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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
VIXY icon
7951
ProShares VIX Short-Term Futures ETF
VIXY
$204M
– –
-591
Closed -$1.01M
VOC icon
7952
CALL
VOC Energy
VOC
$57M
– –
-44
Closed -$22K
VOT icon
7953
Vanguard Mid-Cap Growth ETF
VOT
$19.2B
– –
-10
Closed -$1K
VRNS icon
7954
PUT
Varonis Systems
VRNS
$5.2B
– –
-162
Closed -$334K
VRSK icon
7955
Verisk Analytics
VRSK
$25.2B
– –
-994
Closed -$154K
VSH icon
7956
Vishay Intertechnology
VSH
$6.12B
– –
-7,127
Closed -$117K
VST icon
7957
Vistra
VST
$56.2B
– –
-34,832
Closed -$828K
VTRS icon
7958
Viatris
VTRS
$19.8B
– –
-14,015
Closed -$275K
VXUS icon
7959
Vanguard Total International Stock ETF
VXUS
$155B
– –
-213
Closed -$11K
VXUS icon
7960
PUT
Vanguard Total International Stock ETF
VXUS
$155B
– –
-1
Closed -$5K
VXX icon
7961
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$156M
– –
-2,414
Closed -$4.02M
WAFD icon
7962
WaFd
WAFD
$2.72B
$0 ﹤0.01%
21
-64
-75% -$2.29K
WB icon
7963
Weibo
WB
$1.93B
– –
-35,650
Closed -$1.51M
WD icon
7964
Walker & Dunlop
WD
$1.64B
– –
-96
Closed -$5.39K
WCN
7965
Waste Connections
WCN
$42.7B
– –
-14,935
Closed -$1.38M
WES icon
7966
Western Midstream Partners
WES
$19.4B
– –
-33,475
Closed -$890K
WFC icon
7967
Wells Fargo
WFC
$262B
– –
-15,057
Closed -$709K
WHD icon
7968
Cactus
WHD
$3.89B
– –
-2,201
Closed -$63.6K
WHD icon
7969
PUT
Cactus
WHD
$3.89B
– –
-32
Closed -$105K
WIT icon
7970
Wipro
WIT
$17.9B
– –
-58
Closed -$114
WMK icon
7971
CALL
Weis Markets
WMK
$1.93B
– –
-6
Closed -$21K
WMT icon
7972
Walmart Inc
WMT
$870B
– –
-63,600
Closed -$2.4M
WSO icon
7973
PUT
Watsco Inc
WSO
$14.9B
– –
-16
Closed -$261K
WTI icon
7974
W&T Offshore
WTI
$553M
– –
-11,104
Closed -$50.8K
WW
7975
DELISTED
WW International
WW
– –
-31,464
Closed -$888K
317 318
319
320 321

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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.