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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
PRQR icon
7701
CALL
ProQR Therapeutics
PRQR
$253M
– –
-1
Closed -$1K
PRQR icon
7702
ProQR Therapeutics
PRQR
$253M
$0 ﹤0.01%
+52
New +$777
PSO icon
7703
CALL
Pearson
PSO
$9.63B
– –
-56
Closed -$66K
PSQ icon
7704
ProShares Short QQQ
PSQ
$686M
– –
-1,050
Closed -$180K
PTC icon
7705
PTC
PTC
$13.1B
– –
-15,243
Closed -$1.35M
BCIC
7706
BCP Investment Corp
BCIC
$86M
$0 ﹤0.01%
+26
New +$923
PULM icon
7707
Pulmatrix
PULM
$6.46M
– –
-3
Closed -$100
PUMP icon
7708
ProPetro Holding
PUMP
$1.51B
– –
-5,022
Closed -$89.9K
PXLW icon
7709
PUT
Pixelworks
PXLW
$38.2M
– –
-2
Closed -$6K
QCOM icon
7710
Qualcomm
QCOM
$180B
– –
-10,084
Closed -$544K
QGEN icon
7711
Qiagen
QGEN
$8.55B
– –
-1,525
Closed -$61.3K
QLYS icon
7712
Qualys
QLYS
$4.71B
– –
-768
Closed -$63.9K
QMCO icon
7713
Quantum Corp
QMCO
$455M
– –
-834
Closed -$28.1K
RBA icon
7714
RB Global
RBA
$20.3B
– –
-881
Closed -$31K
RBA icon
7715
PUT
RB Global
RBA
$20.3B
– –
-63
Closed -$206K
RCI icon
7716
Rogers Communications
RCI
$17.6B
– –
-454
Closed -$24.5K
RDI icon
7717
Reading International Class A
RDI
$32.5M
– –
-13,140
Closed -$209K
RDI icon
7718
PUT
Reading International Class A
RDI
$32.5M
– –
-2
Closed -$2K
RDNT icon
7719
RadNet
RDNT
$4.8B
– –
-252
Closed -$3.31K
RDWR icon
7720
PUT
Radware
RDWR
$1.22B
– –
-317
Closed -$719K
REG icon
7721
Regency Centers
REG
$14.9B
– –
-598
Closed -$38.2K
REW icon
7722
Proshares UltraShort Technology
REW
$3.37M
– –
-6
Closed -$10K
REXR icon
7723
Rexford Industrial Realty
REXR
$8.12B
$0 ﹤0.01%
+2
New +$67
RGEN icon
7724
Repligen
RGEN
$7.76B
$0 ﹤0.01%
14
-4,666
-100% -$268K
RGA icon
7725
CALL
Reinsurance Group of America
RGA
$15.3B
– –
-66
Closed -$925K
307 308
309
310 311

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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.