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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
SB icon
7751
Safe Bulkers
SB
$769M
$0 ﹤0.01%
333
-4,791
-94% -$7.92K
SBGI icon
7752
Sinclair Inc
SBGI
$965M
– –
-6,067
Closed -$203K
SBH icon
7753
Sally Beauty Holdings
SBH
$1.38B
– –
-7,318
Closed -$131K
SBIO icon
7754
ALPS Medical Breakthroughs ETF
SBIO
$204M
– –
-692
Closed -$19K
SBSW icon
7755
Sibanye-Stillwater
SBSW
$5.97B
– –
-3,941
Closed -$14.9K
SCCO icon
7756
Southern Copper
SCCO
$143B
– –
-1,608
Closed -$51.4K
SCHH icon
7757
Schwab US REIT ETF
SCHH
$11.5B
– –
-68
Closed -$1K
SCHL icon
7758
Scholastic
SCHL
$857M
– –
-225
Closed -$9.29K
SCHW
7759
Charles Schwab
SCHW
$177B
– –
-15,261
Closed -$689K
SCYX icon
7760
SCYNEXIS
SCYX
$39.3M
– –
-9
Closed -$820
SF
7761
Stifel
SF
$12.1B
– –
-31,266
Closed -$708K
SFBS
7762
ServisFirst Bancshares
SFBS
$4.76B
$0 ﹤0.01%
+22
New +$751
SHAK icon
7763
Shake Shack
SHAK
$2.26B
– –
-5,907
Closed -$303K
SHEN icon
7764
Shenandoah Telecom
SHEN
$635M
– –
-5,621
Closed -$264K
SHEN icon
7765
PUT
Shenandoah Telecom
SHEN
$635M
– –
-11
Closed -$48K
SIFY
7766
Sify Technologies
SIFY
$1.03B
– –
-1
Closed –
SIGA icon
7767
SIGA Technologies
SIGA
$226M
– –
-5,316
Closed -$35.7K
SIRI icon
7768
CALL
SiriusXM
SIRI
$10.1B
– –
-153
Closed -$875K
SIRI icon
7769
SiriusXM
SIRI
$10.1B
$0 ﹤0.01%
+4,046
New +$241K
SIRI icon
7770
PUT
SiriusXM
SIRI
$10.1B
– –
-55
Closed -$314K
SITC icon
7771
SITE Centers
SITC
$224M
– –
-27,142
Closed -$274K
SJM icon
7772
J.M. Smucker
SJM
$12.4B
– –
-11,521
Closed -$1.2M
SKF icon
7773
ProShares UltraShort Financials
SKF
$10.7M
– –
-215
Closed -$83K
SKM icon
7774
SK Telecom
SKM
$13.5B
– –
-296
Closed -$12.5K
SKY icon
7775
Champion Homes
SKY
$4.39B
– –
-1,026
Closed -$18.8K
309 310
311
312 313

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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.