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 | Miscellaneous | 97.26% |
| 2 | Technology | 0.76% |
| 3 | Consumer Discretionary | 0.58% |
| 4 | Communication Services | 0.34% |
| 5 | Healthcare | 0.32% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
1
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$815B
| $4.86B | 10.62% |
151,012
+56,033
| +59% | +$17.3M |
|
|
2
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$815B
| $3.26B | 7.12% |
101,158
+26,337
| +35% | +$8.11M |
|
|
3
CALL
Amazon
AMZN
$2.79T
| $1.82B | 3.97% |
196,580
+66,160
| +51% | +$5.86M |
|
|
4
PUT
Apple
AAPL
$4.67T
| $1.56B | 3.42% |
212,972
+133,524
| +168% | +$8.59M |
|
5
PUT
iShares S&P 100 ETF
OEF
$20.5B
| $1.37B | 2.99% |
133,219
+7,624
| +6% | +$1.05M |
|
|
6
PUT
Amazon
AMZN
$2.79T
| $1.32B | 2.88% |
142,820
+34,680
| +32% | +$3.07M |
|
|
7
PUT
Tesla
TSLA
$1.4T
| $1.26B | 2.76% |
452,460
+21,255
| +5% | +$461K |
|
|
8
CALL
Apple
AAPL
$4.67T
| $768M | 1.68% |
104,672
+33,856
| +48% | +$2.18M |
|
9
PUT
Invesco QQQ Trust
QQQ
$489B
| $718M | 1.57% |
33,785
-6,181
| -15% | -$1.24M |
|
|
10
CALL
iShares S&P 100 ETF
OEF
$20.5B
| $689M | 1.51% |
68,451
-12,422
| -15% | -$1.71M |
|
|
11
CALL
Tesla
TSLA
$1.4T
| $604M | 1.32% |
216,630
+85,815
| +66% | +$1.86M |
|
|
12
PUT
Alphabet (Google) Class A
GOOGL
$4.14T
| $553M | 1.21% |
82,560
+13,920
| +20% | +$898K |
|
|
13
CALL
Alphabet (Google) Class A
GOOGL
$4.14T
| $516M | 1.13% |
77,080
+4,840
| +7% | +$312K |
|
14
PUT
State Street Materials Select Sector SPDR ETF
XLB
$8.68B
| $451M | 0.99% |
126,710
+24,084
| +23% | +$711K |
|
15
PUT
Chipotle Mexican Grill
CMG
$46.8B
| $442M | 0.97% |
264,200
+74,850
| +40% | +$1.2M |
|
|
16
CALL
Invesco QQQ Trust
QQQ
$489B
| $428M | 0.93% |
20,113
+63
| +0.3% | +$12.6K |
|
17
CALL
Meta Platforms (Facebook)
META
$1.57T
| $387M | 0.85% |
18,875
+261
| +1% | +$50.6K |
|
|
18
CALL
SPDR Gold Trust
GLD
$149B
| $351M | 0.77% |
24,569
-285
| -1% | -$39.8K |
|
19
CALL
Netflix
NFLX
$326B
| $333M | 0.73% |
102,870
-22,880
| -18% | -$678K |
|
|
20
CALL
Alibaba
BABA
$281B
| $329M | 0.72% |
15,509
-655
| -4% | -$123K |
|
|
21
PUT
Alibaba
BABA
$281B
| $304M | 0.66% |
14,340
+2,485
| +21% | +$466K |
|
|
22
PUT
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$45.8B
| $260M | 0.57% |
9,136
+186
| +2% | +$51.2K |
|
|
23
CALL
Boeing
BA
$168B
| $247M | 0.54% |
7,592
+3,249
| +75% | +$1.15M |
|
|
24
CALL
State Street Materials Select Sector SPDR ETF
XLB
$8.68B
| $241M | 0.53% |
68,888
-23,066
| -25% | -$681K |
|
|
25
PUT
Netflix
NFLX
$326B
| $241M | 0.53% |
74,410
-40,810
| -35% | -$1.21M |
|
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 Miscellaneous at 97% of assets, down from 98% a quarter earlier, followed by Technology and Consumer Discretionary.
- 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.