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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
+14.57%
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
$45.7B
AUM Growth
+$10.6B
Cap. Flow
+$377M
Cap. Flow %
0.82%
Top 10 Hldgs %
38.52%
Holding
8,523
New
1,277
Increased
3,072
Reduced
2,710
Closed
1,251

Top Buys

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$70.1M
2
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$46.6M
3
GOOG icon
Alphabet (Google) Class C
GOOG
+$37.4M
4
AMZN icon
Amazon
AMZN
+$37M
5
TSLA icon
Tesla
TSLA
+$28M

Top Sells

Rank Stock Value
1
BABA icon
Alibaba
BABA
+$41M
2
BA icon
Boeing
BA
+$27.8M
3
BIIB icon
Biogen
BIIB
+$18.9M
4
GLD icon
SPDR Gold Trust
GLD
+$18.3M
5
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$13.6M

Sector Composition

Rank Sector Weight
1 Miscellaneous 97.26%
2 Technology 0.76%
3 Consumer Discretionary 0.58%
4 Communication Services 0.34%
5 Healthcare 0.32%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HR icon
7551
PUT
Healthcare Realty
HR
$6.55B
– –
-23
Closed -$67K
HRL icon
7552
Hormel Foods
HRL
$11.9B
– –
-1,500
Closed -$64.6K
HSII
7553
CALL
DELISTED
Heidrick & Struggles
HSII
– –
-33
Closed -$90K
HTBK
7554
CALL
DELISTED
Heritage Commerce
HTBK
– –
-38
Closed -$44K
HTBK
7555
DELISTED
Heritage Commerce
HTBK
– –
-2,994
Closed -$35K
HTHT icon
7556
Huazhu Hotels Group
HTHT
$14.1B
– –
-317
Closed -$11.4K
HTLD icon
7557
CALL
Heartland Express
HTLD
$962M
– –
-5
Closed -$10K
HTLD icon
7558
PUT
Heartland Express
HTLD
$962M
– –
-7
Closed -$15K
HUN icon
7559
Huntsman Corp
HUN
$1.69B
– –
-17,411
Closed -$403K
HVT icon
7560
Haverty Furniture Companies
HVT
$445M
– –
-14
Closed -$283
HWKN icon
7561
PUT
Hawkins
HWKN
$2.7B
– –
-18
Closed -$38K
HY icon
7562
CALL
Hyster-Yale Materials Handling
HY
$641M
– –
-2
Closed -$10K
HYD icon
7563
VanEck High Yield Muni ETF
HYD
$4.26B
– –
-100
Closed -$6K
PPLI
7564
People Inc
PPLI
$2.9B
– –
-632
Closed -$25.5K
IBB icon
7565
iShares Biotechnology ETF
IBB
$10.7B
– –
-13,721
Closed -$1.36M
IBCP icon
7566
PUT
Independent Bank Corp
IBCP
$830M
– –
-25
Closed -$53K
IBOC icon
7567
International Bancshares
IBOC
$4.47B
$0 ﹤0.01%
+15
New +$622
ICF icon
7568
iShares Select U.S. REIT ETF
ICF
$2.01B
– –
-646
Closed -$38K
ICLR icon
7569
Icon
ICLR
$12.7B
– –
-3,089
Closed -$476K
IDCC icon
7570
InterDigital
IDCC
$8.72B
– –
-236
Closed -$13K
IDT icon
7571
IDT Corp
IDT
$1.71B
– –
-719
Closed -$5.17K
IFF icon
7572
International Flavors & Fragrances
IFF
$22B
– –
-11,278
Closed -$1.44M
IFN
7573
Aberdeen India Fund
IFN
$490M
– –
-1,550
Closed -$31K
IFN
7574
PUT
Aberdeen India Fund
IFN
$490M
– –
-35
Closed -$71K
IGC icon
7575
CALL
IGC Pharma
IGC
$30.8M
– –
-57
Closed -$5K
301 302
303
304 305

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Simplex Trading's Q4 2019 Portfolio in Review

As of Q4 2019, Simplex Trading held 8,523 positions worth $45.7B, up 30% from $35.2B the previous quarter. Its ten largest holdings account for 39% of the portfolio.

Simplex Trading's Q4 2019 filing shows 1,277 new, 3,072 increased, 2,710 reduced and 1,251 closed positions. Its largest new stake was Apple: 1,090,316 shares worth $80M. The largest sale was Alibaba, an estimated $41M.

By sector, the portfolio is most concentrated in Miscellaneous at 97% of assets, down from 98% a quarter earlier, followed by Technology and Consumer Discretionary.

  • Simplex Trading's largest Q4 2019 buy was Apple: 1,090,316 shares worth $80M.
  • Simplex Trading added most to iShares 20+ Year Treasury Bond ETF in Q4 2019, an estimated $46.6M increase.
  • Simplex Trading's biggest Q4 2019 reduction was Alibaba, cutting an estimated $41M.
  • Simplex Trading fully exited Boeing in Q4 2019, selling an estimated $27.8M.
  • Simplex Trading's ten largest holdings make up 39% of its $45.7B portfolio in Q4 2019.
  • Simplex Trading opened 1,277 new positions and closed 1,251 in Q4 2019.
  • Simplex Trading's portfolio value rose 30% quarter-over-quarter to $45.7B.

Based on Simplex Trading's 13F filing for Q4 2019, filed 5 Feb 2020.