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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
KOPN icon
7476
Kopin
KOPN
$667M
– –
-2,873
Closed -$3.85K
KOPN icon
7477
PUT
Kopin
KOPN
$667M
– –
-29
Closed -$2K
KOS icon
7478
CALL
Kosmos Energy
KOS
$1.56B
– –
-9
Closed -$3K
KRE icon
7479
State Street SPDR S&P Regional Banking ETF
KRE
$4.87B
– –
-47,569
Closed -$2.23M
KRNT icon
7480
Kornit Digital
KRNT
$704M
– –
-4,371
Closed -$92.9K
KRNY icon
7481
Kearny Financial
KRNY
$591M
$0 ﹤0.01%
44
-703
-94% -$9.23K
KSS icon
7482
Kohl's
KSS
$2.05B
– –
-16,182
Closed -$1.1M
KT icon
7483
KT
KT
$8.83B
– –
-3,083
Closed -$42K
KW
7484
DELISTED
Kennedy-Wilson Holdings
KW
– –
-18,771
Closed -$381K
LAD icon
7485
Lithia Motors
LAD
$7.79B
– –
-5,188
Closed -$451K
LEA icon
7486
Lear
LEA
$7.21B
– –
-10,593
Closed -$1.55M
LEE icon
7487
Lee Enterprises
LEE
$169M
$0 ﹤0.01%
3
-971
-100% -$27.7K
LEE icon
7488
PUT
Lee Enterprises
LEE
$169M
– –
-12
Closed -$25K
LFCR icon
7489
PUT
Lifecore Biomedical
LFCR
$164M
– –
-10
Closed -$11K
LFVN icon
7490
LifeVantage
LFVN
$80.4M
– –
-90
Closed -$1.31K
LGMK
7491
PUT
DELISTED
LogicMark
LGMK
– –
0
– -$13K
LHX icon
7492
L3Harris
LHX
$56B
– –
-2,560
Closed -$394K
LII icon
7493
Lennox International
LII
$18.7B
– –
-2,066
Closed -$494K
LILA icon
7494
Liberty Latin America Class A
LILA
$1.51B
– –
-562
Closed -$5K
LKQ icon
7495
LKQ Corp
LKQ
$6.55B
– –
-6,989
Closed -$188K
LMAT icon
7496
PUT
LeMaitre Vascular
LMAT
$2.19B
– –
-3
Closed -$7K
LMNR icon
7497
CALL
Limoneira
LMNR
$236M
– –
-98
Closed -$191K
LNT icon
7498
Alliant Energy
LNT
$19.3B
– –
-8,262
Closed -$370K
LNW
7499
DELISTED
Light & Wonder
LNW
– –
-49,287
Closed -$1.18M
LOCO icon
7500
El Pollo Loco
LOCO
$483M
– –
-3,135
Closed -$47.3K
298 299
300
301 302

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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.