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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
+7.55%
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
$31.1B
AUM Growth
+$5.63B
Cap. Flow
+$12.2M
Cap. Flow %
0.04%
Top 10 Hldgs %
33.61%
Holding
8,699
New
1,336
Increased
3,066
Reduced
2,755
Closed
1,315

Top Buys

Rank Stock Value
1
AMZN icon
Amazon
AMZN
+$148M
2
QQQ icon
Invesco QQQ Trust
QQQ
+$67.3M
3
META icon
Meta Platforms (Facebook)
META
+$63.2M
4
GS icon
Goldman Sachs
GS
+$23.9M
5
C icon
Citigroup
C
+$23.1M

Top Sells

Rank Stock Value
1
BRK.B icon
Berkshire Hathaway Class B
BRK.B
+$47.5M
2
AAPL icon
Apple
AAPL
+$46M
3
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$44.5M
4
MU icon
Micron Technology
MU
+$29.1M
5
ADBE icon
Adobe
ADBE
+$22.2M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 1.13%
2 Communication Services 0.89%
3 Technology 0.68%
4 Industrials 0.51%
5 Healthcare 0.44%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CWT icon
7501
PUT
California Water Service
CWT
$3.05B
– –
-6
Closed -$23K
CXW icon
7502
CoreCivic
CXW
$3.11B
– –
-914
Closed -$22.8K
CYTK icon
7503
Cytokinetics
CYTK
$10.9B
– –
-4,964
Closed -$39.8K
DALN
7504
DELISTED
DallasNews
DALN
– –
-868
Closed -$16K
DB icon
7505
Deutsche Bank
DB
$66.3B
– –
-34,914
Closed -$410K
DBE icon
7506
Invesco DB Energy Fund
DBE
$93.2M
– –
-565
Closed -$9K
DCI icon
7507
PUT
Donaldson
DCI
$10.7B
– –
-12
Closed -$54K
DDS icon
7508
Dillards
DDS
$8.88B
– –
-5,323
Closed -$432K
DENN
7509
DELISTED
Denny's
DENN
– –
-459
Closed -$6.94K
DELL icon
7510
Dell
DELL
$282B
– –
-160,677
Closed -$4.29M
DES icon
7511
WisdomTree US SmallCap Dividend Fund
DES
$2.19B
– –
-90
Closed -$2K
DFE icon
7512
WisdomTree Europe SmallCap Dividend Fund
DFE
$163M
– –
-136
Closed -$8K
DFS
7513
DELISTED
Discover Financial Services
DFS
– –
-3,813
Closed -$287K
DGX icon
7514
Quest Diagnostics
DGX
$25.4B
– –
-1,230
Closed -$135K
DHI icon
7515
D.R. Horton
DHI
$40.7B
– –
-62,262
Closed -$2.69M
DHR icon
7516
Danaher
DHR
$135B
– –
-10,237
Closed -$932K
DIA icon
7517
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$45.7B
– –
-173,733
Closed -$44.5M
DIG icon
7518
ProShares Ultra Energy
DIG
$71.2M
– –
-2,092
Closed -$114K
DIN icon
7519
Dine Brands
DIN
$432M
– –
-490
Closed -$38K
DLX icon
7520
Deluxe
DLX
$1.2B
– –
-97
Closed -$5.85K
DNLI icon
7521
CALL
Denali Therapeutics
DNLI
$3.65B
– –
-5
Closed -$7K
DNOW icon
7522
DNOW Inc
DNOW
$2.63B
– –
-2,094
Closed -$33.2K
DOX icon
7523
PUT
Amdocs
DOX
$5.55B
– –
-282
Closed -$1.87M
DRD
7524
DRDGold
DRD
$1.82B
$0 ﹤0.01%
3,000
+2,840
+1,775% +$6.51K
DRRX
7525
DELISTED
DURECT Corp
DRRX
$0 ﹤0.01%
34
-877
-96% -$11.9K
299 300
301
302 303

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Simplex Trading's Q3 2018 Portfolio in Review

As of Q3 2018, Simplex Trading held 8,699 positions worth $31.1B, up 22% from $25.5B the previous quarter. Its ten largest holdings account for 34% of the portfolio.

Simplex Trading's Q3 2018 filing shows 1,336 new, 3,066 increased, 2,755 reduced and 1,315 closed positions. Its largest new stake was Invesco QQQ Trust: 371,806 shares worth $69.1M. The largest sale was Berkshire Hathaway Class B, an estimated $47.5M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 1.1% of assets, up from 0.92% a quarter earlier, followed by Communication Services and Technology.

  • Simplex Trading's largest Q3 2018 buy was Invesco QQQ Trust: 371,806 shares worth $69.1M.
  • Simplex Trading added most to Amazon in Q3 2018, an estimated $148M increase.
  • Simplex Trading's biggest Q3 2018 reduction was Apple, cutting an estimated $46M.
  • Simplex Trading fully exited Berkshire Hathaway Class B in Q3 2018, selling an estimated $47.5M.
  • Simplex Trading's ten largest holdings make up 34% of its $31.1B portfolio in Q3 2018.
  • Simplex Trading opened 1,336 new positions and closed 1,315 in Q3 2018.
  • Simplex Trading's portfolio value rose 22% quarter-over-quarter to $31.1B.

Based on Simplex Trading's 13F filing for Q3 2018, filed 23 Oct 2018.