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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
-18.41%
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
$34.1B
AUM Growth
+$2.94B
Cap. Flow
-$227M
Cap. Flow %
-0.67%
Top 10 Hldgs %
42.6%
Holding
8,576
New
1,199
Increased
2,701
Reduced
2,877
Closed
1,572

Top Buys

Rank Stock Value
1
IWM icon
iShares Russell 2000 ETF
IWM
+$58.5M
2
GOOG icon
Alphabet (Google) Class C
GOOG
+$56.5M
3
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$44.1M
4
AAPL icon
Apple
AAPL
+$20.3M
5
XOP icon
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
+$12.7M

Top Sells

Rank Stock Value
1
AMZN icon
Amazon
AMZN
+$109M
2
META icon
Meta Platforms (Facebook)
META
+$62.3M
3
QQQ icon
Invesco QQQ Trust
QQQ
+$36.2M
4
GS icon
Goldman Sachs
GS
+$27.1M
5
BA icon
Boeing
BA
+$24.7M

Sector Composition

Rank Sector Weight
1 Miscellaneous 97.5%
2 Communication Services 0.5%
3 Consumer Discretionary 0.49%
4 Technology 0.41%
5 Financials 0.26%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NMM icon
7551
Navios Maritime Partners
NMM
$2.62B
– –
-9
Closed -$184
NMR icon
7552
Nomura Holdings
NMR
$31.1B
$0 ﹤0.01%
12
-583
-98% -$2.62K
NNBR icon
7553
CALL
NN Inc
NNBR
$302M
– –
-15
Closed -$23K
NNBR icon
7554
NN Inc
NNBR
$302M
$0 ﹤0.01%
+11
New +$106
NOA
7555
North American Construction
NOA
$359M
– –
-565
Closed -$5.57K
NOA
7556
PUT
North American Construction
NOA
$359M
– –
-4
Closed -$3K
NOMD icon
7557
Nomad Foods
NOMD
$1.63B
– –
-34,452
Closed -$655K
NOV icon
7558
NOV
NOV
$7.63B
– –
-12,026
Closed -$416K
NRP icon
7559
Natural Resource Partners
NRP
$1.51B
– –
-749
Closed -$26.2K
NSA
7560
CALL
DELISTED
National Storage Affiliates Trust
NSA
– –
-6
Closed -$15K
NSIT icon
7561
CALL
Insight Enterprises
NSIT
$4.72B
– –
-31
Closed -$167K
NTCT icon
7562
CALL
NETSCOUT
NTCT
$2.71B
– –
-29
Closed -$73K
NTCT icon
7563
NETSCOUT
NTCT
$2.71B
– –
-12,599
Closed -$317K
NTES icon
7564
NetEase
NTES
$76.4B
– –
-32,885
Closed -$1.48M
NTGR icon
7565
CALL
NETGEAR
NTGR
$579M
– –
-49
Closed -$307K
NTWK icon
7566
NetSol Technologies
NTWK
$48.5M
– –
-788
Closed -$5.66K
NUS icon
7567
Nu Skin
NUS
$236M
– –
-1,454
Closed -$98.1K
NVEE
7568
CALL
DELISTED
NV5 Global
NVEE
– –
-8
Closed -$17K
NVEE
7569
DELISTED
NV5 Global
NVEE
– –
-4,408
Closed -$95K
NVMI
7570
PUT
Nova
NVMI
$11.8B
– –
-1
Closed -$2K
NVO
7571
Novo Nordisk
NVO
$206B
– –
-12,398
Closed -$276K
NVT icon
7572
nVent Electric
NVT
$25.3B
– –
-1,352
Closed -$32.7K
NWBI icon
7573
PUT
Northwest Bancshares
NWBI
$2.29B
– –
-10
Closed -$17K
NWL icon
7574
Newell Brands
NWL
$2.6B
– –
-93,681
Closed -$1.86M
NWSA icon
7575
News Corp Class A
NWSA
$16.3B
– –
-62,388
Closed -$822K
301 302
303
304 305

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Simplex Trading's Q4 2018 Portfolio in Review

As of Q4 2018, Simplex Trading held 8,576 positions worth $34.1B, up 9.5% from $31.1B the previous quarter. Its ten largest holdings account for 43% of the portfolio.

Simplex Trading's Q4 2018 filing shows 1,199 new, 2,701 increased, 2,877 reduced and 1,572 closed positions. Its largest new stake was State Street SPDR S&P 500 ETF Trust: 163,699 shares worth $40.9M. The largest sale was Amazon, an estimated $109M.

By sector, the portfolio is most concentrated in Miscellaneous at 97% of assets, up from 95% a quarter earlier, followed by Communication Services and Consumer Discretionary.

  • Simplex Trading's largest Q4 2018 buy was State Street SPDR S&P 500 ETF Trust: 163,699 shares worth $40.9M.
  • Simplex Trading added most to iShares Russell 2000 ETF in Q4 2018, an estimated $58.5M increase.
  • Simplex Trading's biggest Q4 2018 reduction was Amazon, cutting an estimated $109M.
  • Simplex Trading fully exited Meta Platforms (Facebook) in Q4 2018, selling an estimated $62.3M.
  • Simplex Trading's ten largest holdings make up 43% of its $34.1B portfolio in Q4 2018.
  • Simplex Trading opened 1,199 new positions and closed 1,572 in Q4 2018.
  • Simplex Trading's portfolio value rose 9.5% quarter-over-quarter to $34.1B.

Based on Simplex Trading's 13F filing for Q4 2018, filed 16 Jan 2019.