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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
+7.55%
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
$31.1B
AUM Growth
+$5.63B
Cap. Flow
+$12.2M
Cap. Flow %
0.04%
Top 10 Hldgs %
33.61%
Holding
8,699
New
1,336
Increased
3,066
Reduced
2,755
Closed
1,315

Top Buys

Rank Stock Value
1
AMZN icon
Amazon
AMZN
+$148M
2
QQQ icon
Invesco QQQ Trust
QQQ
+$67.3M
3
META icon
Meta Platforms (Facebook)
META
+$63.2M
4
GS icon
Goldman Sachs
GS
+$23.9M
5
C icon
Citigroup
C
+$23.1M

Top Sells

Rank Stock Value
1
BRK.B icon
Berkshire Hathaway Class B
BRK.B
+$47.5M
2
AAPL icon
Apple
AAPL
+$46M
3
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$44.5M
4
MU icon
Micron Technology
MU
+$29.1M
5
ADBE icon
Adobe
ADBE
+$22.2M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 1.13%
2 Communication Services 0.89%
3 Technology 0.68%
4 Industrials 0.51%
5 Healthcare 0.44%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SLX icon
8001
VanEck Steel ETF
SLX
$164M
– –
-483
Closed -$21K
SMCI icon
8002
Super Micro Computer
SMCI
$20.8B
– –
-123,120
Closed -$271K
SMFG icon
8003
CALL
Sumitomo Mitsui Financial
SMFG
$165B
– –
-451
Closed -$350K
SMTC icon
8004
Semtech
SMTC
$12.8B
– –
-670
Closed -$35K
SNCR
8005
CALL
DELISTED
Synchronoss Technologies
SNCR
– –
-1
Closed -$4K
SNCR
8006
DELISTED
Synchronoss Technologies
SNCR
– –
-841
Closed -$46K
SNCR
8007
PUT
DELISTED
Synchronoss Technologies
SNCR
– –
-39
Closed -$216K
SNDA icon
8008
CALL
Sonida Senior Living
SNDA
$1.88B
– –
-1
Closed -$19K
SNDA icon
8009
PUT
Sonida Senior Living
SNDA
$1.88B
– –
-1
Closed -$16K
SNEX icon
8010
StoneX
SNEX
$8.86B
– –
-3,691
Closed -$39.3K
SNN icon
8011
CALL
Smith & Nephew
SNN
$12.5B
– –
-4
Closed -$15K
SOL
8012
DELISTED
Emeren Group
SOL
– –
-3,021
Closed -$7.1K
SOL
8013
PUT
DELISTED
Emeren Group
SOL
– –
-70
Closed -$17K
SOXS icon
8014
Direxion Daily Semiconductor Bear 3X ETF
SOXS
$1.54B
– –
0
– -$144K
SPG icon
8015
Simon Property Group
SPG
$73.1B
– –
-6,641
Closed -$1.17M
SPLV icon
8016
Invesco S&P 500 Low Volatility ETF
SPLV
$7.11B
– –
-7,081
Closed -$335K
SPOK icon
8017
Spok Holdings
SPOK
$219M
– –
-6,870
Closed -$104K
SPOK icon
8018
PUT
Spok Holdings
SPOK
$219M
– –
-240
Closed -$361K
SPWH icon
8019
PUT
Sportsman's Warehouse
SPWH
$44.5M
– –
-15
Closed -$7K
SPXC icon
8020
SPX Corp
SPXC
$11.1B
– –
-77
Closed -$2.71K
SPYV icon
8021
State Street SPDR Portfolio S&P 500 Value ETF
SPYV
$35.8B
– –
-179
Closed -$5K
SR icon
8022
Spire
SR
$4.88B
– –
-433
Closed -$32K
SR icon
8023
PUT
Spire
SR
$4.88B
– –
-10
Closed -$70K
SSP icon
8024
CALL
E.W. Scripps
SSP
$271M
– –
-36
Closed -$48K
NSLR
8025
PUT
Neostellar Capital Corp
NSLR
$276M
– –
-45
Closed -$26K
319 320
321
322 323

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Simplex Trading's Q3 2018 Portfolio in Review

As of Q3 2018, Simplex Trading held 8,699 positions worth $31.1B, up 22% from $25.5B the previous quarter. Its ten largest holdings account for 34% of the portfolio.

Simplex Trading's Q3 2018 filing shows 1,336 new, 3,066 increased, 2,755 reduced and 1,315 closed positions. Its largest new stake was Invesco QQQ Trust: 371,806 shares worth $69.1M. The largest sale was Berkshire Hathaway Class B, an estimated $47.5M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 1.1% of assets, up from 0.92% a quarter earlier, followed by Communication Services and Technology.

  • Simplex Trading's largest Q3 2018 buy was Invesco QQQ Trust: 371,806 shares worth $69.1M.
  • Simplex Trading added most to Amazon in Q3 2018, an estimated $148M increase.
  • Simplex Trading's biggest Q3 2018 reduction was Apple, cutting an estimated $46M.
  • Simplex Trading fully exited Berkshire Hathaway Class B in Q3 2018, selling an estimated $47.5M.
  • Simplex Trading's ten largest holdings make up 34% of its $31.1B portfolio in Q3 2018.
  • Simplex Trading opened 1,336 new positions and closed 1,315 in Q3 2018.
  • Simplex Trading's portfolio value rose 22% quarter-over-quarter to $31.1B.

Based on Simplex Trading's 13F filing for Q3 2018, filed 23 Oct 2018.