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 |
Amazon
AMZN
|
+$45.9M |
| 2 |
iShares Russell 2000 ETF
IWM
|
+$30.1M |
| 3 |
TWX
Time Warner Inc
TWX
|
+$25.8M |
| 4 |
Booking.com
BKNG
|
+$22.5M |
| 5 |
Alphabet (Google) Class C
GOOG
|
+$17.7M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
State Street SPDR S&P 500 ETF Trust
SPY
|
+$43.6M |
| 2 |
Amgen
AMGN
|
+$33.2M |
| 3 |
Baidu
BIDU
|
+$19.3M |
| 4 |
Alphabet (Google) Class A
GOOGL
|
+$17.3M |
| 5 |
Micron Technology
MU
|
+$17.1M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Miscellaneous | 39.59% |
| 2 | Consumer Discretionary | 14.54% |
| 3 | Technology | 13.33% |
| 4 | Communication Services | 11.89% |
| 5 | Healthcare | 4.58% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | Held Since | |
|---|---|---|---|---|---|---|---|
26
CALL
Tesla
TSLA
$1.56T
| $13.3M | 0.54% |
93,585
-33,015
| -26% | -$762K |
2014 Q4
11 quarters
|
|
27
Qualcomm
QCOM
$192B
| $13M | 0.53% |
251,292
-161,122
| -39% | -$8.52M |
2017 Q1
2 quarters
|
|
28
JPMorgan Chase
JPM
$887B
| $12.8M | 0.52% |
+133,924
| New | +$12.4M |
2017 Q3
0 quarters
|
|
|
29
CALL
Alphabet (Google) Class A
GOOGL
$3.91T
| $12.7M | 0.52% |
81,400
+13,760
| +20% | +$653K |
2015 Q4
7 quarters
|
|
30
Constellation Brands
STZ
$22.9B
| $12.3M | 0.5% |
61,786
-20,483
| -25% | -$4.05M |
2015 Q1
10 quarters
|
|
|
31
PUT
Amazon
AMZN
$2.69T
| $11.4M | 0.47% |
136,100
-13,160
| -9% | -$646K |
2015 Q1
10 quarters
|
|
32
IBM
IBM
$241B
| $11.4M | 0.46% |
+81,864
| New | +$11.4M |
2017 Q3
0 quarters
|
|
33
PUT
iShares S&P 100 ETF
OEF
$20.4B
| $11.3M | 0.46% |
90,073
+10,021
| +13% | +$1.1M |
2014 Q4
11 quarters
|
|
|
34
PUT
Alphabet (Google) Class A
GOOGL
$3.91T
| $11.1M | 0.45% |
102,000
+3,620
| +4% | +$172K |
2015 Q4
7 quarters
|
|
|
35
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$812B
| $10.8M | 0.44% |
28,514
-15,861
| -36% | -$3.91M |
2015 Q1
10 quarters
|
|
36
CALL
Apple
AAPL
$5.03T
| $10.7M | 0.44% |
96,280
+44,120
| +85% | +$1.71M |
2015 Q1
10 quarters
|
|
37
PUT
DELISTED
iPath S&P 500 VIX Short-Term Futures ETN due 1/30/2019
VXX
| $10.6M | 0.43% |
+9,648
| New | +$448K |
2017 Q3
0 quarters
|
|
|
38
CALL
Amazon
AMZN
$2.69T
| $10.6M | 0.43% |
104,920
+23,520
| +29% | +$1.16M |
2015 Q1
10 quarters
|
|
39
PepsiCo
PEP
$185B
| $10.4M | 0.42% |
93,367
+54,421
| +140% | +$6.29M |
2017 Q1
2 quarters
|
|
40
State Street Energy Select Sector SPDR ETF
XLE
$46.1B
| $9.9M | 0.41% |
290,462
+233,198
| +407% | +$7.59M |
2017 Q1
2 quarters
|
|
41
Western Digital
WDC
$132B
| $9.8M | 0.4% |
150,315
-88,401
| -37% | -$5.87M |
2016 Q2
5 quarters
|
|
|
UCD
42
CALL
DELISTED
PROSHARES ULTRA BLOOMBERG COMMODITY
UCD
| $9.6M | 0.39% |
22,298
-271
| -1% | -$117K |
2014 Q4
11 quarters
|
|
43
PayPal
PYPL
$47.2B
| $9.6M | 0.39% |
149,776
+112,873
| +306% | +$6.76M |
2016 Q4
3 quarters
|
|
|
44
PUT
Tesla
TSLA
$1.56T
| $9.6M | 0.39% |
146,790
+5,415
| +4% | +$125K |
2014 Q4
11 quarters
|
|
45
Starbucks
SBUX
$116B
| $9.29M | 0.38% |
172,935
+83,676
| +94% | +$4.64M |
2016 Q2
5 quarters
|
|
46
Ulta Beauty
ULTA
$26.7B
| $8.63M | 0.35% |
+38,194
| New | +$9.19M |
2017 Q3
0 quarters
|
|
47
CALL
Citigroup
C
$204B
| $8.48M | 0.35% |
11,619
+1,948
| +20% | +$133K |
2014 Q4
11 quarters
|
|
48
Adobe
ADBE
$100B
| $8.26M | 0.34% |
55,368
+39,682
| +253% | +$5.92M |
2016 Q3
4 quarters
|
|
49
Oracle
ORCL
$384B
| $8.23M | 0.34% |
170,297
+117,438
| +222% | +$5.84M |
2017 Q2
1 quarter
|
|
|
AABA
50
DELISTED
Altaba Inc
AABA
| $8.22M | 0.34% |
124,076
+51,873
| +72% | +$3.18M |
2017 Q2
1 quarter
|
|
Similar funds
Simplex Trading's Q3 2017 Portfolio in Review
As of Q3 2017, Simplex Trading held 7,357 positions worth $2.45B, up 6.4% from $2.3B the previous quarter. Its ten largest holdings account for 24% of the portfolio.
Simplex Trading's Q3 2017 filing shows 1,313 new, 2,078 increased, 2,337 reduced and 1,500 closed positions. Its largest new stake was iShares Russell 2000 ETF: 214,170 shares worth $31.7M. The largest sale was State Street SPDR S&P 500 ETF Trust, an estimated $43.6M.
By sector, the portfolio is most concentrated in Miscellaneous at 40% of assets, down from 40% a quarter earlier, followed by Consumer Discretionary and Technology.
- Simplex Trading's largest Q3 2017 buy was iShares Russell 2000 ETF: 214,170 shares worth $31.7M.
- Simplex Trading added most to Amazon in Q3 2017, an estimated $45.9M increase.
- Simplex Trading's biggest Q3 2017 reduction was Baidu, cutting an estimated $19.3M.
- Simplex Trading fully exited State Street SPDR S&P 500 ETF Trust in Q3 2017, selling an estimated $43.6M.
- Simplex Trading's ten largest holdings make up 24% of its $2.45B portfolio in Q3 2017.
- Simplex Trading opened 1,313 new positions and closed 1,500 in Q3 2017.
- Simplex Trading's portfolio value rose 6.4% quarter-over-quarter to $2.45B.
Based on Simplex Trading's 13F filing for Q3 2017, filed 25 Oct 2017.