deluxe
DLX
$1.11B
– –
-2
Closed -$8K
DNOW icon
7363
PUT
DNOW Inc
DNOW
$2.91B
– –
-54
Closed -$79K
DQ
7364
Daqo New Energy
DQ
$833M
– –
-28,550
Closed -$261K
DRRX
7365
DELISTED
DURECT Corp
DRRX
– –
-100
Closed -$1.35K
DRV icon
7366
Direxion Daily Real Estate Bear 3X ETF
DRV
$26.8M
– –
-95
Closed -$31K
DVY icon
7367
iShares Select Dividend ETF
DVY
$23.9B
– –
-349
Closed -$34K
EAF icon
7368
GrafTech
EAF
$162M
– –
-2,896
Closed -$344K
EBS icon
7369
Emergent Biosolutions
EBS
$318M
– –
-633
Closed -$29.5K
EC icon
7370
Ecopetrol
EC
$35.5B
– –
-174
Closed -$3.02K
ECH icon
7371
iShares MSCI Chile ETF
ECH
$1.05B
– –
-29,413
Closed -$1.2M
ECPG icon
7372
Encore Capital Group
ECPG
$2.06B
– –
-1,108
Closed -$38.9K
ED icon
7373
Consolidated Edison
ED
$39.7B
– –
-2,364
Closed -$210K
EEM icon
7374
iShares MSCI Emerging Markets ETF
EEM
$31.9B
– –
-46,186
Closed -$1.98M
EEMV icon
7375
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
$3.7B
– –
-4,092
Closed -$240K
293 294
295
296 297

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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 Miscellaneous at 98% of assets, up from 97% a quarter earlier, followed by Consumer Discretionary and Technology.

  • 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.