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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
GBDC icon
7451
PUT
Golub Capital BDC
GBDC
$3.33B
– –
-1
Closed -$1K
TDAY
7452
USA Today Co
TDAY
$1.22B
– –
-3,336
Closed -$30.4K
GDDY icon
7453
GoDaddy
GDDY
$11.6B
– –
-3,929
Closed -$266K
GDEN
7454
CALL
DELISTED
Golden Entertainment
GDEN
– –
-108
Closed -$151K
GDOT icon
7455
Green Dot
GDOT
$743M
– –
-14,941
Closed -$553K
GIFI
7456
DELISTED
Gulf Island Fabrication
GIFI
$0 ﹤0.01%
+176
New +$1.15K
GKOS icon
7457
Glaukos
GKOS
$8.94B
– –
-1,395
Closed -$98.3K
GL icon
7458
Globe Life
GL
$13.3B
– –
-4,496
Closed -$408K
GLDD
7459
DELISTED
Great Lakes Dredge & Dock
GLDD
– –
-1,488
Closed -$15.7K
GLL icon
7460
ProShares UltraShort Gold
GLL
$128M
– –
-239
Closed -$58K
GLMD icon
7461
Galmed Pharmaceuticals
GLMD
$4.25M
– –
0
– –
CBIO
7462
Crescent Biopharma
CBIO
$629M
– –
-23
Closed -$14.8K
GMS
7463
DELISTED
GMS Inc
GMS
– –
-28,011
Closed -$686K
GNRC icon
7464
Generac Holdings
GNRC
$12.4B
– –
-200
Closed -$15K
GNTX icon
7465
Gentex
GNTX
$5.07B
– –
-1,044
Closed -$27.6K
GOGL
7466
CALL
DELISTED
Golden Ocean Group
GOGL
– –
-21
Closed -$12K
GOEX icon
7467
Global X Gold Explorers ETF NEW
GOEX
$107M
– –
-504
Closed -$11K
GOOD
7468
Gladstone Commercial Corp
GOOD
$619M
– –
-711
Closed -$15.7K
GORO icon
7469
PUT
Goldgroup Mining Inc.
GORO
$173M
– –
-32
Closed -$10K
GPRK icon
7470
CALL
GeoPark
GPRK
$666M
– –
-36
Closed -$66K
GPRK icon
7471
GeoPark
GPRK
$666M
– –
-1,191
Closed -$21K
GROW icon
7472
PUT
US Global Investors
GROW
$36M
– –
-20
Closed -$3K
GSIT icon
7473
GSI Technology
GSIT
$233M
$0 ﹤0.01%
+100
New +$841
GTY
7474
CALL
Getty Realty Corp
GTY
$2.1B
– –
-2
Closed -$6K
GTY
7475
Getty Realty Corp
GTY
$2.1B
$0 ﹤0.01%
4
-208
-98% -$6.43K
297 298
299
300 301

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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.