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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
FFIN icon
7426
PUT
First Financial Bankshares
FFIN
$4.94B
– –
-134
Closed -$412K
FFIV icon
7427
F5
FFIV
$21.9B
– –
-1,427
Closed -$197K
FFTY icon
7428
CapForce IBD 50 ETF
FFTY
$81.1M
– –
-1,245
Closed -$42.6K
FHI icon
7429
PUT
Federated Hermes
FHI
$4.35B
– –
-5
Closed -$16K
FISV
7430
CALL
Fiserv Inc
FISV
$26.6B
– –
-704
Closed -$6.42M
FISV
7431
Fiserv Inc
FISV
$26.6B
– –
-1,720
Closed -$176K
FISV
7432
PUT
Fiserv Inc
FISV
$26.6B
– –
-1,180
Closed -$10.8M
FIW icon
7433
First Trust Water ETF
FIW
$1.82B
– –
-5,718
Closed -$312K
FIW icon
7434
PUT
First Trust Water ETF
FIW
$1.82B
– –
-20
Closed -$109K
FLEX icon
7435
Flex
FLEX
$46.9B
– –
-27,164
Closed -$209K
FLNT
7436
PUT
Fluent
FLNT
$102M
– –
-17
Closed -$54K
FLS icon
7437
Flowserve
FLS
$9.16B
– –
-612
Closed -$28.9K
FND icon
7438
Floor & Decor
FND
$5.73B
– –
-24,070
Closed -$1.08M
FNF icon
7439
Fidelity National Financial
FNF
$13.1B
– –
-1,660
Closed -$69K
FOXF icon
7440
Fox Factory Holding Corp
FOXF
$765M
– –
-1,661
Closed -$123K
FPI
7441
Farmland Partners
FPI
$417M
– –
-906
Closed -$5.82K
FSK icon
7442
CALL
FS KKR Capital
FSK
$2.96B
– –
-8
Closed -$17K
FSP
7443
Franklin Street Properties
FSP
$46.1M
– –
-65
Closed -$510
FTEK icon
7444
Fuel Tech
FTEK
$49.9M
$0 ﹤0.01%
96
-2,345
-96% -$2.5K
FTK icon
7445
PUT
Flotek Industries
FTK
$938M
– –
-2
Closed -$4K
FTS icon
7446
Fortis
FTS
$29.8B
– –
-880
Closed -$35.9K
GALT icon
7447
Galectin Therapeutics
GALT
$227M
– –
-986
Closed -$3.56K
GASS icon
7448
StealthGas
GASS
$335M
$0 ﹤0.01%
144
-67
-32% -$228
GBCI icon
7449
PUT
Glacier Bancorp
GBCI
$6.59B
– –
-1
Closed -$4K
GBDC icon
7450
CALL
Golub Capital BDC
GBDC
$3.33B
– –
-20
Closed -$35K
296 297
298
299 300

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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.