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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
+17.83%
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
$36B
AUM Growth
+$1.89B
Cap. Flow
-$586M
Cap. Flow %
-1.63%
Top 10 Hldgs %
34.84%
Holding
8,479
New
1,472
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 Communication Services 0.58%
2 Technology 0.42%
3 Healthcare 0.34%
4 Consumer Discretionary 0.29%
5 Industrials 0.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SPA
8326
CALL
DELISTED
Sparton
SPA
– –
-15
Closed -$27K
SPA
8327
DELISTED
Sparton
SPA
– –
-22,615
Closed -$411K
SPA
8328
PUT
DELISTED
Sparton
SPA
– –
-244
Closed -$443K
TLP
8329
CALL
DELISTED
Transmontaigne
TLP
– –
-7
Closed -$28K
TLP
8330
PUT
DELISTED
Transmontaigne
TLP
– –
-19
Closed -$77K
TAHO
8331
CALL
DELISTED
Tahoe Resources Inc
TAHO
– –
-178
Closed -$64K
TAHO
8332
PUT
DELISTED
Tahoe Resources Inc
TAHO
– –
-178
Closed -$64K
NXTM
8333
CALL
DELISTED
NxStage Medical Inc.
NXTM
– –
-195
Closed -$558K
NXTM
8334
DELISTED
NxStage Medical Inc.
NXTM
– –
-3,435
Closed -$98K
NXTM
8335
PUT
DELISTED
NxStage Medical Inc.
NXTM
– –
-155
Closed -$443K
ORBK
8336
CALL
DELISTED
Orbotech Ltd
ORBK
– –
-63
Closed -$356K
ORBK
8337
PUT
DELISTED
Orbotech Ltd
ORBK
– –
-20
Closed -$113K
MB
8338
CALL
DELISTED
MINDBODY, Inc. Class A Common Stock
MB
– –
-48
Closed -$174K
MB
8339
DELISTED
MINDBODY, Inc. Class A Common Stock
MB
– –
-5,868
Closed -$213K
MB
8340
PUT
DELISTED
MINDBODY, Inc. Class A Common Stock
MB
– –
-178
Closed -$647K
LOXO
8341
CALL
DELISTED
Loxo Oncology, Inc
LOXO
– –
-64
Closed -$896K
LOXO
8342
PUT
DELISTED
Loxo Oncology, Inc
LOXO
– –
-5
Closed -$70K
AHL
8343
CALL
DELISTED
ASPEN Insurance Holding Limited
AHL
– –
-31
Closed -$130K
AHL
8344
PUT
DELISTED
ASPEN Insurance Holding Limited
AHL
– –
-115
Closed -$482K
NFX
8345
CALL
DELISTED
Newfield Exploration
NFX
– –
-619
Closed -$907K
NFX
8346
DELISTED
Newfield Exploration
NFX
– –
-10,624
Closed -$155K
NFX
8347
PUT
DELISTED
Newfield Exploration
NFX
– –
-40
Closed -$58K
ATHN
8348
CALL
DELISTED
Athenahealth, Inc.
ATHN
– –
-1,725
Closed -$22.8M
ATHN
8349
PUT
DELISTED
Athenahealth, Inc.
ATHN
– –
-709
Closed -$9.35M
DNB
8350
CALL
DELISTED
Dun & Bradstreet
DNB
– –
-630
Closed -$8.99M
332 333
334
335 336

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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 1,472 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 Communication Services at 0.58% of assets, up from 0.49% a quarter earlier, followed by Technology and Healthcare.

  • 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 1,472 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.