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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
+17.83%
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
$36B
AUM Growth
+$1.89B
Cap. Flow
-$99.4M
Cap. Flow %
-0.28%
Top 10 Hldgs %
34.84%
Holding
8,479
New
1,471
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 Miscellaneous 97.42%
2 Communication Services 0.59%
3 Technology 0.46%
4 Healthcare 0.38%
5 Consumer Discretionary 0.29%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
WTTR icon
7976
Select Water Solutions
WTTR
$2.59B
– –
-389
Closed -$3.66K
WW
7977
DELISTED
WW International
WW
– –
-9,590
Closed -$265K
XBI icon
7978
State Street SPDR S&P Biotech ETF
XBI
$11.4B
– –
-43,720
Closed -$3.14M
XLC icon
7979
State Street Communication Services Select Sector SPDR ETF
XLC
$22.6B
– –
-4,180
Closed -$172K
XLF icon
7980
State Street Financial Select Sector SPDR ETF
XLF
$55B
– –
-762,502
Closed -$18.2M
XLP icon
7981
State Street Consumer Staples Select Sector SPDR ETF
XLP
$14.5B
– –
-117,621
Closed -$5.97M
XLU icon
7982
State Street Utilities Select Sector SPDR ETF
XLU
$22.4B
– –
-51,454
Closed -$1.36M
XLY icon
7983
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
$22.3B
– –
-71,452
Closed -$3.54M
XMLV icon
7984
Invesco S&P MidCap Low Volatility ETF
XMLV
$742M
– –
-16
Closed –
XOM icon
7985
ExxonMobil
XOM
$656B
– –
-70,952
Closed -$5.41M
XPH icon
7986
State Street SPDR S&P Pharmaceuticals ETF
XPH
$621M
– –
-96
Closed -$3K
XRX icon
7987
Xerox
XRX
$436M
– –
-156
Closed -$4.4K
XWEL icon
7988
PUT
XWELL
XWEL
$8.38M
– –
0
– -$1K
YINN icon
7989
Direxion Daily FTSE China Bull 3X ETF
YINN
$677M
– –
-282
Closed -$98K
YRD
7990
Yiren Digital
YRD
$89.2M
– –
-27,657
Closed -$337K
YUM icon
7991
Yum! Brands
YUM
$41.1B
– –
-20,292
Closed -$1.92M
Z icon
7992
Zillow
Z
$7.78B
– –
-3,643
Closed -$130K
ZBH icon
7993
Zimmer Biomet
ZBH
$18.7B
– –
-19,576
Closed -$2.22M
ZD icon
7994
PUT
Ziff Davis
ZD
$1.91B
– –
-71
Closed -$430K
MTUS icon
7995
CALL
Metallus
MTUS
$826M
– –
-42
Closed -$36K
MTUS icon
7996
Metallus
MTUS
$826M
– –
-21
Closed –
MTUS icon
7997
PUT
Metallus
MTUS
$826M
– –
-6
Closed -$5K
VRN
7998
CALL
DELISTED
Veren
VRN
– –
-120
Closed -$36K
CNH
7999
CALL
CNH Industrial
CNH
$23.2B
– –
-6
Closed -$4K
ATYR
8000
aTyr Pharma
ATYR
$48.8M
– –
-21
Closed –
318 319
320
321 322

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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 1,471 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 Miscellaneous at 97% of assets, down from 97% a quarter earlier, followed by Communication Services and Technology.

  • 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 1,471 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.