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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
+6.87%
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
$2.45B
AUM Growth
+$147M
Cap. Flow
+$26.3M
Cap. Flow %
1.07%
Top 10 Hldgs %
23.61%
Holding
7,357
New
1,313
Increased
2,078
Reduced
2,339
Closed
1,500

Top Buys

Rank Stock Value
1
AMZN icon
Amazon
AMZN
+$45.9M
2
IWM icon
iShares Russell 2000 ETF
IWM
+$30.1M
3
TWX
Time Warner Inc
TWX
+$25.8M
4
BKNG icon
Booking.com
BKNG
+$22.5M
5
GOOG icon
Alphabet (Google) Class C
GOOG
+$17.7M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$43.6M
2
AMGN icon
Amgen
AMGN
+$33.2M
3
BIDU icon
Baidu
BIDU
+$19.3M
4
GOOGL icon
Alphabet (Google) Class A
GOOGL
+$17.3M
5
MU icon
Micron Technology
MU
+$17.1M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 14.31%
2 Technology 13.17%
3 Communication Services 11.81%
4 Healthcare 4.06%
5 Financials 3.84%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AGG icon
5801
iShares Core US Aggregate Bond ETF
AGG
$138B
– –
-10,763
Closed -$1.18M
AGI icon
5802
CALL
Alamos Gold
AGI
$12.4B
– –
-92
Closed -$1K
AGIO icon
5803
CALL
Agios Pharmaceuticals
AGIO
$2.16B
– –
-33
Closed -$6K
AGM icon
5804
Federal Agricultural Mortgage
AGM
$2.27B
– –
-3,211
Closed -$207K
AGNC icon
5805
AGNC Investment
AGNC
$12.3B
– –
-5,840
Closed -$125K
AHRT
5806
PUT
AH Realty Trust
AHRT
$534M
– –
-32
Closed -$1K
AHT
5807
CALL
Ashford Hospitality Trust
AHT
$21M
– –
0
– -$2K
AHT
5808
PUT
Ashford Hospitality Trust
AHT
$21M
– –
0
– -$2K
AKBA icon
5809
PUT
Akebia Therapeutics
AKBA
$327M
– –
-96
Closed -$2K
AL
5810
PUT
DELISTED
Air Lease Corp
AL
– –
-17
Closed -$2K
ALGN icon
5811
Align Technology
ALGN
$12B
– –
-1,780
Closed -$305K
ALLE icon
5812
CALL
Allegion
ALLE
$13B
– –
-7
Closed -$4K
ALLE icon
5813
Allegion
ALLE
$13B
– –
-988
Closed -$80K
ALV icon
5814
Autoliv
ALV
$8.6B
– –
-21,195
Closed -$1.72M
OSG
5815
Octave Specialty Group
OSG
$252M
– –
-8,982
Closed -$155K
AMC icon
5816
AMC Entertainment Holdings
AMC
$2.03B
– –
-496
Closed -$82.8K
AMCX icon
5817
AMC Global Media
AMCX
$430M
– –
-3,169
Closed -$189K
AMCX icon
5818
PUT
AMC Global Media
AMCX
$430M
– –
-88
Closed -$20K
AMED
5819
PUT
DELISTED
Amedisys
AMED
– –
-78
Closed -$4K
AMGN icon
5820
Amgen
AMGN
$203B
– –
-187,633
Closed -$33.2M
AMH icon
5821
CALL
American Homes 4 Rent
AMH
$12B
– –
-13
Closed -$1K
AMG icon
5822
Affiliated Managers Group
AMG
$9.46B
– –
-783
Closed -$139K
AMLP icon
5823
Alerian MLP ETF
AMLP
$13B
– –
-15
Closed –
AMP icon
5824
PUT
Ameriprise Financial
AMP
$46.8B
– –
-26
Closed -$4K
AMRN
5825
PUT
Amarin Corp
AMRN
$284M
– –
-6
Closed -$2K
231 232
233
234 235

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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, 2,339 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 Consumer Discretionary at 14% of assets, up from 9.7% a quarter earlier, followed by Technology and Communication Services.

  • 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.