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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
+14.57%
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
$45.7B
AUM Growth
+$10.6B
Cap. Flow
+$377M
Cap. Flow %
0.82%
Top 10 Hldgs %
38.52%
Holding
8,523
New
1,277
Increased
3,072
Reduced
2,710
Closed
1,251

Top Buys

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$70.1M
2
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$46.6M
3
GOOG icon
Alphabet (Google) Class C
GOOG
+$37.4M
4
AMZN icon
Amazon
AMZN
+$37M
5
TSLA icon
Tesla
TSLA
+$28M

Top Sells

Rank Stock Value
1
BABA icon
Alibaba
BABA
+$41M
2
BA icon
Boeing
BA
+$27.8M
3
BIIB icon
Biogen
BIIB
+$18.9M
4
GLD icon
SPDR Gold Trust
GLD
+$18.3M
5
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$13.6M

Sector Composition

Rank Sector Weight
1 Miscellaneous 97.26%
2 Technology 0.76%
3 Consumer Discretionary 0.58%
4 Communication Services 0.34%
5 Healthcare 0.32%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EWJ icon
7451
iShares MSCI Japan ETF
EWJ
$23.6B
– –
-23,002
Closed -$1.3M
EWU icon
7452
iShares MSCI United Kingdom ETF
EWU
$3.81B
– –
-96,446
Closed -$3.03M
EXAS
7453
CALL
DELISTED
Exact Sciences
EXAS
– –
-845
Closed -$7.64M
EXAS
7454
DELISTED
Exact Sciences
EXAS
$0 ﹤0.01%
+25,155
New +$2.21M
EXAS
7455
PUT
DELISTED
Exact Sciences
EXAS
– –
-1,178
Closed -$10.6M
EXLS icon
7456
CALL
EXL Service
EXLS
$5.55B
– –
-50
Closed -$66K
EXLS icon
7457
EXL Service
EXLS
$5.55B
– –
-470
Closed -$6K
EXLS icon
7458
PUT
EXL Service
EXLS
$5.55B
– –
-40
Closed -$53K
EXPE icon
7459
Expedia Group
EXPE
$35.8B
– –
-28,693
Closed -$3.37M
EXPO icon
7460
Exponent
EXPO
$3.25B
– –
-7,058
Closed -$466K
EYE icon
7461
National Vision
EYE
$1.32B
– –
-19,662
Closed -$541K
EYPT icon
7462
EyePoint Inc
EYPT
$395M
– –
-441
Closed -$7.86K
EZA icon
7463
iShares MSCI South Africa ETF
EZA
$587M
– –
-4,856
Closed -$230K
FARO
7464
CALL
DELISTED
Faro Technologies
FARO
– –
-2
Closed -$9K
FBNC icon
7465
First Bancorp
FBNC
$2.69B
– –
-25
Closed –
FBT icon
7466
First Trust NYSE Arca Biotechnology Index Fund
FBT
$2.95B
– –
-480
Closed -$59K
FBRX
7467
PUT
DELISTED
Forte Biosciences
FBRX
– –
-1
Closed -$19K
FC icon
7468
CALL
Franklin Covey
FC
$215M
– –
-6
Closed -$21K
FCN icon
7469
FTI Consulting
FCN
$4.19B
$0 ﹤0.01%
5
-2,412
-100% -$264K
FCX icon
7470
Freeport-McMoran
FCX
$104B
– –
-132,774
Closed -$1.46M
FDUS icon
7471
CALL
Fidus Investment
FDUS
$745M
– –
-31
Closed -$45K
FENC icon
7472
Fennec Pharmaceuticals
FENC
$434M
– –
-100
Closed –
FENG
7473
CALL
Phoenix New Media
FENG
$17.8M
– –
-3
Closed -$4K
FENY icon
7474
Fidelity MSCI Energy Index ETF
FENY
$2.15B
– –
-100
Closed -$1K
FEZ icon
7475
State Street SPDR EURO STOXX 50 ETF
FEZ
$4.47B
– –
-16,707
Closed -$630K
297 298
299
300 301

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Simplex Trading's Q4 2019 Portfolio in Review

As of Q4 2019, Simplex Trading held 8,523 positions worth $45.7B, up 30% from $35.2B the previous quarter. Its ten largest holdings account for 39% of the portfolio.

Simplex Trading's Q4 2019 filing shows 1,277 new, 3,072 increased, 2,710 reduced and 1,251 closed positions. Its largest new stake was Apple: 1,090,316 shares worth $80M. The largest sale was Alibaba, an estimated $41M.

By sector, the portfolio is most concentrated in Miscellaneous at 97% of assets, down from 98% a quarter earlier, followed by Technology and Consumer Discretionary.

  • Simplex Trading's largest Q4 2019 buy was Apple: 1,090,316 shares worth $80M.
  • Simplex Trading added most to iShares 20+ Year Treasury Bond ETF in Q4 2019, an estimated $46.6M increase.
  • Simplex Trading's biggest Q4 2019 reduction was Alibaba, cutting an estimated $41M.
  • Simplex Trading fully exited Boeing in Q4 2019, selling an estimated $27.8M.
  • Simplex Trading's ten largest holdings make up 39% of its $45.7B portfolio in Q4 2019.
  • Simplex Trading opened 1,277 new positions and closed 1,251 in Q4 2019.
  • Simplex Trading's portfolio value rose 30% quarter-over-quarter to $45.7B.

Based on Simplex Trading's 13F filing for Q4 2019, filed 5 Feb 2020.