Simplex Trading Portfolio holdings
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.
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
Apple
AAPL
|
+$70.1M |
| 2 |
iShares 20+ Year Treasury Bond ETF
TLT
|
+$46.6M |
| 3 |
Alphabet (Google) Class C
GOOG
|
+$37.4M |
| 4 |
Amazon
AMZN
|
+$37M |
| 5 |
Tesla
TSLA
|
+$28M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
Alibaba
BABA
|
+$41M |
| 2 |
Boeing
BA
|
+$27.8M |
| 3 |
Biogen
BIIB
|
+$18.9M |
| 4 |
SPDR Gold Trust
GLD
|
+$18.3M |
| 5 |
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 | |
|---|---|---|---|---|---|---|
101
PUT
Caterpillar
CAT
$410B
| $52.5M | 0.11% |
3,555
+915
| +35% | +$128K |
|
102
PUT
United Rentals
URI
$63.4B
| $52.4M | 0.11% |
3,140
+1,078
| +52% | +$157K |
|
103
PUT
Ulta Beauty
ULTA
$21B
| $52M | 0.11% |
2,054
+458
| +29% | +$112K |
|
104
CALL
Micron Technology
MU
$1.1T
| $51.9M | 0.11% |
9,658
-942
| -9% | -$45K |
|
105
PUT
Danaher
DHR
$127B
| $51.7M | 0.11% |
3,801
+3,566
| +1,517% | +$451K |
|
|
106
Alphabet (Google) Class C
GOOG
$4.22T
| $51.6M | 0.11% |
771,680
+579,960
| +303% | +$37.4M |
|
|
TIF
107
PUT
DELISTED
Tiffany & Co.
TIF
| $51.3M | 0.11% |
3,842
+1,180
| +44% | +$139K |
|
108
PUT
Johnson & Johnson
JNJ
$603B
| $51.1M | 0.11% |
3,506
-627
| -15% | -$85K |
|
109
PUT
AutoZone
AZO
$48.9B
| $51.1M | 0.11% |
429
-194
| -31% | -$224K |
|
|
XLNX
110
PUT
DELISTED
Xilinx Inc
XLNX
| $50.5M | 0.11% |
5,164
+1,108
| +27% | +$104K |
|
111
PUT
Blackrock
BLK
$161B
| $48.9M | 0.11% |
972
-119
| -11% | -$56.5K |
|
112
PUT
State Street SPDR Portfolio Short Term Treasury ETF
SPTS
$6.07B
| $48.2M | 0.11% |
4,483
+489
| +12% | +$14.7K |
|
|
UWC
113
PUT
DELISTED
PROSHARES TR ULTRA RUSSELL3000
UWC
| $47.7M | 0.1% |
5,350
+861
| +19% | +$7.67M |
|
|
XLNX
114
CALL
DELISTED
Xilinx Inc
XLNX
| $47.5M | 0.1% |
4,856
+1,671
| +52% | +$157K |
|
115
CALL
Autodesk
ADSK
$46B
| $47.1M | 0.1% |
2,570
+77
| +3% | +$12.5K |
|
116
PUT
ServiceNow
NOW
$105B
| $46.7M | 0.1% |
8,275
+1,595
| +24% | +$84K |
|
117
CALL
AbbVie
ABBV
$452B
| $46.5M | 0.1% |
5,256
-1,328
| -20% | -$110K |
|
|
UWC
118
CALL
DELISTED
PROSHARES TR ULTRA RUSSELL3000
UWC
| $46.2M | 0.1% |
5,556
+823
| +17% | +$6.85M |
|
|
119
Amazon
AMZN
$2.66T
| $46M | 0.1% |
497,420
+418,200
| +528% | +$37M |
|
|
120
iShares 20+ Year Treasury Bond ETF
TLT
$42.3B
| $45.8M | 0.1% |
337,745
+334,545
| +10,455% | +$46.6M |
|
121
PUT
Merck
MRK
$312B
| $45.6M | 0.1% |
5,256
-2,731
| -34% | -$224K |
|
122
CALL
Salesforce
CRM
$139B
| $45.1M | 0.1% |
2,776
-274
| -9% | -$43K |
|
|
123
CALL
Merck
MRK
$312B
| $44.7M | 0.1% |
5,153
-2,106
| -29% | -$173K |
|
124
PUT
Applied Materials
AMAT
$448B
| $44.6M | 0.1% |
7,312
+3,237
| +79% | +$182K |
|
125
PUT
Starbucks
SBUX
$119B
| $44.2M | 0.1% |
5,023
+1,221
| +32% | +$104K |
|
Similar funds
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.