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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
+14.57%
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
$45.7B
AUM Growth
+$10.6B
Cap. Flow
+$229M
Cap. Flow %
0.5%
Top 10 Hldgs %
38.52%
Holding
8,523
New
1,277
Increased
3,072
Reduced
2,710
Closed
1,251

Top Buys

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$70.1M
2
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$46.6M
3
GOOG icon
Alphabet (Google) Class C
GOOG
+$37.4M
4
AMZN icon
Amazon
AMZN
+$37M
5
TSLA icon
Tesla
TSLA
+$28M

Top Sells

Rank Stock Value
1
BABA icon
Alibaba
BABA
+$41M
2
BA icon
Boeing
BA
+$27.8M
3
BIIB icon
Biogen
BIIB
+$18.9M
4
GLD icon
SPDR Gold Trust
GLD
+$18.3M
5
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$13.6M

Sector Composition

Rank Sector Weight
1 Technology 0.75%
2 Consumer Discretionary 0.58%
3 Communication Services 0.33%
4 Healthcare 0.31%
5 Industrials 0.19%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RTX icon
7876
PUT
RTX Corp
RTX
$262B
– –
-1,403
Closed -$12.1M
RWR icon
7877
State Street SPDR Dow Jones REIT ETF
RWR
$1.89B
– –
-300
Closed -$31K
RYAAY icon
7878
Ryanair
RYAAY
$30.3B
– –
-1,573
Closed -$50.4K
RYZ
7879
Ryerson Holding Corp
RYZ
$1.54B
– –
-743
Closed -$7.34K
RYN icon
7880
Rayonier
RYN
$6.48B
– –
-12
Closed -$327
SAGE
7881
DELISTED
Sage Therapeutics
SAGE
– –
-3,632
Closed -$447K
SAH icon
7882
Sonic Automotive
SAH
$3.19B
– –
-2,699
Closed -$85.4K
SAH icon
7883
PUT
Sonic Automotive
SAH
$3.19B
– –
-111
Closed -$348K
SAIA icon
7884
Saia
SAIA
$11.3B
– –
-1,518
Closed -$144K
SANW
7885
DELISTED
S&W Seed Co
SANW
– –
-2
Closed –
ECHO
7886
CALL
EchoStar
ECHO
$26.7B
– –
-217
Closed -$5K
SBGI icon
7887
Sinclair Inc
SBGI
$999M
– –
-18,151
Closed -$676K
SCHB icon
7888
Schwab US Broad Market ETF
SCHB
$43.3B
– –
-12,750
Closed -$156K
SCHL icon
7889
Scholastic
SCHL
$856M
– –
-5,078
Closed -$191K
SCHL icon
7890
PUT
Scholastic
SCHL
$856M
– –
-132
Closed -$498K
SCSC icon
7891
CALL
Scansource
SCSC
$1.11B
– –
-3
Closed -$9K
SHOE
7892
Shoe Station Group
SHOE
$400M
– –
-596
Closed -$10.5K
SCYX icon
7893
SCYNEXIS
SCYX
$39.3M
– –
0
– –
SD icon
7894
PUT
SandRidge Energy
SD
$517M
– –
-159
Closed -$74K
SEDG icon
7895
SolarEdge
SEDG
$2.91B
– –
-1,130
Closed -$96.6K
SENS icon
7896
Senseonics Holdings Inc
SENS
$254M
$0 ﹤0.01%
39
-270
-87% -$5.32K
SGOL icon
7897
abrdn Physical Gold Shares ETF
SGOL
$7.05B
– –
-57,160
Closed -$817K
SGRY icon
7898
CALL
Surgery Partners
SGRY
$1.98B
– –
-111
Closed -$81K
SGU icon
7899
Star Group
SGU
$424M
– –
-78
Closed -$732
SHEN icon
7900
Shenandoah Telecom
SHEN
$651M
– –
-76
Closed -$2.69K
314 315
316
317 318

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Simplex Trading's Q4 2019 Portfolio in Review

As of Q4 2019, Simplex Trading held 8,523 positions worth $45.7B, up 30% from $35.2B the previous quarter. Its ten largest holdings account for 39% of the portfolio.

Simplex Trading's Q4 2019 filing shows 1,277 new, 3,072 increased, 2,710 reduced and 1,251 closed positions. Its largest new stake was Apple: 1,090,316 shares worth $80M. The largest sale was Alibaba, an estimated $41M.

By sector, the portfolio is most concentrated in Technology at 0.75% of assets, up from 0.48% a quarter earlier, followed by Consumer Discretionary and Communication Services.

  • Simplex Trading's largest Q4 2019 buy was Apple: 1,090,316 shares worth $80M.
  • Simplex Trading added most to iShares 20+ Year Treasury Bond ETF in Q4 2019, an estimated $46.6M increase.
  • Simplex Trading's biggest Q4 2019 reduction was Alibaba, cutting an estimated $41M.
  • Simplex Trading fully exited Boeing in Q4 2019, selling an estimated $27.8M.
  • Simplex Trading's ten largest holdings make up 39% of its $45.7B portfolio in Q4 2019.
  • Simplex Trading opened 1,277 new positions and closed 1,251 in Q4 2019.
  • Simplex Trading's portfolio value rose 30% quarter-over-quarter to $45.7B.

Based on Simplex Trading's 13F filing for Q4 2019, filed 5 Feb 2020.