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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
+17.83%
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
$36B
AUM Growth
+$1.89B
Cap. Flow
-$586M
Cap. Flow %
-1.63%
Top 10 Hldgs %
34.84%
Holding
8,479
New
1,472
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 Communication Services 0.58%
2 Technology 0.42%
3 Healthcare 0.34%
4 Consumer Discretionary 0.29%
5 Industrials 0.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
USO icon
7901
United States Oil Fund
USO
$2.51B
– –
-69,554
Closed -$6.4M
UTI icon
7902
Universal Technical Institute
UTI
$2.07B
$0 ﹤0.01%
+94
New +$333
UTSI icon
7903
UTStarcom
UTSI
$23M
– –
-22
Closed –
UUUU icon
7904
PUT
Energy Fuels
UUUU
$2.99B
– –
-657
Closed -$187K
UVV icon
7905
PUT
Universal Corp
UVV
$1.31B
– –
-12
Closed -$64K
UYG icon
7906
ProShares Ultra Financials
UYG
$795M
– –
-5,522
Closed -$180K
V icon
7907
Visa
V
$667B
– –
-91,061
Closed -$13.1M
VAC icon
7908
Marriott Vacations Worldwide
VAC
$3.2B
– –
-6,898
Closed -$620K
VALE icon
7909
Vale
VALE
$63.2B
– –
-38,880
Closed -$503K
VANI icon
7910
CALL
Vivani Medical
VANI
$116M
– –
-6
Closed -$13K
VANI icon
7911
Vivani Medical
VANI
$116M
$0 ﹤0.01%
+42
New +$818
VATE icon
7912
PUT
INNOVATE Corp
VATE
$111M
– –
-2
Closed -$5K
VBK icon
7913
Vanguard Small-Cap Growth ETF
VBK
$23.3B
– –
-3
Closed –
VBR icon
7914
Vanguard Small-Cap Value ETF
VBR
$36.7B
– –
-91
Closed -$10K
VCYT icon
7915
Veracyte
VCYT
$4.63B
– –
-9,234
Closed -$176K
VEA icon
7916
Vanguard FTSE Developed Markets ETF
VEA
$226B
– –
-1,382
Closed -$55.2K
VEA icon
7917
PUT
Vanguard FTSE Developed Markets ETF
VEA
$226B
– –
-14
Closed -$51K
VDE icon
7918
Vanguard Energy ETF
VDE
$10.1B
– –
-1,459
Closed -$112K
VEEV icon
7919
Veeva Systems
VEEV
$29.3B
– –
-7,677
Closed -$866K
VEON icon
7920
CALL
VEON
VEON
$3.6B
– –
-1
Closed -$3K
VEON icon
7921
PUT
VEON
VEON
$3.6B
– –
0
– -$1K
VERU icon
7922
CALL
Veru
VERU
$37.1M
– –
-6
Closed -$8K
VGSH icon
7923
CALL
Vanguard Short-Term Treasury ETF
VGSH
$29.2B
– –
-5
Closed -$41K
VHT icon
7924
Vanguard Health Care ETF
VHT
$18B
– –
-1,627
Closed -$261K
VKTX icon
7925
Viking Therapeutics
VKTX
$4.17B
– –
-9,534
Closed -$79.8K
315 316
317
318 319

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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 1,472 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 Communication Services at 0.58% of assets, up from 0.49% a quarter earlier, followed by Technology and Healthcare.

  • 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 1,472 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.