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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
+14.57%
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
$45.7B
AUM Growth
+$10.6B
Cap. Flow
+$229M
Cap. Flow %
0.5%
Top 10 Hldgs %
38.52%
Holding
8,523
New
1,277
Increased
3,072
Reduced
2,710
Closed
1,251

Top Buys

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$70.1M
2
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$46.6M
3
GOOG icon
Alphabet (Google) Class C
GOOG
+$37.4M
4
AMZN icon
Amazon
AMZN
+$37M
5
TSLA icon
Tesla
TSLA
+$28M

Top Sells

Rank Stock Value
1
BABA icon
Alibaba
BABA
+$41M
2
BA icon
Boeing
BA
+$27.8M
3
BIIB icon
Biogen
BIIB
+$18.9M
4
GLD icon
SPDR Gold Trust
GLD
+$18.3M
5
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$13.6M

Sector Composition

Rank Sector Weight
1 Technology 0.75%
2 Consumer Discretionary 0.58%
3 Communication Services 0.33%
4 Healthcare 0.31%
5 Industrials 0.19%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IRT icon
7601
Independence Realty Trust
IRT
$3.87B
$0 ﹤0.01%
61
-3,109
-98% -$45.3K
IRTC icon
7602
iRhythm Holdings
IRTC
$3.54B
– –
-12,503
Closed -$848K
IRWD icon
7603
PUT
Ironwood Pharmaceuticals
IRWD
$624M
– –
-7
Closed -$6K
ITT icon
7604
ITT
ITT
$17.5B
– –
-1,552
Closed -$103K
IWF icon
7605
iShares Russell 1000 Growth ETF
IWF
$123B
– –
-3,500
Closed -$139K
IWN icon
7606
iShares Russell 2000 Value ETF
IWN
$14.3B
– –
-8,872
Closed -$1.06M
IWR icon
7607
iShares Russell Mid-Cap ETF
IWR
$56.5B
– –
-14
Closed –
IWS icon
7608
iShares Russell Mid-Cap Value ETF
IWS
$15.6B
– –
-319
Closed -$28K
IWV icon
7609
iShares Russell 3000 ETF
IWV
$19.5B
– –
-162
Closed -$28K
IYF icon
7610
iShares US Financials ETF
IYF
$4.35B
– –
-10,386
Closed -$668K
IYH icon
7611
iShares US Healthcare ETF
IYH
$3.09B
– –
-1,320
Closed -$49K
JD icon
7612
JD.com
JD
$40.6B
– –
-261,772
Closed -$8.45M
JEF icon
7613
Jefferies Financial Group
JEF
$12.8B
– –
-292
Closed -$5.52K
JHG
7614
DELISTED
Janus Henderson
JHG
– –
-69
Closed -$1K
JILL icon
7615
J. Jill
JILL
$247M
– –
-393
Closed -$3.08K
JILL icon
7616
PUT
J. Jill
JILL
$247M
– –
-2
Closed -$2K
JNK icon
7617
State Street SPDR Bloomberg High Yield Bond ETF
JNK
$7.24B
– –
-19,080
Closed -$2.07M
JNUG icon
7618
Direxion Daily Junior Gold Miners Index Bull 2X ETF
JNUG
$349M
– –
-3,661
Closed -$2.09M
JOE icon
7619
St. Joe Company
JOE
$3.57B
– –
-8,197
Closed -$152K
JOE icon
7620
PUT
St. Joe Company
JOE
$3.57B
– –
-10
Closed -$17K
K
7621
DELISTED
Kellanova
K
– –
-3,352
Closed -$203K
KB icon
7622
CALL
KB Financial Group
KB
$42.4B
– –
-1
Closed -$3K
KBA icon
7623
KraneShares Bosera MSCI China A 50 Connect Index ETF
KBA
$151M
– –
-4,168
Closed -$124K
KBWB icon
7624
Invesco KBW Bank ETF
KBWB
$7.04B
– –
-1,862
Closed -$95K
KEP icon
7625
PUT
Korea Electric Power
KEP
$15.5B
– –
-5
Closed -$5K
303 304
305
306 307

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Simplex Trading's Q4 2019 Portfolio in Review

As of Q4 2019, Simplex Trading held 8,523 positions worth $45.7B, up 30% from $35.2B the previous quarter. Its ten largest holdings account for 39% of the portfolio.

Simplex Trading's Q4 2019 filing shows 1,277 new, 3,072 increased, 2,710 reduced and 1,251 closed positions. Its largest new stake was Apple: 1,090,316 shares worth $80M. The largest sale was Alibaba, an estimated $41M.

By sector, the portfolio is most concentrated in Technology at 0.75% of assets, up from 0.48% a quarter earlier, followed by Consumer Discretionary and Communication Services.

  • Simplex Trading's largest Q4 2019 buy was Apple: 1,090,316 shares worth $80M.
  • Simplex Trading added most to iShares 20+ Year Treasury Bond ETF in Q4 2019, an estimated $46.6M increase.
  • Simplex Trading's biggest Q4 2019 reduction was Alibaba, cutting an estimated $41M.
  • Simplex Trading fully exited Boeing in Q4 2019, selling an estimated $27.8M.
  • Simplex Trading's ten largest holdings make up 39% of its $45.7B portfolio in Q4 2019.
  • Simplex Trading opened 1,277 new positions and closed 1,251 in Q4 2019.
  • Simplex Trading's portfolio value rose 30% quarter-over-quarter to $45.7B.

Based on Simplex Trading's 13F filing for Q4 2019, filed 5 Feb 2020.