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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
GPRE icon
5176
CALL
Green Plains
GPRE
$1.15B
$2K ﹤0.01%
93
-193
-67% -$3.39K
GRPN icon
5177
PUT
Groupon
GRPN
$1.05B
$2K ﹤0.01%
+5
New +$526
GSAT icon
5178
CALL
Globalstar
GSAT
$10.2B
$2K ﹤0.01%
67
+3
+5% +$68
GSAT icon
5179
PUT
Globalstar
GSAT
$10.2B
$2K ﹤0.01%
3
+1
+50% +$23
GTY
5180
CALL
Getty Realty Corp
GTY
$2.12B
$2K ﹤0.01%
150
-5
-3% -$142
HCC icon
5181
PUT
Warrior Met Coal
HCC
$4.26B
$2K ﹤0.01%
+12
New +$301
HEI.A icon
5182
CALL
HEICO Corp Class A
HEI.A
$36.3B
$2K ﹤0.01%
91
+78
+600% +$3.81K
HLX icon
5183
CALL
Helix Energy Solutions
HLX
$1.42B
$2K ﹤0.01%
+41
New +$290
HNI icon
5184
PUT
HNI Corp
HNI
$3.09B
$2K ﹤0.01%
+5
New +$183
HR icon
5185
CALL
Healthcare Realty
HR
$7.46B
$2K ﹤0.01%
33
+15
+83% +$454
HRTX icon
5186
PUT
Heron Therapeutics
HRTX
$86.9M
$2K ﹤0.01%
55
-33
-38% -$538
HUN icon
5187
PUT
Huntsman Corp
HUN
$2.06B
$2K ﹤0.01%
266
-518
-66% -$15.9K
INDB icon
5188
PUT
Independent Bank
INDB
$4.03B
$2K ﹤0.01%
+9
New +$644
INFY icon
5189
CALL
Infosys
INFY
$47.4B
$2K ﹤0.01%
42
-64
-60% -$487
INGR icon
5190
CALL
Ingredion
INGR
$6.4B
$2K ﹤0.01%
+3
New +$396
INSM icon
5191
CALL
Insmed
INSM
$22.7B
$2K ﹤0.01%
3
-1,344
-100% -$39.7K
INSM icon
5192
PUT
Insmed
INSM
$22.7B
$2K ﹤0.01%
28
-845
-97% -$25K
IQV icon
5193
PUT
IQVIA
IQV
$35.6B
$2K ﹤0.01%
+61
New +$6.21K
IRWD icon
5194
CALL
Ironwood Pharmaceuticals
IRWD
$644M
$2K ﹤0.01%
106
-170
-62% -$2.22K
ITT icon
5195
PUT
ITT
ITT
$17.7B
$2K ﹤0.01%
+35
New +$1.76K
ITRI icon
5196
CALL
Itron
ITRI
$3.76B
$2K ﹤0.01%
39
+30
+333% +$2.15K
IVR icon
5197
PUT
Invesco Mortgage Capital
IVR
$762M
$2K ﹤0.01%
+5
New +$883
JAZZ icon
5198
CALL
Jazz Pharmaceuticals
JAZZ
$16B
$2K ﹤0.01%
16
-40
-71% -$5.55K
JBSS icon
5199
John B. Sanfilippo & Son
JBSS
$978M
$2K ﹤0.01%
+45
New +$2.83K
JELD icon
5200
CALL
JELD-WEN Holding
JELD
$99.9M
$2K ﹤0.01%
+5
New +$186
206 207
208
209 210

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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.