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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
-2.07%
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
$35.2B
AUM Growth
-$1.49B
Cap. Flow
-$310M
Cap. Flow %
-0.88%
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 Consumer Discretionary 0.49%
2 Technology 0.48%
3 Healthcare 0.35%
4 Industrials 0.35%
5 Communication Services 0.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LAKE icon
7576
PUT
Lakeland Industries
LAKE
$107M
– –
-2
Closed -$2K
LAND
7577
Gladstone Land Corp
LAND
$370M
– –
-3,538
Closed -$41.3K
LAZ icon
7578
Lazard
LAZ
$4.24B
– –
-1,994
Closed -$70.6K
LBRT icon
7579
CALL
Liberty Energy
LBRT
$3.2B
– –
-2
Closed -$3K
LBRT icon
7580
Liberty Energy
LBRT
$3.2B
– –
-284
Closed -$4K
LBRT icon
7581
PUT
Liberty Energy
LBRT
$3.2B
– –
-60
Closed -$97K
HAPN
7582
Happen Inc
HAPN
$2.07B
– –
-3,412
Closed -$49.3K
LCTX icon
7583
Lineage Cell Therapeutics
LCTX
$267M
$0 ﹤0.01%
73
-16,951
-100% -$17.6K
LECO icon
7584
Lincoln Electric
LECO
$13.7B
– –
-6,202
Closed -$522K
LEVI icon
7585
Levi Strauss
LEVI
$9.27B
– –
-11,143
Closed -$207K
LGMK
7586
DELISTED
LogicMark
LGMK
– –
0
– –
LHX icon
7587
CALL
L3Harris
LHX
$55.8B
– –
-143
Closed -$432K
LHX icon
7588
PUT
L3Harris
LHX
$55.8B
– –
-159
Closed -$17K
LILA icon
7589
Liberty Latin America Class A
LILA
$1.5B
– –
-15,234
Closed -$168K
LIN icon
7590
Linde
LIN
$234B
– –
-12,943
Closed -$2.51M
LIT icon
7591
Global X Lithium & Battery Tech ETF
LIT
$1.52B
$0 ﹤0.01%
27
-168
-86% -$4.17K
LNN icon
7592
PUT
Lindsay Corp
LNN
$1.15B
– –
-43
Closed -$353K
LNTH icon
7593
PUT
Lantheus
LNTH
$6.75B
– –
-89
Closed -$251K
LOPE icon
7594
Grand Canyon Education
LOPE
$3.69B
– –
-1,958
Closed -$233K
LPCN icon
7595
Lipocine
LPCN
$18.1M
– –
-226
Closed -$9.07K
LPL icon
7596
PUT
LG Display
LPL
$3.37B
– –
-2
Closed -$1K
LPG icon
7597
Dorian LPG
LPG
$1.95B
– –
-2,072
Closed -$20.3K
LPX icon
7598
Louisiana-Pacific
LPX
$5.04B
– –
-26,243
Closed -$646K
LRMR icon
7599
Larimar Therapeutics
LRMR
$417M
– –
-516
Closed -$7K
LRMR icon
7600
PUT
Larimar Therapeutics
LRMR
$417M
– –
-6
Closed -$8K
302 303
304
305 306

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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 Consumer Discretionary at 0.49% of assets, up from 0.26% a quarter earlier, followed by Technology and Healthcare.

  • 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.