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Simplex Trading

Simplex Trading Portfolio holdings

AUM $171B
1-Year Est. Return 85%
 

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
+85%
3 Year Est. Return
+183.25%
5 Year Est. Return
+145.21%
10 Year Est. Return
+1,056.84%
AUM
$45.7B
AUM Growth
+$10.6B
Cap. Flow
+$377M
Cap. Flow %
0.82%
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 Miscellaneous 97.26%
2 Technology 0.76%
3 Consumer Discretionary 0.58%
4 Communication Services 0.34%
5 Healthcare 0.32%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SPTM icon
7926
State Street SPDR Portfolio S&P 1500 Composite Stock Market ETF
SPTM
$14.2B
– –
-33,091
Closed -$1.22M
SPWH icon
7927
PUT
Sportsman's Warehouse
SPWH
$50.9M
– –
-60
Closed -$31K
SPXC icon
7928
CALL
SPX Corp
SPXC
$9.84B
– –
-1
Closed -$4K
SPXC icon
7929
PUT
SPX Corp
SPXC
$9.84B
– –
-1
Closed -$4K
SRDX
7930
CALL
DELISTED
Surmodics
SRDX
– –
-4
Closed -$18K
SRL icon
7931
Scully Royalty
SRL
$86.8M
– –
-804
Closed -$9K
SSB icon
7932
SouthState Bank Corp
SSB
$10.5B
– –
-544
Closed -$40K
SSB icon
7933
PUT
SouthState Bank Corp
SSB
$10.5B
– –
-49
Closed -$368K
SSP icon
7934
CALL
E.W. Scripps
SSP
$306M
– –
-2
Closed -$2K
NSLR
7935
CALL
Neostellar Capital Corp
NSLR
$267M
– –
-79
Closed -$41K
STAA icon
7936
STAAR Surgical
STAA
$1.18B
– –
-3,853
Closed -$127K
STC icon
7937
PUT
Stewart Information Services
STC
$2.06B
– –
-6
Closed -$23K
STE icon
7938
PUT
Steris
STE
$21.9B
– –
-1
Closed -$14K
STLD icon
7939
Steel Dynamics
STLD
$34.7B
– –
-12,456
Closed -$398K
STNG icon
7940
CALL
Scorpio Tankers
STNG
$4.12B
– –
-914
Closed -$2.72M
STNG icon
7941
Scorpio Tankers
STNG
$4.12B
$0 ﹤0.01%
4,510
+3,082
+216% +$105K
STNG icon
7942
PUT
Scorpio Tankers
STNG
$4.12B
– –
-211
Closed -$627K
STRA icon
7943
PUT
Strategic Education
STRA
$1.81B
– –
-3
Closed -$40K
STRL icon
7944
PUT
Sterling Infrastructure
STRL
$14.9B
– –
-5
Closed -$6K
STT icon
7945
State Street
STT
$53.4B
– –
-7,023
Closed -$494K
SXC icon
7946
SunCoke Energy
SXC
$877M
$0 ﹤0.01%
13,392
-15,246
-53% -$84.6K
SXI icon
7947
Standex International
SXI
$3.39B
– –
-1,466
Closed -$106K
SXI icon
7948
PUT
Standex International
SXI
$3.39B
– –
-141
Closed -$1.03M
SYRE icon
7949
CALL
Spyre Therapeutics
SYRE
$7.85B
– –
-1
Closed -$19K
TACT icon
7950
Transact Technologies
TACT
$53.1M
– –
-1,289
Closed -$14.8K
316 317
318
319 320

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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 Miscellaneous at 97% of assets, down from 98% a quarter earlier, followed by Technology and Consumer Discretionary.

  • 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.