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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
TSRO
8376
PUT
DELISTED
TESARO, Inc.
TSRO
– –
-1,367
Closed -$10.1M
KANG
8377
CALL
DELISTED
iKang Healthcare Group, Inc.
KANG
– –
-298
Closed -$607K
KANG
8378
PUT
DELISTED
iKang Healthcare Group, Inc.
KANG
– –
-49
Closed -$99K
HQCL
8379
CALL
DELISTED
Hanwha Q CELLS Co., Ltd.
HQCL
– –
-233
Closed -$227K
ARDM
8380
DELISTED
Aradigm Corp Common Stock
ARDM
– –
-200
Closed –
INTX
8381
CALL
DELISTED
Intersections, Inc.
INTX
– –
-107
Closed -$39K
INTX
8382
DELISTED
Intersections, Inc.
INTX
– –
-2,868
Closed -$10K
INTX
8383
PUT
DELISTED
Intersections, Inc.
INTX
– –
-288
Closed -$106K
EQGP
8384
CALL
DELISTED
EQGP Holdings, LP
EQGP
– –
-114
Closed -$227K
IMPV
8385
CALL
DELISTED
Imperva, Inc.
IMPV
– –
-87
Closed -$484K
IMPV
8386
DELISTED
Imperva, Inc.
IMPV
– –
-3,488
Closed -$194K
IMPV
8387
PUT
DELISTED
Imperva, Inc.
IMPV
– –
-184
Closed -$1.02M
APTI
8388
CALL
DELISTED
Apptio, Inc. Class A Common Stock
APTI
– –
-607
Closed -$2.3M
APTI
8389
PUT
DELISTED
Apptio, Inc. Class A Common Stock
APTI
– –
-53
Closed -$201K
HDP
8390
CALL
DELISTED
Hortonworks, Inc.
HDP
– –
-537
Closed -$31K
HDP
8391
PUT
DELISTED
Hortonworks, Inc.
HDP
– –
-15
Closed -$2K
GNBC
8392
CALL
DELISTED
Green Bancorp, Inc
GNBC
– –
-54
Closed -$2K
SCG
8393
CALL
DELISTED
Scana
SCG
– –
-891
Closed -$216K
SCG
8394
DELISTED
Scana
SCG
– –
-3,282
Closed -$156K
SCG
8395
PUT
DELISTED
Scana
SCG
– –
-817
Closed -$39K
SIR
8396
CALL
DELISTED
SELECT INCOME REIT
SIR
– –
-170
Closed -$9K
SIR
8397
DELISTED
SELECT INCOME REIT
SIR
– –
-2,934
Closed -$21K
SIR
8398
PUT
DELISTED
SELECT INCOME REIT
SIR
– –
-78
Closed -$17K
GOV
8399
DELISTED
Government Properties Income Trust
GOV
– –
-2,751
Closed -$18K
GOV
8400
PUT
DELISTED
Government Properties Income Trust
GOV
– –
-150
Closed -$33K
334 335
336
337 338

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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.