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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
SITC icon
7826
CALL
SITE Centers
SITC
$224M
– –
-26
Closed -$26K
SITC icon
7827
SITE Centers
SITC
$224M
– –
-322
Closed -$3.51K
SITE icon
7828
CALL
SiteOne Landscape Supply
SITE
$4.57B
– –
-2
Closed -$1K
SKYW icon
7829
CALL
Skywest
SKYW
$3.8B
– –
-4
Closed -$24K
SLF icon
7830
PUT
Sun Life Financial
SLF
$45.1B
– –
-10
Closed -$41K
SLGN icon
7831
CALL
Silgan Holdings
SLGN
$4.81B
– –
-30
Closed -$91K
SLGN icon
7832
PUT
Silgan Holdings
SLGN
$4.81B
– –
-2
Closed -$6K
SMH icon
7833
VanEck Semiconductor ETF
SMH
$70.7B
– –
-28,282
Closed -$1.56M
SNBR
7834
DELISTED
Sleep Number
SNBR
– –
-3,951
Closed -$169K
SND icon
7835
CALL
Smart Sand
SND
$207M
– –
-12
Closed -$2K
SND icon
7836
Smart Sand
SND
$207M
– –
-1,626
Closed -$4.06K
SNDA icon
7837
Sonida Senior Living
SNDA
$1.89B
$0 ﹤0.01%
+6
New +$420
SNDX icon
7838
Syndax Pharmaceuticals
SNDX
$1.95B
– –
-7,544
Closed -$68.7K
SNEX icon
7839
CALL
StoneX
SNEX
$8.8B
– –
-25
Closed -$19K
SNN icon
7840
CALL
Smith & Nephew
SNN
$12.6B
– –
-1
Closed -$4K
SNN icon
7841
Smith & Nephew
SNN
$12.6B
– –
-21,076
Closed -$917K
SNN icon
7842
PUT
Smith & Nephew
SNN
$12.6B
– –
-60
Closed -$261K
SNV
7843
DELISTED
Synovus
SNV
– –
-18,161
Closed -$651K
SO icon
7844
Southern Company
SO
$108B
– –
-23,594
Closed -$1.37M
SONY icon
7845
Sony
SONY
$123B
– –
-85,665
Closed -$967K
SOS
7846
SOS Limited
SOS
$19.3M
– –
0
– –
SPG icon
7847
Simon Property Group
SPG
$73.4B
– –
-6,882
Closed -$1.07M
SPOK icon
7848
CALL
Spok Holdings
SPOK
$222M
– –
-11
Closed -$16K
SPSC icon
7849
SPS Commerce
SPSC
$2.21B
– –
-1,142
Closed -$57.9K
SPSC icon
7850
PUT
SPS Commerce
SPSC
$2.21B
– –
-26
Closed -$132K
312 313
314
315 316

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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.