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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
+17.83%
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
$36B
AUM Growth
+$1.89B
Cap. Flow
-$586M
Cap. Flow %
-1.63%
Top 10 Hldgs %
34.84%
Holding
8,479
New
1,472
Increased
3,049
Reduced
2,419
Closed
1,324

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$86.9M
2
DIS icon
Walt Disney
DIS
+$25.5M
3
BIDU icon
Baidu
BIDU
+$12.3M
4
GOOGL icon
Alphabet (Google) Class A
GOOGL
+$12.3M
5
RHT
Red Hat Inc
RHT
+$11.4M

Top Sells

Rank Stock Value
1
AMZN icon
Amazon
AMZN
+$66M
2
IWM icon
iShares Russell 2000 ETF
IWM
+$60.3M
3
GOOG icon
Alphabet (Google) Class C
GOOG
+$33.9M
4
AAPL icon
Apple
AAPL
+$21.1M
5
XLF icon
State Street Financial Select Sector SPDR ETF
XLF
+$18.2M

Sector Composition

Rank Sector Weight
1 Communication Services 0.58%
2 Technology 0.42%
3 Healthcare 0.34%
4 Consumer Discretionary 0.29%
5 Industrials 0.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MSB
7576
Mesabi Trust
MSB
$299M
– –
-190
Closed -$5.44K
MSEX icon
7577
PUT
Middlesex Water
MSEX
$1.05B
– –
-4
Closed -$21K
MSGS icon
7578
Madison Square Garden
MSGS
$9.49B
– –
-1,161
Closed -$236K
MSI icon
7579
Motorola Solutions
MSI
$67.6B
– –
-1,481
Closed -$192K
MSM icon
7580
CALL
MSC Industrial Direct
MSM
$7.03B
– –
-2
Closed -$15K
MTD icon
7581
Mettler-Toledo International
MTD
$26.9B
– –
-10
Closed -$6.5K
MTB icon
7582
M&T Bank
MTB
$35.6B
– –
-297
Closed -$48.8K
MTSI icon
7583
MACOM Technology Solutions
MTSI
$21.6B
– –
-12,050
Closed -$210K
MTW icon
7584
Manitowoc
MTW
$503M
– –
-129
Closed -$2.15K
MTX icon
7585
Minerals Technologies
MTX
$2.27B
– –
-364
Closed -$20.8K
MTX icon
7586
PUT
Minerals Technologies
MTX
$2.27B
– –
-5
Closed -$25K
MU icon
7587
Micron Technology
MU
$1.12T
– –
-158,503
Closed -$6.12M
MUFG icon
7588
Mitsubishi UFJ Financial
MUFG
$255B
– –
-244
Closed -$1.27K
MVO
7589
CALL
MV Oil Trust
MVO
$6.89M
– –
-23
Closed -$16K
MWA icon
7590
Mueller Water Products
MWA
$3.89B
– –
-2,245
Closed -$22.6K
MWA icon
7591
PUT
Mueller Water Products
MWA
$3.89B
– –
-18
Closed -$16K
MX icon
7592
Magnachip Semiconductor
MX
$133M
– –
-5,706
Closed -$40.6K
MYE icon
7593
Myers Industries
MYE
$1.16B
– –
-4,679
Closed -$79.5K
NAK
7594
Northern Dynasty Minerals
NAK
$958M
$0 ﹤0.01%
398
-4,402
-92% -$3.44K
NAT icon
7595
Nordic American Tanker
NAT
$1.36B
– –
-2,819
Closed -$5.94K
NAVI icon
7596
Navient
NAVI
$793M
– –
-13,100
Closed -$150K
NBTB icon
7597
CALL
NBT Bancorp
NBTB
$2.67B
– –
-20
Closed -$69K
NCLH icon
7598
Norwegian Cruise Line
NCLH
$8.59B
– –
-11,528
Closed -$594K
NCMI icon
7599
National CineMedia
NCMI
$350M
– –
-901
Closed -$64.6K
NDAQ icon
7600
Nasdaq
NDAQ
$51.1B
– –
-12,744
Closed -$363K
302 303
304
305 306

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Simplex Trading's Q1 2019 Portfolio in Review

As of Q1 2019, Simplex Trading held 8,479 positions worth $36B, up 5.5% from $34.1B the previous quarter. Its ten largest holdings account for 35% of the portfolio.

Simplex Trading's Q1 2019 filing shows 1,472 new, 3,049 increased, 2,419 reduced and 1,324 closed positions. Its largest new stake was Walt Disney: 228,471 shares worth $25.4M. The largest sale was Amazon, an estimated $66M.

By sector, the portfolio is most concentrated in Communication Services at 0.58% of assets, up from 0.49% a quarter earlier, followed by Technology and Healthcare.

  • Simplex Trading's largest Q1 2019 buy was Walt Disney: 228,471 shares worth $25.4M.
  • Simplex Trading added most to Invesco QQQ Trust in Q1 2019, an estimated $86.9M increase.
  • Simplex Trading's biggest Q1 2019 reduction was iShares Russell 2000 ETF, cutting an estimated $60.3M.
  • Simplex Trading fully exited Amazon in Q1 2019, selling an estimated $66M.
  • Simplex Trading's ten largest holdings make up 35% of its $36B portfolio in Q1 2019.
  • Simplex Trading opened 1,472 new positions and closed 1,324 in Q1 2019.
  • Simplex Trading's portfolio value rose 5.5% quarter-over-quarter to $36B.

Based on Simplex Trading's 13F filing for Q1 2019, filed 18 Apr 2019.