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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
-2.07%
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
$35.2B
AUM Growth
-$1.49B
Cap. Flow
-$61.7M
Cap. Flow %
-0.18%
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 Miscellaneous 97.54%
2 Consumer Discretionary 0.49%
3 Technology 0.48%
4 Healthcare 0.37%
5 Industrials 0.35%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IYW icon
7551
iShares US Technology ETF
IYW
$25.1B
– –
-5,292
Closed -$261K
JBGS
7552
CALL
JBG SMITH
JBGS
$685M
– –
-3
Closed -$11K
JBGS
7553
JBG SMITH
JBGS
$685M
– –
-796
Closed -$31.1K
JBGS
7554
PUT
JBG SMITH
JBGS
$685M
– –
-1
Closed -$3K
JELD icon
7555
JELD-WEN Holding
JELD
$200M
– –
-8
Closed -$155
JLL icon
7556
Jones Lang LaSalle
JLL
$16.7B
– –
-590
Closed -$81.7K
JPM icon
7557
JPMorgan Chase
JPM
$953B
– –
-84,205
Closed -$9.52M
KEP icon
7558
Korea Electric Power
KEP
$15.3B
$0 ﹤0.01%
3
-370
-99% -$4.02K
KEX icon
7559
Kirby Corp
KEX
$7.43B
– –
-2,844
Closed -$218K
KFRC icon
7560
Kforce
KFRC
$977M
– –
-3,052
Closed -$105K
KFRC icon
7561
PUT
Kforce
KFRC
$977M
– –
-38
Closed -$133K
KFY icon
7562
Korn Ferry
KFY
$4.38B
– –
-738
Closed -$28.5K
KIE icon
7563
State Street SPDR S&P Insurance ETF
KIE
$642M
– –
-2
Closed –
KLIC icon
7564
Kulicke & Soffa
KLIC
$4.27B
– –
-441
Closed -$9.69K
KNOP icon
7565
KNOT Offshore Partners
KNOP
$394M
– –
-767
Closed -$14.6K
KNX icon
7566
Knight Transportation
KNX
$11.7B
– –
-12,096
Closed -$420K
KODK icon
7567
PUT
Kodak
KODK
$909M
– –
-80
Closed -$19K
KOF icon
7568
Coca-Cola Femsa
KOF
$23.5B
– –
-2,272
Closed -$138K
KOF icon
7569
PUT
Coca-Cola Femsa
KOF
$23.5B
– –
-40
Closed -$248K
KOPN icon
7570
CALL
Kopin
KOPN
$796M
– –
-15
Closed -$1K
KR icon
7571
Kroger
KR
$35.9B
– –
-37,037
Closed -$862K
KSA icon
7572
iShares MSCI Saudi Arabia ETF
KSA
$635M
– –
-22,470
Closed -$741K
KW
7573
DELISTED
Kennedy-Wilson Holdings
KW
– –
-41
Closed -$873
KWR icon
7574
CALL
Quaker Houghton
KWR
$2.78B
– –
-1
Closed -$20K
LAKE icon
7575
Lakeland Industries
LAKE
$118M
– –
-256
Closed -$2K
301 302
303
304 305

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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 Miscellaneous at 98% of assets, up from 97% a quarter earlier, followed by Consumer Discretionary and Technology.

  • 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.