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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
HTBK
7401
DELISTED
Heritage Commerce
HTBK
– –
-17,267
Closed -$195K
HTBK
7402
PUT
DELISTED
Heritage Commerce
HTBK
– –
-28
Closed -$31K
HTGC icon
7403
Hercules Capital
HTGC
$2.94B
– –
-4,467
Closed -$49K
HTHT icon
7404
Huazhu Hotels Group
HTHT
$12.4B
– –
-34
Closed -$1.16K
HUBG icon
7405
CALL
HUB Group
HUBG
$3.01B
– –
-2
Closed -$3K
HURN icon
7406
CALL
Huron Consulting
HURN
$1.82B
– –
-48
Closed -$246K
HURN icon
7407
PUT
Huron Consulting
HURN
$1.82B
– –
-1
Closed -$5K
HVT icon
7408
CALL
Haverty Furniture Companies
HVT
$401M
– –
-4
Closed -$7K
HWC icon
7409
Hancock Whitney
HWC
$6.13B
– –
-188
Closed -$7.71K
HXL icon
7410
Hexcel
HXL
$8.32B
– –
-3,494
Closed -$235K
HY icon
7411
CALL
Hyster-Yale Materials Handling
HY
$593M
– –
-3
Closed -$18K
PPLI
7412
People Inc
PPLI
$3.1B
– –
-44,511
Closed -$1.65M
IBCP icon
7413
CALL
Independent Bank Corp
IBCP
$776M
– –
-5
Closed -$10K
IBM icon
7414
IBM
IBM
$202B
– –
-52,746
Closed -$6.72M
ICF icon
7415
iShares Select U.S. REIT ETF
ICF
$2.12B
– –
-394
Closed -$18K
ICHR icon
7416
Ichor Holdings
ICHR
$3.02B
– –
-1,475
Closed -$30K
ICMB icon
7417
CALL
Investcorp Credit Management BDC
ICMB
$11.3M
– –
-2
Closed -$1K
ICMB icon
7418
Investcorp Credit Management BDC
ICMB
$11.3M
$0 ﹤0.01%
+24
New +$180
IDGT icon
7419
iShares US Digital Infrastructure and Real Estate ETF
IDGT
$486M
– –
-392
Closed -$18K
IDT icon
7420
IDT Corp
IDT
$1.6B
– –
-3,811
Closed -$25.4K
IDXX icon
7421
Idexx Laboratories
IDXX
$42.9B
– –
-5,302
Closed -$1.09M
IEMG icon
7422
iShares Core MSCI Emerging Markets ETF
IEMG
$149B
– –
-1,181
Closed -$55K
IFF icon
7423
International Flavors & Fragrances
IFF
$19.4B
– –
-6,055
Closed -$803K
IFN
7424
CALL
Aberdeen India Fund
IFN
$488M
– –
-20
Closed -$40K
BRSL
7425
Brightstar Lottery PLC
BRSL
$1.91B
– –
-45,213
Closed -$696K
295 296
297
298 299

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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.