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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
LSCC icon
7601
Lattice Semiconductor
LSCC
$18.9B
– –
-5,139
Closed -$94.1K
LSTA icon
7602
Lisata Therapeutics
LSTA
$19.3M
– –
-1
Closed –
LTC
7603
PUT
LTC Properties
LTC
$2.14B
– –
-31
Closed -$141K
LUMN icon
7604
Lumen
LUMN
$6.73B
– –
-311,190
Closed -$3.7M
LW icon
7605
Lamb Weston
LW
$6.79B
– –
-242
Closed -$16.6K
LXP icon
7606
CALL
LXP Industrial Trust
LXP
$3.53B
– –
-1
Closed -$5K
LYFT icon
7607
Lyft
LYFT
$5.32B
– –
-6,452
Closed -$352K
LYTS icon
7608
LSI Industries
LYTS
$860M
$0 ﹤0.01%
+60
New +$255
MA icon
7609
Mastercard
MA
$469B
– –
-750
Closed -$207K
MARA icon
7610
PUT
Marathon Digital Holdings
MARA
$4.87B
– –
-14
Closed -$4K
MATV icon
7611
Mativ Holdings
MATV
$433M
– –
-156
Closed -$5.38K
MATW icon
7612
Matthews International
MATW
$844M
– –
-1,035
Closed -$36K
MATW icon
7613
PUT
Matthews International
MATW
$844M
– –
-33
Closed -$115K
MCD icon
7614
McDonald's
MCD
$187B
– –
-39,584
Closed -$8.49M
MCHI icon
7615
iShares MSCI China ETF
MCHI
$6.04B
– –
-14,375
Closed -$854K
MCHX icon
7616
CALL
Marchex
MCHX
$74M
– –
-3
Closed -$1K
MCRB icon
7617
Seres Therapeutics
MCRB
$50.6M
– –
-455
Closed -$30.1K
MCS icon
7618
CALL
Marcus Corp
MCS
$731M
– –
-72
Closed -$237K
MDT icon
7619
Medtronic
MDT
$105B
– –
-12,103
Closed -$1.26M
MDU icon
7620
MDU Resources
MDU
$4.42B
– –
-1,886
Closed -$19.3K
MDU icon
7621
PUT
MDU Resources
MDU
$4.42B
– –
-26
Closed -$25K
MED icon
7622
Medifast
MED
$105M
– –
-959
Closed -$103K
LITS
7623
PUT
Lite Strategy Inc
LITS
$33.7M
– –
-89
Closed -$442K
MEOH icon
7624
Methanex
MEOH
$4.49B
– –
-348
Closed -$12.9K
MESO
7625
Mesoblast
MESO
$2.09B
– –
-39
Closed –
303 304
305
306 307

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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.