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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
PDFS icon
7601
CALL
PDF Solutions
PDFS
$1.93B
– –
-6
Closed -$5K
PDM
7602
Piedmont Realty Trust
PDM
$1.21B
$0 ﹤0.01%
5
-1,539
-100% -$28K
PDS
7603
Precision Drilling
PDS
$1.16B
– –
-717
Closed -$35.5K
PEB icon
7604
Pebblebrook Hotel Trust
PEB
$2.03B
$0 ﹤0.01%
+945
New +$31.4K
PENN icon
7605
CALL
PENN Entertainment
PENN
$2.29B
– –
-14
Closed -$46K
PENN icon
7606
PENN Entertainment
PENN
$2.29B
– –
-18,651
Closed -$443K
PENN icon
7607
PUT
PENN Entertainment
PENN
$2.29B
– –
-102
Closed -$335K
PETS icon
7608
PetMed Express
PETS
$39.2M
– –
-6,237
Closed -$166K
PFG icon
7609
Principal Financial Group
PFG
$25B
– –
-600
Closed -$29.5K
PFGC icon
7610
Performance Food Group
PFGC
$15.5B
– –
-91
Closed -$2.89K
PFX icon
7611
CALL
PhenixFIN
PFX
$88.8M
– –
-21
Closed -$163K
PFX icon
7612
PhenixFIN
PFX
$88.8M
– –
0
– –
PGEN icon
7613
Precigen
PGEN
$2.54B
– –
-52,420
Closed -$587K
PGF icon
7614
Invesco Financial Preferred ETF
PGF
$650M
– –
-13
Closed –
PHO icon
7615
Invesco Water Resources ETF
PHO
$2B
– –
-634
Closed -$20K
PICK icon
7616
iShares MSCI Global Metals & Mining Producers ETF
PICK
$2.6B
– –
-677
Closed -$22K
PIPR icon
7617
CALL
Piper Sandler
PIPR
$5.44B
– –
-32
Closed -$61K
PIPR icon
7618
Piper Sandler
PIPR
$5.44B
– –
-412
Closed -$7K
PJT icon
7619
PJT Partners
PJT
$4.67B
$0 ﹤0.01%
+7
New +$314
PJP icon
7620
Invesco Pharmaceuticals ETF
PJP
$557M
– –
-14
Closed -$1K
PLAB icon
7621
PUT
Photronics
PLAB
$1.72B
– –
-12
Closed -$11K
PLAY icon
7622
Dave & Buster's
PLAY
$303M
– –
-931
Closed -$52.3K
PLCE icon
7623
Children's Place
PLCE
$62.5M
– –
-3,499
Closed -$436K
PLNT icon
7624
Planet Fitness
PLNT
$3.84B
– –
-18,043
Closed -$925K
PLOW icon
7625
Douglas Dynamics
PLOW
$976M
– –
-1,676
Closed -$65.7K
303 304
305
306 307

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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.