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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
+14.57%
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
$45.7B
AUM Growth
+$10.6B
Cap. Flow
+$377M
Cap. Flow %
0.82%
Top 10 Hldgs %
38.52%
Holding
8,523
New
1,277
Increased
3,072
Reduced
2,710
Closed
1,251

Top Buys

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$70.1M
2
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$46.6M
3
GOOG icon
Alphabet (Google) Class C
GOOG
+$37.4M
4
AMZN icon
Amazon
AMZN
+$37M
5
TSLA icon
Tesla
TSLA
+$28M

Top Sells

Rank Stock Value
1
BABA icon
Alibaba
BABA
+$41M
2
BA icon
Boeing
BA
+$27.8M
3
BIIB icon
Biogen
BIIB
+$18.9M
4
GLD icon
SPDR Gold Trust
GLD
+$18.3M
5
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$13.6M

Sector Composition

Rank Sector Weight
1 Miscellaneous 97.26%
2 Technology 0.76%
3 Consumer Discretionary 0.58%
4 Communication Services 0.34%
5 Healthcare 0.32%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NBIX icon
7726
Neurocrine Biosciences
NBIX
$15.8B
– –
-13,502
Closed -$1.41M
NCLH icon
7727
Norwegian Cruise Line
NCLH
$7.15B
– –
-4,430
Closed -$234K
NCTY
7728
The9 Ltd
NCTY
$71.6M
$0 ﹤0.01%
+10
New +$947
NDSN icon
7729
CALL
Nordson
NDSN
$17.7B
– –
-40
Closed -$585K
NFBK
7730
CALL
DELISTED
Northfield Bancorp
NFBK
– –
-1
Closed -$1K
NGD
7731
DELISTED
New Gold Inc
NGD
– –
-6,157
Closed -$5.57K
NGG icon
7732
National Grid
NGG
$78.5B
– –
-17,790
Closed -$914K
NGL icon
7733
NGL Energy Partners
NGL
$2.22B
– –
-10,287
Closed -$115K
NGNE icon
7734
Neurogene
NGNE
$772M
– –
-54
Closed -$5.38K
NGS icon
7735
Natural Gas Services Group
NGS
$469M
– –
-194
Closed -$2K
NGS icon
7736
PUT
Natural Gas Services Group
NGS
$469M
– –
-4
Closed -$5K
NHI icon
7737
National Health Investors
NHI
$3.48B
– –
-5,620
Closed -$460K
NHTC icon
7738
Natural Health Trends
NHTC
$13.6M
– –
-600
Closed -$3.84K
NICE icon
7739
Nice
NICE
$6.18B
– –
-1,435
Closed -$219K
NL icon
7740
CALL
NLI Holdings
NL
$332M
– –
-5
Closed -$1K
NL icon
7741
NLI Holdings
NL
$332M
$0 ﹤0.01%
40
-302
-88% -$1.24K
NL icon
7742
PUT
NLI Holdings
NL
$332M
– –
-5
Closed -$1K
NNI icon
7743
Nelnet
NNI
$4.56B
– –
-1,567
Closed -$95.9K
NOAH
7744
Noah Holdings
NOAH
$579M
– –
-36,716
Closed -$1.12M
NOC icon
7745
Northrop Grumman
NOC
$73.2B
– –
-27,389
Closed -$9.63M
NOK icon
7746
Nokia
NOK
$56.2B
– –
-64,667
Closed -$254K
NOV icon
7747
NOV
NOV
$7.63B
– –
-408
Closed -$9.18K
NOVT icon
7748
CALL
Novanta
NOVT
$5.61B
– –
-45
Closed -$367K
NOVT icon
7749
PUT
Novanta
NOVT
$5.61B
– –
-37
Closed -$302K
NOW icon
7750
ServiceNow
NOW
$146B
– –
-71,165
Closed -$3.75M
308 309
310
311 312

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Simplex Trading's Q4 2019 Portfolio in Review

As of Q4 2019, Simplex Trading held 8,523 positions worth $45.7B, up 30% from $35.2B the previous quarter. Its ten largest holdings account for 39% of the portfolio.

Simplex Trading's Q4 2019 filing shows 1,277 new, 3,072 increased, 2,710 reduced and 1,251 closed positions. Its largest new stake was Apple: 1,090,316 shares worth $80M. The largest sale was Alibaba, an estimated $41M.

By sector, the portfolio is most concentrated in Miscellaneous at 97% of assets, down from 98% a quarter earlier, followed by Technology and Consumer Discretionary.

  • Simplex Trading's largest Q4 2019 buy was Apple: 1,090,316 shares worth $80M.
  • Simplex Trading added most to iShares 20+ Year Treasury Bond ETF in Q4 2019, an estimated $46.6M increase.
  • Simplex Trading's biggest Q4 2019 reduction was Alibaba, cutting an estimated $41M.
  • Simplex Trading fully exited Boeing in Q4 2019, selling an estimated $27.8M.
  • Simplex Trading's ten largest holdings make up 39% of its $45.7B portfolio in Q4 2019.
  • Simplex Trading opened 1,277 new positions and closed 1,251 in Q4 2019.
  • Simplex Trading's portfolio value rose 30% quarter-over-quarter to $45.7B.

Based on Simplex Trading's 13F filing for Q4 2019, filed 5 Feb 2020.