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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
EW icon
7401
Edwards Lifesciences
EW
$48.3B
– –
-4,278
Closed -$301K
EWM icon
7402
iShares MSCI Malaysia ETF
EWM
$307M
– –
-523
Closed -$15K
EWT icon
7403
iShares MSCI Taiwan ETF
EWT
$10.2B
– –
-4,749
Closed -$166K
EWY icon
7404
iShares MSCI South Korea ETF
EWY
$23.2B
– –
-13,664
Closed -$818K
EWZ icon
7405
iShares MSCI Brazil ETF
EWZ
$9.16B
– –
-320,145
Closed -$14M
EXAS
7406
DELISTED
Exact Sciences
EXAS
– –
-11,765
Closed -$1.34M
EXPO icon
7407
PUT
Exponent
EXPO
$2.91B
– –
-180
Closed -$1.05M
EXTR icon
7408
Extreme Networks
EXTR
$3.89B
– –
-30,010
Closed -$217K
EZPW icon
7409
CALL
Ezcorp Inc
EZPW
$1.86B
– –
-13
Closed -$12K
EZPW icon
7410
Ezcorp Inc
EZPW
$1.86B
– –
-2,239
Closed -$19.2K
FAF icon
7411
First American
FAF
$7.03B
– –
-311
Closed -$16K
FAF icon
7412
PUT
First American
FAF
$7.03B
– –
-1
Closed -$5K
FANG icon
7413
Diamondback Energy
FANG
$57.8B
– –
-3,235
Closed -$322K
FBIN icon
7414
Fortune Brands Innovations
FBIN
$5.94B
– –
-5,122
Closed -$233K
FBNC icon
7415
First Bancorp
FBNC
$2.62B
$0 ﹤0.01%
+25
New +$897
FBP icon
7416
CALL
First Bancorp
FBP
$4.4B
– –
-3
Closed -$3K
FDS icon
7417
Factset
FDS
$8.68B
– –
-1,245
Closed -$345K
FE icon
7418
FirstEnergy
FE
$28.6B
– –
-15,623
Closed -$707K
FELE icon
7419
CALL
Franklin Electric
FELE
$4.66B
– –
-1
Closed -$4K
FENC icon
7420
Fennec Pharmaceuticals
FENC
$353M
$0 ﹤0.01%
+100
New +$441
FENG
7421
PUT
Phoenix New Media
FENG
$17.2M
– –
-7
Closed -$13K
FET icon
7422
CALL
Forum Energy Technologies
FET
$651M
– –
0
– -$2K
FET icon
7423
Forum Energy Technologies
FET
$651M
– –
-62
Closed -$2.55K
FET icon
7424
PUT
Forum Energy Technologies
FET
$651M
– –
-1
Closed -$8K
FFBC icon
7425
CALL
First Financial Bancorp
FFBC
$3.55B
– –
-4
Closed -$9K
295 296
297
298 299

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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.