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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
OSUR icon
7701
PUT
OraSure Technologies
OSUR
$240M
– –
-11
Closed -$10K
OTRK
7702
DELISTED
Ontrak
OTRK
– –
-2
Closed -$3.02K
OVV icon
7703
Ovintiv
OVV
$17.9B
$0 ﹤0.01%
+15,957
New +$365K
OXSQ icon
7704
Oxford Square Capital
OXSQ
$145M
– –
-18
Closed -$115
OXY icon
7705
CALL
Occidental Petroleum
OXY
$60B
– –
-3,800
Closed -$19.1M
OXY icon
7706
Occidental Petroleum
OXY
$60B
$0 ﹤0.01%
50,017
-42,515
-46% -$2.01M
OXY icon
7707
PUT
Occidental Petroleum
OXY
$60B
– –
-4,189
Closed -$21.1M
OZK icon
7708
Bank OZK
OZK
$5.5B
– –
-1,697
Closed -$47.2K
PAA icon
7709
Plains All American Pipeline
PAA
$18.1B
– –
-2,955
Closed -$66.8K
PACB icon
7710
PUT
Pacific Biosciences
PACB
$420M
– –
-15
Closed -$9K
PAG icon
7711
Penske Automotive Group
PAG
$14.4B
– –
-10,067
Closed -$455K
PAG icon
7712
PUT
Penske Automotive Group
PAG
$14.4B
– –
-3
Closed -$14K
PANW icon
7713
Palo Alto Networks
PANW
$272B
– –
-129,150
Closed -$4.57M
PAYX icon
7714
Paychex
PAYX
$43.3B
– –
-9,655
Closed -$802K
PBA icon
7715
Pembina Pipeline
PBA
$28.2B
– –
-8,047
Closed -$298K
PBF icon
7716
PBF Energy
PBF
$8.81B
– –
-10,371
Closed -$265K
PBPB
7717
DELISTED
Potbelly
PBPB
– –
-33
Closed -$148
PCH
7718
DELISTED
PotlatchDeltic
PCH
– –
-709
Closed -$27.5K
PCTY icon
7719
Paylocity
PCTY
$8.08B
– –
-7,925
Closed -$811K
PDS
7720
CALL
Precision Drilling
PDS
$1.16B
– –
0
– -$1K
PEB icon
7721
Pebblebrook Hotel Trust
PEB
$2.03B
$0 ﹤0.01%
+20
New +$549
PEB icon
7722
PUT
Pebblebrook Hotel Trust
PEB
$2.03B
– –
-3
Closed -$8K
PEG icon
7723
Public Service Enterprise Group
PEG
$36.7B
– –
-8
Closed -$478
PEGA icon
7724
Pegasystems
PEGA
$6.14B
– –
-2,316
Closed -$83.8K
PETS icon
7725
PetMed Express
PETS
$39.2M
– –
-4,408
Closed -$72.8K
307 308
309
310 311

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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.