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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
SPTN
7851
DELISTED
SpartanNash
SPTN
– –
-5,319
Closed -$59.9K
SPWH icon
7852
Sportsman's Warehouse
SPWH
$44.9M
– –
-890
Closed -$3.83K
SPY icon
7853
State Street SPDR S&P 500 ETF Trust
SPY
$787B
– –
-4,300
Closed -$1.27M
SR icon
7854
CALL
Spire
SR
$4.85B
– –
-11
Closed -$92K
SRDX
7855
PUT
DELISTED
Surmodics
SRDX
– –
-18
Closed -$77K
SRPT icon
7856
Sarepta Therapeutics
SRPT
$1.67B
– –
-18,090
Closed -$2.14M
SSB icon
7857
CALL
SouthState Bank Corp
SSB
$9.98B
– –
-5
Closed -$36K
SSL icon
7858
Sasol
SSL
$7.26B
– –
-284
Closed -$5.78K
SSP icon
7859
E.W. Scripps
SSP
$290M
– –
-1,204
Closed -$16.6K
ST icon
7860
PUT
Sensata Technologies
ST
$6.68B
– –
-116
Closed -$568K
STGW icon
7861
CALL
Stagwell
STGW
$1.75B
– –
-6
Closed -$1K
STLA icon
7862
Stellantis
STLA
$16.8B
– –
-21,701
Closed -$290K
STRA icon
7863
CALL
Strategic Education
STRA
$1.67B
– –
-14
Closed -$249K
SXC icon
7864
CALL
SunCoke Energy
SXC
$738M
– –
-542
Closed -$480K
SXC icon
7865
SunCoke Energy
SXC
$738M
$0 ﹤0.01%
28,638
+26,467
+1,219% +$191K
SXC icon
7866
PUT
SunCoke Energy
SXC
$738M
– –
-232
Closed -$205K
SXI icon
7867
CALL
Standex International
SXI
$3.75B
– –
-2
Closed -$14K
SYNA icon
7868
Synaptics
SYNA
$4.71B
– –
-2,768
Closed -$93.4K
TACT icon
7869
PUT
Transact Technologies
TACT
$52M
– –
-5
Closed -$5K
TAK icon
7870
Takeda Pharmaceutical
TAK
$53.9B
$0 ﹤0.01%
+2,166
New +$37.5K
TALO icon
7871
CALL
Talos Energy
TALO
$2.55B
– –
-8
Closed -$19K
TBBK icon
7872
The Bancorp
TBBK
$2.77B
– –
-10
Closed –
TBF icon
7873
ProShares Short 20+ Year Treasury ETF
TBF
$84.8M
– –
-2,308
Closed -$47K
TBI
7874
CALL
Trueblue
TBI
$254M
– –
-35
Closed -$77K
TBPH icon
7875
CALL
Theravance Biopharma
TBPH
$871M
– –
-5
Closed -$8K
313 314
315
316 317

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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.