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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
HRB icon
7501
H&R Block
HRB
$5.06B
– –
-18,499
Closed -$490K
HSIC icon
7502
Henry Schein
HSIC
$9.63B
– –
-3,481
Closed -$225K
HSII
7503
DELISTED
Heidrick & Struggles
HSII
– –
-620
Closed -$17.4K
HSII
7504
PUT
DELISTED
Heidrick & Struggles
HSII
– –
-16
Closed -$47K
HTGC icon
7505
Hercules Capital
HTGC
$2.93B
– –
-1,519
Closed -$19K
HTLD icon
7506
Heartland Express
HTLD
$1.15B
– –
-178
Closed -$3.57K
HUBG icon
7507
HUB Group
HUBG
$3.01B
– –
-1,310
Closed -$27.8K
HUBG icon
7508
PUT
HUB Group
HUBG
$3.01B
– –
-958
Closed -$2.01M
HURN icon
7509
CALL
Huron Consulting
HURN
$1.77B
– –
-11
Closed -$55K
HVT icon
7510
Haverty Furniture Companies
HVT
$398M
$0 ﹤0.01%
+14
New +$264
HZO icon
7511
PUT
MarineMax
HZO
$739M
– –
-10
Closed -$16K
IAI icon
7512
iShares US Broker-Dealers & Securities Exchanges ETF
IAI
$1.36B
– –
-120
Closed -$7K
IAT icon
7513
iShares US Regional Banks ETF
IAT
$680M
– –
-255
Closed -$11K
IBKR icon
7514
Interactive Brokers
IBKR
$40.9B
– –
-28,136
Closed -$350K
IBRX icon
7515
ImmunityBio
IBRX
$7.75B
– –
-15,656
Closed -$19.4K
IBRX icon
7516
PUT
ImmunityBio
IBRX
$7.75B
– –
-162
Closed -$16K
ICAD
7517
DELISTED
iCAD Inc
ICAD
– –
-871
Closed -$5.69K
ICAD
7518
PUT
DELISTED
iCAD Inc
ICAD
– –
-4
Closed -$2K
IDN icon
7519
CALL
Intellicheck
IDN
$74.3M
– –
-13
Closed -$7K
IDN icon
7520
PUT
Intellicheck
IDN
$74.3M
– –
-10
Closed -$5K
IDV icon
7521
iShares International Select Dividend ETF
IDV
$8.23B
– –
-1,189
Closed -$36K
IGC icon
7522
IGC Pharma
IGC
$27.7M
– –
-9,193
Closed -$11.1K
IGC icon
7523
PUT
IGC Pharma
IGC
$27.7M
– –
-215
Closed -$35K
IGV icon
7524
iShares Expanded Tech-Software Sector ETF
IGV
$12.9B
– –
-48,965
Closed -$2.14M
IHF icon
7525
iShares US Healthcare Providers ETF
IHF
$1.18B
– –
-4,525
Closed -$155K
299 300
301
302 303

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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.