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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
DSX icon
7526
Diana Shipping
DSX
$280M
– –
-28,366
Closed -$84.8K
DUG icon
7527
ProShares UltraShort Energy
DUG
$19.7M
– –
-144
Closed -$87K
DVA icon
7528
DaVita
DVA
$15.1B
– –
-28,060
Closed -$1.98M
DXPE icon
7529
PUT
DXP Enterprises
DXPE
$2.62B
– –
-11
Closed -$42K
EAF icon
7530
CALL
GrafTech
EAF
$194M
– –
0
– -$3K
EAT icon
7531
Brinker International
EAT
$8.02B
– –
-9,776
Closed -$456K
EBAY icon
7532
eBay
EBAY
$48.6B
– –
-49,601
Closed -$1.72M
EBS icon
7533
Emergent Biosolutions
EBS
$375M
– –
-1,206
Closed -$70.4K
EC icon
7534
Ecopetrol
EC
$32.9B
– –
-4,725
Closed -$105K
ECH icon
7535
iShares MSCI Chile ETF
ECH
$1.01B
– –
-47
Closed -$2K
EEM icon
7536
iShares MSCI Emerging Markets ETF
EEM
$28B
– –
-100
Closed -$4K
EEV icon
7537
ProShares Trust UltraShort MSCI Emerging Markets
EEV
$2.49M
– –
-123
Closed -$11K
EEX
7538
DELISTED
Emerald Holding
EEX
– –
-20
Closed -$348
EFA icon
7539
iShares MSCI EAFE ETF
EFA
$76.4B
– –
-26,656
Closed -$1.78M
EFC
7540
CALL
Ellington Financial
EFC
$1.68B
– –
-1
Closed -$1K
EFU icon
7541
ProShares Trust UltraShort MSCI EAFE
EFU
$1.23M
– –
-100
Closed -$4K
EGY icon
7542
Vaalco Energy
EGY
$594M
– –
-7,971
Closed -$21K
EHTH icon
7543
eHealth
EHTH
$42.5M
– –
-264
Closed -$5K
EHTH icon
7544
PUT
eHealth
EHTH
$42.5M
– –
-1
Closed -$2K
EINC icon
7545
CALL
VanEck Energy Income ETF
EINC
$102M
– –
-2
Closed -$1K
EINC icon
7546
PUT
VanEck Energy Income ETF
EINC
$102M
– –
-2
Closed -$1K
ELME
7547
CALL
Elme Communities
ELME
$132M
– –
-76
Closed -$230K
ELME
7548
Elme Communities
ELME
$132M
$0 ﹤0.01%
24
-1,034
-98% -$31.8K
ENOV icon
7549
PUT
Enovis
ENOV
$1.56B
– –
-62
Closed -$324K
ENTA icon
7550
Enanta Pharmaceuticals
ENTA
$372M
– –
-4,390
Closed -$440K
300 301
302
303 304

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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.