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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
-2.07%
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
$35.2B
AUM Growth
-$1.49B
Cap. Flow
-$61.7M
Cap. Flow %
-0.18%
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 Miscellaneous 97.54%
2 Consumer Discretionary 0.49%
3 Technology 0.48%
4 Healthcare 0.37%
5 Industrials 0.35%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MSB
7651
Mesabi Trust
MSB
$314M
– –
-547
Closed -$14K
MSEX icon
7652
CALL
Middlesex Water
MSEX
$1.1B
– –
-2
Closed -$11K
MSM icon
7653
MSC Industrial Direct
MSM
$6.78B
– –
-5,064
Closed -$355K
MT icon
7654
ArcelorMittal
MT
$59.4B
– –
-579
Closed -$8.89K
MTRN icon
7655
PUT
Materion
MTRN
$5.09B
– –
-1
Closed -$6K
MTRX icon
7656
PUT
Matrix Service
MTRX
$300M
– –
-20
Closed -$40K
MTUM icon
7657
iShares MSCI USA Momentum Factor ETF
MTUM
$24.6B
– –
-3,486
Closed -$413K
MTX icon
7658
CALL
Minerals Technologies
MTX
$2.23B
– –
-75
Closed -$401K
MTX icon
7659
Minerals Technologies
MTX
$2.23B
– –
-80
Closed -$4K
MX icon
7660
PUT
Magnachip Semiconductor
MX
$113M
– –
-3
Closed -$3K
MYND
7661
Mynd.ai
MYND
$18.6M
– –
-100
Closed -$6K
NBHC icon
7662
CALL
National Bank Holdings
NBHC
$1.87B
– –
-472
Closed -$1.71M
NCMI icon
7663
National CineMedia
NCMI
$233M
– –
-39
Closed -$2.91K
NEU icon
7664
PUT
NewMarket
NEU
$8.14B
– –
-2
Closed -$80K
NFBK
7665
DELISTED
Northfield Bancorp
NFBK
– –
-1
Closed -$16
NFBK
7666
PUT
DELISTED
Northfield Bancorp
NFBK
– –
-41
Closed -$64K
NGS icon
7667
CALL
Natural Gas Services Group
NGS
$469M
– –
-10
Closed -$16K
NGVC icon
7668
PUT
Vitamin Cottage Natural Grocers
NGVC
$644M
– –
-2
Closed -$2K
NGVT icon
7669
CALL
Ingevity
NGVT
$2.43B
– –
-1
Closed -$10K
NI icon
7670
PUT
NiSource
NI
$19.8B
– –
-306
Closed -$881K
NNBR icon
7671
PUT
NN Inc
NNBR
$302M
– –
-67
Closed -$65K
NOA
7672
PUT
North American Construction
NOA
$359M
– –
-4
Closed -$4K
NRG icon
7673
NRG Energy
NRG
$25B
– –
-38,872
Closed -$1.4M
NSA
7674
CALL
DELISTED
National Storage Affiliates Trust
NSA
– –
-4
Closed -$11K
NSIT icon
7675
Insight Enterprises
NSIT
$4.72B
– –
-230
Closed -$12.2K
305 306
307
308 309

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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 Miscellaneous at 98% of assets, up from 97% a quarter earlier, followed by Consumer Discretionary and Technology.

  • 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.