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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
WPC icon
8051
W.P. Carey
WPC
$16.8B
– –
-13
Closed -$1.09K
WPP icon
8052
WPP
WPP
$3.95B
– –
-3,820
Closed -$242K
WRLD icon
8053
World Acceptance Corp
WRLD
$866M
– –
-1,354
Closed -$139K
WSBC icon
8054
CALL
WesBanco
WSBC
$3.93B
– –
-12
Closed -$44K
WSO icon
8055
CALL
Watsco Inc
WSO
$14.9B
– –
-5
Closed -$84K
WSR
8056
DELISTED
Whitestone REIT
WSR
– –
-3,888
Closed -$53.4K
WST icon
8057
West Pharmaceutical
WST
$25.3B
– –
-1,416
Closed -$206K
WTRG icon
8058
Essential Utilities
WTRG
$11.2B
– –
-4,775
Closed -$215K
WTTR icon
8059
CALL
Select Water Solutions
WTTR
$2.65B
– –
-4
Closed -$3K
WTTR icon
8060
Select Water Solutions
WTTR
$2.65B
$0 ﹤0.01%
72
-11,880
-99% -$95.9K
WU icon
8061
Western Union
WU
$2.65B
– –
-20,060
Closed -$520K
WTW icon
8062
CALL
Willis Towers Watson
WTW
$27.1B
– –
-5
Closed -$96K
WWW icon
8063
PUT
Wolverine World Wide
WWW
$1.61B
– –
-20
Closed -$56K
XHR
8064
Xenia Hotels & Resorts
XHR
$1.97B
– –
-1,559
Closed -$32.9K
XLE icon
8065
State Street Energy Select Sector SPDR ETF
XLE
$39.2B
– –
-328,118
Closed -$9.71M
XNCR icon
8066
PUT
Xencor
XNCR
$1.45B
– –
-97
Closed -$327K
YANG icon
8067
Direxion Daily FTSE China Bear 3X ETF
YANG
$87.6M
– –
-74
Closed -$81K
YORW icon
8068
CALL
York Water
YORW
$503M
– –
-4
Closed -$17K
YORW icon
8069
York Water
YORW
$503M
– –
-538
Closed -$23K
YORW icon
8070
PUT
York Water
YORW
$503M
– –
-5
Closed -$21K
YPF icon
8071
YPF
YPF
$20.6B
– –
-181
Closed -$1.75K
YRD
8072
Yiren Digital
YRD
$109M
– –
-6,633
Closed -$38.8K
ZBH icon
8073
Zimmer Biomet
ZBH
$17.2B
– –
-8,780
Closed -$1.21M
ZLAB icon
8074
CALL
Zai Lab
ZLAB
$2.31B
– –
-1
Closed -$3K
ZROZ icon
8075
PIMCO 25+ Year Zero Coupon US Treasury Index Exchange-Traded Fund
ZROZ
$1.34B
– –
-99
Closed -$14K
321 322
323
324 325

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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.