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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
+17.83%
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
$36B
AUM Growth
+$1.89B
Cap. Flow
-$99.4M
Cap. Flow %
-0.28%
Top 10 Hldgs %
34.84%
Holding
8,479
New
1,471
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 Miscellaneous 97.42%
2 Communication Services 0.59%
3 Technology 0.46%
4 Healthcare 0.38%
5 Consumer Discretionary 0.29%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SLB icon
7776
SLB Ltd
SLB
$85.3B
– –
-220,580
Closed -$9.53M
SLM icon
7777
CALL
SLM Corp
SLM
$5.09B
– –
-259
Closed -$215K
SLQD icon
7778
PUT
iShares 0-5 Year Investment Grade Corporate Bond ETF
SLQD
$2.43B
– –
-33
Closed -$93K
SMH icon
7779
VanEck Semiconductor ETF
SMH
$69B
– –
-193,638
Closed -$8.45M
SMPL icon
7780
Simply Good Foods
SMPL
$1.01B
– –
-3,025
Closed -$60.4K
SNA icon
7781
Snap-on
SNA
$19.8B
– –
-2,044
Closed -$325K
SNAP icon
7782
Snap
SNAP
$9.25B
– –
-177,825
Closed -$1.51M
SNCR
7783
DELISTED
Synchronoss Technologies
SNCR
– –
-426
Closed -$27.7K
SNCR
7784
PUT
DELISTED
Synchronoss Technologies
SNCR
– –
-39
Closed -$214K
SND icon
7785
CALL
Smart Sand
SND
$226M
– –
-7
Closed -$1K
SNDA icon
7786
Sonida Senior Living
SNDA
$1.81B
– –
-88
Closed -$7.97K
SNDA icon
7787
PUT
Sonida Senior Living
SNDA
$1.81B
– –
-1
Closed -$13K
SNEX icon
7788
CALL
StoneX
SNEX
$8.38B
– –
-20
Closed -$14K
SNPS icon
7789
Synopsys
SNPS
$75.5B
– –
-5,427
Closed -$538K
SON icon
7790
Sonoco
SON
$5.14B
– –
-3,392
Closed -$195K
SONY icon
7791
Sony
SONY
$143B
– –
-190
Closed -$1.78K
SOS
7792
SOS Limited
SOS
$14.3M
– –
0
– –
SPHD icon
7793
Invesco S&P 500 High Dividend Low Volatility ETF
SPHD
$3.43B
– –
-95
Closed -$3K
SPSC icon
7794
PUT
SPS Commerce
SPSC
$2.99B
– –
-56
Closed -$230K
SPTN
7795
DELISTED
SpartanNash
SPTN
– –
-14,887
Closed -$286K
SPXC icon
7796
SPX Corp
SPXC
$9.84B
– –
-49
Closed -$1.59K
SPYV icon
7797
State Street SPDR Portfolio S&P 500 Value ETF
SPYV
$36.8B
– –
-1,394
Closed -$37K
SR icon
7798
Spire
SR
$4.89B
– –
-32
Closed -$2.5K
SRDX
7799
CALL
DELISTED
Surmodics
SRDX
– –
-53
Closed -$250K
SRTY icon
7800
ProShares UltraPro Short Russell2000
SRTY
$71.8M
– –
-21
Closed -$81K
310 311
312
313 314

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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 1,471 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 Miscellaneous at 97% of assets, down from 97% a quarter earlier, followed by Communication Services and Technology.

  • 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 1,471 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.