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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
NEE icon
7601
NextEra Energy
NEE
$187B
– –
-20,688
Closed -$946K
NEOG icon
7602
CALL
Neogen
NEOG
$2.09B
– –
-8
Closed -$22K
NERV icon
7603
CALL
Minerva Neurosciences
NERV
$207M
– –
-2
Closed -$9K
NG icon
7604
PUT
NovaGold Resources
NG
$2.6B
– –
-52
Closed -$20K
NGNE icon
7605
CALL
Neurogene
NGNE
$710M
– –
-28
Closed -$120K
NGS icon
7606
PUT
Natural Gas Services Group
NGS
$501M
– –
-16
Closed -$26K
NMFC icon
7607
New Mountain Finance
NMFC
$644M
– –
-979
Closed -$13.3K
NMR icon
7608
Nomura Holdings
NMR
$28.6B
$0 ﹤0.01%
12
– –
NNBR icon
7609
NN Inc
NNBR
$264M
– –
-11
Closed -$98
NNI icon
7610
CALL
Nelnet
NNI
$4.73B
– –
-33
Closed -$172K
NNI icon
7611
Nelnet
NNI
$4.73B
– –
-3,804
Closed -$204K
NNN icon
7612
NNN REIT
NNN
$9.25B
– –
-4,642
Closed -$241K
NOAH
7613
PUT
Noah Holdings
NOAH
$593M
– –
-17
Closed -$73K
NOK icon
7614
Nokia
NOK
$54.3B
– –
-44,401
Closed -$272K
NOVT icon
7615
CALL
Novanta
NOVT
$5.1B
– –
-3
Closed -$18K
NPO icon
7616
Enpro
NPO
$7.12B
– –
-595
Closed -$39.2K
NRT
7617
North European Oil Royalty Trust
NRT
$78.2M
$0 ﹤0.01%
+29
New +$197
NSA
7618
DELISTED
National Storage Affiliates Trust
NSA
– –
-262
Closed -$7.26K
NSA
7619
PUT
DELISTED
National Storage Affiliates Trust
NSA
– –
-1
Closed -$2K
NSC icon
7620
Norfolk Southern
NSC
$78.3B
– –
-16,798
Closed -$2.91M
NSIT icon
7621
Insight Enterprises
NSIT
$3.49B
– –
-1,857
Closed -$93.6K
NTR icon
7622
Nutrien
NTR
$32.9B
– –
-11,746
Closed -$612K
NTRS icon
7623
Northern Trust
NTRS
$21.9B
– –
-4,396
Closed -$396K
NVAX icon
7624
Novavax
NVAX
$1.29B
– –
-3,977
Closed -$126K
NVCR icon
7625
NovoCure
NVCR
$2.32B
– –
-7,243
Closed -$349K
303 304
305
306 307

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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.