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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
+14.57%
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
$45.7B
AUM Growth
+$10.6B
Cap. Flow
+$229M
Cap. Flow %
0.5%
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 Technology 0.75%
2 Consumer Discretionary 0.58%
3 Communication Services 0.33%
4 Healthcare 0.31%
5 Industrials 0.19%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TV icon
8001
PUT
Televisa
TV
$1.49B
– –
-42
Closed -$41K
TWI icon
8002
CALL
Titan International
TWI
$512M
– –
-446
Closed -$120K
TWIN icon
8003
CALL
Twin Disc
TWIN
$336M
– –
-30
Closed -$31K
TXMD icon
8004
TherapeuticsMD
TXMD
$23.4M
– –
-653
Closed -$93.9K
UBSI icon
8005
CALL
United Bankshares
UBSI
$6.46B
– –
-8
Closed -$30K
UDR icon
8006
PUT
UDR
UDR
$12.8B
– –
-5
Closed -$24K
UFI icon
8007
CALL
UNIFI
UFI
$119M
– –
-3
Closed -$6K
UFI icon
8008
UNIFI
UFI
$119M
– –
-868
Closed -$19K
UHS icon
8009
Universal Health Services
UHS
$9.04B
– –
-15,855
Closed -$2.26M
ULBI icon
8010
Ultralife
ULBI
$90.8M
– –
-21
Closed –
USD icon
8011
ProShares Ultra Semiconductors
USD
$2.85B
– –
-2,384
Closed -$6K
USFD icon
8012
US Foods
USFD
$21.2B
– –
-15,316
Closed -$615K
USHY icon
8013
iShares Broad USD High Yield Corporate Bond ETF
USHY
$29B
– –
-200
Closed -$8K
USO icon
8014
United States Oil Fund
USO
$2.36B
– –
-188
Closed -$17.9K
UVSP icon
8015
CALL
Univest Financial
UVSP
$1.22B
– –
-1
Closed -$2K
UVXY icon
8016
ProShares Ultra VIX Short-Term Futures ETF
UVXY
$236M
– –
-51
Closed -$3.33M
VAC icon
8017
Marriott Vacations Worldwide
VAC
$3.33B
$0 ﹤0.01%
975
-3,920
-80% -$459K
VALE icon
8018
Vale
VALE
$63.2B
– –
-23,830
Closed -$286K
VBR icon
8019
Vanguard Small-Cap Value ETF
VBR
$37B
– –
-2,795
Closed -$360K
VBTX
8020
DELISTED
Veritex Holdings
VBTX
– –
-4,516
Closed -$116K
VBTX
8021
PUT
DELISTED
Veritex Holdings
VBTX
– –
-5
Closed -$12K
VCEL icon
8022
Vericel Corp
VCEL
$2.28B
– –
-966
Closed -$16.4K
VCLT icon
8023
Vanguard Long-Term Corporate Bond ETF
VCLT
$8.88B
– –
-19
Closed -$1K
VCR icon
8024
Vanguard Consumer Discretionary ETF
VCR
$6.07B
– –
-604
Closed -$111K
VECO icon
8025
CALL
Veeco
VECO
$3.33B
– –
-27
Closed -$31K
319 320
321
322 323

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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 Technology at 0.75% of assets, up from 0.48% a quarter earlier, followed by Consumer Discretionary and Communication Services.

  • 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.