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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
-2.07%
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
$35.2B
AUM Growth
-$1.49B
Cap. Flow
-$310M
Cap. Flow %
-0.88%
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 Consumer Discretionary 0.49%
2 Technology 0.48%
3 Healthcare 0.35%
4 Industrials 0.35%
5 Communication Services 0.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PFGC icon
7726
CALL
Performance Food Group
PFGC
$17.2B
– –
-3
Closed -$12K
PFSI icon
7727
PennyMac Financial
PFSI
$4.26B
– –
-3,894
Closed -$105K
PFX icon
7728
CALL
PhenixFIN
PFX
$83.9M
– –
-3
Closed -$11K
PFX icon
7729
PhenixFIN
PFX
$83.9M
$0 ﹤0.01%
+18
New +$931
PGR icon
7730
Progressive
PGR
$120B
– –
-26,813
Closed -$2.11M
PHX
7731
DELISTED
PHX Minerals
PHX
$0 ﹤0.01%
+10
New +$122
IMVP
7732
PUT
Invesco India ETF
IMVP
$121M
– –
-19
Closed -$48K
PKE icon
7733
Park Aerospace
PKE
$752M
– –
-32
Closed -$557
PKE icon
7734
PUT
Park Aerospace
PKE
$752M
– –
-2
Closed -$3K
PLD icon
7735
Prologis
PLD
$136B
– –
-26,618
Closed -$2.2M
PM icon
7736
Philip Morris
PM
$296B
– –
-7,605
Closed -$603K
PNFP icon
7737
PUT
Pinnacle Financial Partners Inc
PNFP
$14.7B
– –
-15
Closed -$86K
PNNT
7738
CALL
Pennant Park Investment Corp
PNNT
$211M
– –
-20
Closed -$12K
PNNT
7739
PUT
Pennant Park Investment Corp
PNNT
$211M
– –
-3
Closed -$1K
POOL icon
7740
CALL
Pool Corp
POOL
$6.86B
– –
-171
Closed -$3.27M
PPG icon
7741
PPG Industries
PPG
$25.3B
– –
-9,260
Closed -$1.07M
PRA
7742
DELISTED
ProAssurance
PRA
– –
-501
Closed -$19.4K
PRA
7743
PUT
DELISTED
ProAssurance
PRA
– –
-1
Closed -$3K
PRAA icon
7744
PRA Group
PRAA
$611M
– –
-2,427
Closed -$77.3K
PRDO icon
7745
Perdoceo Education
PRDO
$1.9B
– –
-5,816
Closed -$114K
PRGS icon
7746
Progress Software
PRGS
$1.52B
– –
-7,520
Closed -$302K
PRGO icon
7747
Perrigo
PRGO
$1.39B
– –
-3,303
Closed -$168K
PRQR icon
7748
ProQR Therapeutics
PRQR
$251M
$0 ﹤0.01%
+100
New +$799
PST icon
7749
ProShares Trust UltraShort Lehman 7-10 Year Treasury
PST
$10.6M
– –
-510
Closed -$9K
PTC icon
7750
PTC
PTC
$13.1B
– –
-14,377
Closed -$1.05M
308 309
310
311 312

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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 Consumer Discretionary at 0.49% of assets, up from 0.26% a quarter earlier, followed by Technology and Healthcare.

  • 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.