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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
UEIC icon
7926
Universal Electronics
UEIC
$57.7M
– –
-100
Closed -$4K
UFCS icon
7927
CALL
United Fire Group
UFCS
$1.27B
– –
-3
Closed -$14K
UFI icon
7928
PUT
UNIFI
UFI
$119M
– –
-1
Closed -$1K
UGI icon
7929
UGI
UGI
$7.9B
– –
-2,057
Closed -$103K
UIS icon
7930
Unisys
UIS
$248M
– –
-28,304
Closed -$252K
UI icon
7931
Ubiquiti
UI
$32.5B
– –
-10,648
Closed -$1.29M
ULBI icon
7932
Ultralife
ULBI
$90.8M
$0 ﹤0.01%
+21
New +$180
UNF icon
7933
Unifirst Corp
UNF
$5.25B
– –
-367
Closed -$69K
UPBD icon
7934
Upbound Group
UPBD
$1.25B
– –
-7,311
Closed -$192K
UPS icon
7935
United Parcel Service
UPS
$98.5B
– –
-8,728
Closed -$998K
URBN icon
7936
Urban Outfitters
URBN
$6.31B
– –
-27,157
Closed -$633K
URTY icon
7937
ProShares UltraPro Russell2000
URTY
$333M
– –
-817
Closed -$60K
USL icon
7938
United States 12 Month Oil Fund,
USL
$46M
– –
-176
Closed -$3K
USL icon
7939
PUT
United States 12 Month Oil Fund,
USL
$46M
– –
-6
Closed -$12K
USPH icon
7940
US Physical Therapy
USPH
$1.13B
– –
-208
Closed -$27.1K
UTI icon
7941
Universal Technical Institute
UTI
$1.98B
– –
-200
Closed –
VAC icon
7942
Marriott Vacations Worldwide
VAC
$3.33B
$0 ﹤0.01%
4,895
+4,426
+944% +$435K
VATE icon
7943
CALL
INNOVATE Corp
VATE
$110M
– –
-3
Closed -$7K
VECO icon
7944
PUT
Veeco
VECO
$3.33B
– –
-10
Closed -$12K
VDE icon
7945
Vanguard Energy ETF
VDE
$10B
– –
-1,142
Closed -$97K
VEEV icon
7946
Veeva Systems
VEEV
$30B
– –
-9,842
Closed -$1.58M
VFH icon
7947
Vanguard Financials ETF
VFH
$13.3B
– –
-541
Closed -$37K
VGK icon
7948
Vanguard FTSE Europe ETF
VGK
$30.2B
– –
-16,752
Closed -$896K
VGZ icon
7949
Vista Gold
VGZ
$254M
$0 ﹤0.01%
+150
New +$130
VICI icon
7950
VICI Properties
VICI
$29.3B
– –
-49,341
Closed -$1.08M
316 317
318
319 320

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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.