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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
-2.07%
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
$35.2B
AUM Growth
-$1.49B
Cap. Flow
-$310M
Cap. Flow %
-0.88%
Top 10 Hldgs %
32.67%
Holding
8,410
New
1,312
Increased
3,129
Reduced
2,596
Closed
1,163

Top Buys

Rank Stock Value
1
BABA icon
Alibaba
BABA
+$50.3M
2
BA icon
Boeing
BA
+$24.3M
3
GLD icon
SPDR Gold Trust
GLD
+$18.3M
4
BIIB icon
Biogen
BIIB
+$15.9M
5
FDX icon
FedEx
FDX
+$15.1M

Top Sells

Rank Stock Value
1
GOOG icon
Alphabet (Google) Class C
GOOG
+$60.3M
2
IWM icon
iShares Russell 2000 ETF
IWM
+$36.4M
3
NFLX icon
Netflix
NFLX
+$19M
4
XLI icon
State Street Industrial Select Sector SPDR ETF
XLI
+$17.3M
5
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$14.2M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 0.49%
2 Technology 0.48%
3 Healthcare 0.35%
4 Industrials 0.35%
5 Communication Services 0.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SYY icon
851
CALL
Sysco
SYY
$39.7B
$4.03M 0.01%
508
+316
+165% +$23.2K
UHS icon
852
PUT
Universal Health Services
UHS
$9.43B
$4.03M 0.01%
271
+81
+43% +$11.6K
RTN
853
DELISTED
Raytheon Company
RTN
$4.02M 0.01%
20,491
+14,382
+235% +$2.66M
SHAK icon
854
PUT
Shake Shack
SHAK
$2.3B
$4.02M 0.01%
410
+297
+263% +$26.2K
BITA
855
CALL
DELISTED
Bitauto Holdings Limited
BITA
$4M 0.01%
2,674
+2,631
+6,119% +$32.2K
NTAP icon
856
PUT
NetApp
NTAP
$32.9B
$4M 0.01%
761
+318
+72% +$17.1K
TDOC icon
857
PUT
Teladoc Health
TDOC
$1.58B
$4M 0.01%
590
+202
+52% +$13.3K
MIC
858
PUT
DELISTED
Macquarie Infrastructure Holdings, LLC
MIC
$3.99M 0.01%
1,012
+344
+51% +$13.6K
PODD icon
859
PUT
Insulet
PODD
$11.3B
$3.99M 0.01%
242
+132
+120% +$18.6K
AWK icon
860
PUT
American Water Works
AWK
$26.3B
$3.99M 0.01%
321
+136
+74% +$16.4K
KL
861
PUT
DELISTED
Kirkland Lake Gold Ltd Ordinary
KL
$3.98M 0.01%
888
+329
+59% +$15K
UUP icon
862
PUT
Invesco DB US Dollar Index Bullish Fund
UUP
$434M
$3.97M 0.01%
1,468
+503
+52% +$13.4K
MSI icon
863
CALL
Motorola Solutions
MSI
$69.4B
$3.97M 0.01%
233
-44
-16% -$7.55K
CHRW icon
864
CALL
C.H. Robinson
CHRW
$22B
$3.96M 0.01%
467
-136
-23% -$11.4K
DBEM icon
865
PUT
Xtrackers MSCI Emerging Markets Hedged Equity ETF
DBEM
$105M
$3.95M 0.01%
1,460
-1,177
-45% -$25.8K
IDXX icon
866
PUT
Idexx Laboratories
IDXX
$42.9B
$3.94M 0.01%
145
-76
-34% -$21.1K
ADP icon
867
PUT
Automatic Data Processing
ADP
$100B
$3.94M 0.01%
244
+95
+64% +$15.7K
AA icon
868
CALL
Alcoa
AA
$11.7B
$3.93M 0.01%
1,958
+906
+86% +$18.8K
FSLR icon
869
CALL
First Solar
FSLR
$21.8B
$3.92M 0.01%
676
-476
-41% -$30.5K
OPTU
870
PUT
Optimum Communications Inc
OPTU
$316M
$3.9M 0.01%
1,359
+644
+90% +$17.5K
NSC icon
871
CALL
Norfolk Southern
NSC
$78.8B
$3.88M 0.01%
216
-345
-61% -$63.5K
EMN icon
872
CALL
Eastman Chemical
EMN
$7.8B
$3.88M 0.01%
525
+103
+24% +$7.39K
VTRS icon
873
PUT
Viatris
VTRS
$20.1B
$3.87M 0.01%
1,958
+108
+6% +$2.12K
BKI
874
CALL
DELISTED
Black Knight, Inc. Common Stock
BKI
$3.87M 0.01%
633
-101
-14% -$6.26K
BIO icon
875
PUT
Bio-Rad Laboratories Class A
BIO
$8.42B
$3.86M 0.01%
+116
New +$37.8K
33 34
35
36 37

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Simplex Trading's Q3 2019 Portfolio in Review

As of Q3 2019, Simplex Trading held 8,410 positions worth $35.2B, down 4.1% from $36.6B the previous quarter. Its ten largest holdings account for 33% of the portfolio.

Simplex Trading's Q3 2019 filing shows 1,312 new, 3,129 increased, 2,596 reduced and 1,163 closed positions. Its largest new stake was SPDR Gold Trust: 131,281 shares worth $18.2M. The largest sale was Alphabet (Google) Class C, an estimated $60.3M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 0.49% of assets, up from 0.26% a quarter earlier, followed by Technology and Healthcare.

  • Simplex Trading's largest Q3 2019 buy was SPDR Gold Trust: 131,281 shares worth $18.2M.
  • Simplex Trading added most to Alibaba in Q3 2019, an estimated $50.3M increase.
  • Simplex Trading's biggest Q3 2019 reduction was Alphabet (Google) Class C, cutting an estimated $60.3M.
  • Simplex Trading fully exited iShares Russell 2000 ETF in Q3 2019, selling an estimated $36.4M.
  • Simplex Trading's ten largest holdings make up 33% of its $35.2B portfolio in Q3 2019.
  • Simplex Trading opened 1,312 new positions and closed 1,163 in Q3 2019.
  • Simplex Trading's portfolio value fell 4.1% quarter-over-quarter to $35.2B.

Based on Simplex Trading's 13F filing for Q3 2019, filed 15 Oct 2019.