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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
VEON icon
8026
VEON
VEON
$4.42B
$0 ﹤0.01%
7
-14
-67% -$860
VET icon
8027
Vermilion Energy
VET
$1.96B
– –
-229
Closed -$3.45K
VGSH icon
8028
PUT
Vanguard Short-Term Treasury ETF
VGSH
$34.7B
– –
-1
Closed -$10K
VGZ icon
8029
Vista Gold
VGZ
$327M
– –
-150
Closed -$108
VIRT icon
8030
Virtu Financial
VIRT
$5.69B
– –
-15,502
Closed -$256K
VNO icon
8031
Vornado Realty Trust
VNO
$6.83B
– –
-14,382
Closed -$930K
VOD icon
8032
Vodafone
VOD
$39.1B
– –
-73,435
Closed -$1.46M
VPU
8033
Vanguard Utilities ETF
VPU
$8.33B
– –
-153
Closed -$21K
VRA icon
8034
Vera Bradley
VRA
$95.3M
– –
-7,485
Closed -$83K
VREX icon
8035
CALL
Varex Imaging
VREX
$780M
– –
-45
Closed -$128K
VTOL icon
8036
CALL
Bristow Group
VTOL
$1.28B
– –
-5
Closed -$10K
VTOL icon
8037
Bristow Group
VTOL
$1.28B
– –
-4,784
Closed -$101K
VXZ icon
8038
iPath Series B S&P 500 VIX Mid-Term Futures ETN
VXZ
$28.4M
– –
-70
Closed -$5K
WBD icon
8039
Warner Bros
WBD
$70.8B
– –
-9,657
Closed -$257K
WDAY icon
8040
Workday
WDAY
$47.2B
– –
-27,469
Closed -$4.56M
WDFC icon
8041
WD-40
WDFC
$2.79B
– –
-499
Closed -$94K
WGO icon
8042
Winnebago Industries
WGO
$877M
– –
-2,133
Closed -$99.7K
WHG icon
8043
CALL
Westwood Holdings Group
WHG
$180M
– –
-11
Closed -$30K
WHG icon
8044
Westwood Holdings Group
WHG
$180M
– –
-296
Closed -$8K
WK icon
8045
Workiva
WK
$4.17B
– –
-862
Closed -$36.3K
WK icon
8046
PUT
Workiva
WK
$4.17B
– –
-50
Closed -$219K
WKC icon
8047
World Kinect Corp
WKC
$1.81B
– –
-199
Closed -$8.32K
WLKP icon
8048
Westlake Chemical Partners
WLKP
$771M
– –
-11,826
Closed -$272K
WMK icon
8049
Weis Markets
WMK
$1.78B
– –
-89
Closed -$3.44K
WOOD icon
8050
iShares Global Timber & Forestry ETF
WOOD
$271M
– –
-100
Closed -$5K
320 321
322
323 324

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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.