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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
+6.2%
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
$2.32B
AUM Growth
-$126M
Cap. Flow
-$315M
Cap. Flow %
-13.55%
Top 10 Hldgs %
17.34%
Holding
7,407
New
1,548
Increased
2,053
Reduced
2,239
Closed
1,460

Top Buys

Rank Stock Value
1
CELG
Celgene Corp
CELG
+$31.6M
2
C icon
Citigroup
C
+$19.5M
3
AGN
Allergan plc
AGN
+$18.4M
4
BIDU icon
Baidu
BIDU
+$18M
5
EEM icon
iShares MSCI Emerging Markets ETF
EEM
+$14.2M

Top Sells

Rank Stock Value
1
AMZN icon
Amazon
AMZN
+$81.3M
2
NVDA icon
NVIDIA
NVDA
+$60.2M
3
GOOG icon
Alphabet (Google) Class C
GOOG
+$48.2M
4
AAPL icon
Apple
AAPL
+$48.2M
5
META icon
Meta Platforms (Facebook)
META
+$31.2M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 11.27%
2 Technology 10.64%
3 Healthcare 7.06%
4 Communication Services 6.92%
5 Industrials 5.66%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
OFG icon
4951
CALL
OFG Bancorp
OFG
$2.24B
$3K ﹤0.01%
125
-521
-81% -$4.68K
OMCL icon
4952
CALL
Omnicell
OMCL
$1.96B
$3K ﹤0.01%
+8
New +$404
OOMA icon
4953
PUT
Ooma
OOMA
$608M
$3K ﹤0.01%
171
-93
-35% -$989
OTEX icon
4954
PUT
Open Text
OTEX
$6.02B
$3K ﹤0.01%
57
-97
-63% -$3.24K
PALI icon
4955
CALL
Palisade Bio
PALI
$351M
– –
0
– –
PAM icon
4956
PUT
Pampa Energía
PAM
$4.56B
$3K ﹤0.01%
+25
New +$1.65K
PBF icon
4957
PUT
PBF Energy
PBF
$7.22B
$3K ﹤0.01%
88
-26
-23% -$804
PCYO icon
4958
CALL
Pure Cycle
PCYO
$259M
$3K ﹤0.01%
+10
New +$75
PEB icon
4959
CALL
Pebblebrook Hotel Trust
PEB
$2.2B
$3K ﹤0.01%
10
-2
-17% -$74
PI icon
4960
CALL
Impinj
PI
$4.05B
$3K ﹤0.01%
269
+21
+8% +$602
PIZ icon
4961
CALL
Invesco Dorsey Wright Developed Markets Momentum ETF
PIZ
$713M
$3K ﹤0.01%
+452
New +$12.4K
PLAY icon
4962
CALL
Dave & Buster's
PLAY
$361M
$3K ﹤0.01%
+148
New +$7.55K
PLD icon
4963
CALL
Prologis
PLD
$137B
$3K ﹤0.01%
75
+6
+9% +$392
PLUG icon
4964
PUT
Plug Power
PLUG
$2.73B
$3K ﹤0.01%
128
-422
-77% -$1.08K
PMT
4965
PUT
PennyMac Mortgage Investment
PMT
$854M
$3K ﹤0.01%
33
-13
-28% -$211
PNNT
4966
PUT
Pennant Park Investment Corp
PNNT
$221M
$3K ﹤0.01%
+41
New +$304
PPG icon
4967
PUT
PPG Industries
PPG
$26.5B
$3K ﹤0.01%
108
-3
-3% -$346
PPL
4968
CALL
PPL Corp
PPL
$27.3B
$3K ﹤0.01%
651
+296
+83% +$10.6K
PPL
4969
PUT
PPL Corp
PPL
$27.3B
$3K ﹤0.01%
27
-89
-77% -$3.2K
PRTA icon
4970
CALL
Prothena Corp
PRTA
$448M
$3K ﹤0.01%
+158
New +$8.04K
PSO icon
4971
PUT
Pearson
PSO
$10.5B
$3K ﹤0.01%
+32
New +$294
QGEN icon
4972
CALL
Qiagen
QGEN
$8.72B
$3K ﹤0.01%
49
+34
+227% +$1.17K
RITM icon
4973
PUT
Rithm Capital
RITM
$5.46B
$3K ﹤0.01%
103
-49
-32% -$863
RUN icon
4974
CALL
Sunrun
RUN
$2.3B
$3K ﹤0.01%
+163
New +$937
RVTY icon
4975
Revvity
RVTY
$12.4B
$3K ﹤0.01%
+48
New +$3.44K
197 198
199
200 201

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Simplex Trading's Q4 2017 Portfolio in Review

As of Q4 2017, Simplex Trading held 7,407 positions worth $2.32B, down 5.1% from $2.45B the previous quarter. Its ten largest holdings account for 17% of the portfolio.

Simplex Trading withdrew a net $315M in Q4 2017, closing 1,460 positions and reducing 2,239 holdings. Its most notable exit was iShares 20+ Year Treasury Bond ETF, an estimated $21.1M position sold in full.

By sector, the portfolio is most concentrated in Consumer Discretionary at 11% of assets, down from 14% a quarter earlier, followed by Technology and Healthcare.

Against the trend, Simplex Trading opened a new position in Celgene Corp worth $29.2M.

  • Simplex Trading's largest Q4 2017 buy was Celgene Corp: 280,194 shares worth $29.2M.
  • Simplex Trading added most to Baidu in Q4 2017, an estimated $18M increase.
  • Simplex Trading's biggest Q4 2017 reduction was Amazon, cutting an estimated $81.3M.
  • Simplex Trading fully exited iShares 20+ Year Treasury Bond ETF in Q4 2017, selling an estimated $21.1M.
  • Simplex Trading's ten largest holdings make up 17% of its $2.32B portfolio in Q4 2017.
  • Simplex Trading opened 1,548 new positions and closed 1,460 in Q4 2017.
  • Simplex Trading's portfolio value fell 5.1% quarter-over-quarter to $2.32B.

Based on Simplex Trading's 13F filing for Q4 2017, filed 10 Jan 2018.