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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
SCHH icon
7801
Schwab US REIT ETF
SCHH
$11.2B
– –
-2,200
Closed -$48K
SCHW
7802
Charles Schwab
SCHW
$189B
– –
-27,166
Closed -$1.1M
SCL icon
7803
CALL
Stepan Co
SCL
$1.44B
– –
-6
Closed -$55K
SCM icon
7804
Stellus Capital Investment Corp
SCM
$250M
– –
-474
Closed -$6.52K
SCM icon
7805
PUT
Stellus Capital Investment Corp
SCM
$250M
– –
-11
Closed -$15K
SCOR icon
7806
CALL
Comscore
SCOR
$78.5M
– –
-1
Closed -$6K
SCOR icon
7807
Comscore
SCOR
$78.5M
$0 ﹤0.01%
+21
New +$1.21K
SCOR icon
7808
PUT
Comscore
SCOR
$78.5M
– –
-1
Closed -$5K
SCS
7809
DELISTED
Steelcase
SCS
– –
-224
Closed -$3.73K
SCSC icon
7810
Scansource
SCSC
$1.19B
– –
-4,071
Closed -$127K
SCYX icon
7811
SCYNEXIS
SCYX
$52.7M
– –
0
– –
SDOW icon
7812
ProShares UltraPro Short Dow 30
SDOW
$161M
– –
-3
Closed -$2K
SEIC icon
7813
SEI Investments
SEIC
$13.2B
– –
-1,161
Closed -$65K
SEIC icon
7814
PUT
SEI Investments
SEIC
$13.2B
– –
-2
Closed -$11K
SFBS
7815
PUT
ServisFirst Bancshares
SFBS
$4.72B
– –
-2
Closed -$3K
SFIX
7816
Stitch Fix
SFIX
$407M
– –
-39,317
Closed -$913K
SGRY icon
7817
Surgery Partners
SGRY
$1.87B
– –
-4,283
Closed -$30.7K
SGU icon
7818
Star Group
SGU
$418M
$0 ﹤0.01%
+78
New +$747
SHAK icon
7819
Shake Shack
SHAK
$2.8B
– –
-546
Closed -$48.2K
SHEN icon
7820
CALL
Shenandoah Telecom
SHEN
$697M
– –
-14
Closed -$53K
SHOO icon
7821
Steven Madden
SHOO
$3.2B
– –
-4,600
Closed -$152K
SHOP icon
7822
Shopify
SHOP
$187B
– –
-151,940
Closed -$5.2M
SHYF
7823
DELISTED
The Shyft Group
SHYF
– –
-183
Closed -$2K
SIMO icon
7824
Silicon Motion
SIMO
$8.69B
– –
-1,438
Closed -$52.1K
SIRI icon
7825
SiriusXM
SIRI
$9.77B
$0 ﹤0.01%
6,182
-2,795
-31% -$172K
311 312
313
314 315

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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.