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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
PCY icon
7676
Invesco Emerging Markets Sovereign Debt ETF
PCY
$1.38B
– –
-79
Closed -$2K
PDM
7677
Piedmont Realty Trust
PDM
$1.2B
– –
-5
Closed -$98
PEB icon
7678
Pebblebrook Hotel Trust
PEB
$2.15B
– –
-945
Closed –
PEG icon
7679
Public Service Enterprise Group
PEG
$39.8B
– –
-2,274
Closed -$127K
PEN icon
7680
CALL
Penumbra
PEN
$12.5B
– –
-56
Closed -$684K
PFF icon
7681
iShares Preferred and Income Securities ETF
PFF
$13.2B
– –
-55,884
Closed -$1.91M
PFGC icon
7682
CALL
Performance Food Group
PFGC
$17.3B
– –
-1
Closed -$3K
PFGC icon
7683
PUT
Performance Food Group
PFGC
$17.3B
– –
-1
Closed -$3K
PFLT icon
7684
CALL
PennantPark Floating Rate Capital
PFLT
$683M
– –
-4
Closed -$4K
PFLT icon
7685
PennantPark Floating Rate Capital
PFLT
$683M
– –
-1,086
Closed -$12K
PFLT icon
7686
PUT
PennantPark Floating Rate Capital
PFLT
$683M
– –
-14
Closed -$16K
PFSI icon
7687
PennyMac Financial
PFSI
$4.29B
– –
-2,131
Closed -$46.7K
PFX icon
7688
PhenixFIN
PFX
$83.9M
– –
0
– –
PGRE
7689
CALL
DELISTED
Paramount Group
PGRE
– –
-124
Closed -$155K
PHG icon
7690
Philips
PHG
$25.3B
– –
-2,757
Closed -$82.1K
PHM icon
7691
Pultegroup
PHM
$23.7B
– –
-33,137
Closed -$903K
PHX
7692
DELISTED
PHX Minerals
PHX
$0 ﹤0.01%
32
-600
-95% -$9.57K
PJT icon
7693
CALL
PJT Partners
PJT
$4.24B
– –
-1
Closed -$3K
PJT icon
7694
PJT Partners
PJT
$4.24B
$0 ﹤0.01%
7
– –
PK icon
7695
CALL
Park Hotels & Resorts
PK
$2.94B
– –
-11
Closed -$28K
PMT
7696
PennyMac Mortgage Investment
PMT
$835M
– –
-275
Closed -$5.54K
PNW icon
7697
Pinnacle West Capital
PNW
$12.8B
– –
-500
Closed -$45.1K
POOL icon
7698
Pool Corp
POOL
$6.68B
– –
-2,746
Closed -$426K
POR icon
7699
Portland General Electric
POR
$6.06B
– –
-5,413
Closed -$264K
PPH icon
7700
VanEck Pharmaceutical ETF
PPH
$939M
– –
-26
Closed -$1K
306 307
308
309 310

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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.