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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
AMRC icon
5826
CALL
Ameresco
AMRC
$1.15B
– –
-2
Closed -$1K
AMSC icon
5827
American Superconductor
AMSC
$1.48B
– –
-1,275
Closed -$4.95K
AMWD
5828
PUT
DELISTED
American Woodmark
AMWD
– –
-24
Closed -$4K
AMX icon
5829
PUT
America Movil
AMX
$78.1B
– –
-39
Closed -$3K
ANDE icon
5830
Andersons Inc
ANDE
$2.65B
– –
-436
Closed -$14K
ANGI icon
5831
Angi Inc
ANGI
$224M
– –
-4,284
Closed -$524K
ANIP icon
5832
ANI Pharmaceuticals
ANIP
$1.77B
– –
-4,387
Closed -$209K
YDKG
5833
Yueda Digital Holding
YDKG
$5M
– –
-2
Closed -$9.95K
AON icon
5834
Aon
AON
$77.3B
– –
-2,245
Closed -$313K
AON icon
5835
PUT
Aon
AON
$77.3B
– –
-130
Closed -$8K
AOS icon
5836
PUT
A.O. Smith
AOS
$8.38B
– –
-56
Closed -$1K
APAM icon
5837
Artisan Partners
APAM
$2.79B
– –
-3,034
Closed -$94.3K
BNBX
5838
DELISTED
BNB PLUS CORP
BNBX
– –
0
– –
APO icon
5839
Apollo Global Management
APO
$70.7B
– –
-100
Closed -$2.88K
APT icon
5840
Alpha Pro Tech
APT
$50.4M
– –
-249
Closed -$857
ARAY icon
5841
Accuray
ARAY
$28.4M
– –
-3,724
Closed -$16K
ARCT icon
5842
Arcturus Therapeutics
ARCT
$157M
$0 ﹤0.01%
+114
New +$859
ARE icon
5843
PUT
Alexandria Real Estate Equities
ARE
$8.88B
– –
-59
Closed -$6K
ARLP icon
5844
Alliance Resource Partners
ARLP
$3.18B
– –
-8,556
Closed -$164K
AROC icon
5845
Archrock
AROC
$6.33B
– –
-2,255
Closed -$24.5K
ARR
5846
PUT
Armour Residential REIT
ARR
$2.02B
– –
-31
Closed -$3K
ASC icon
5847
CALL
Ardmore Shipping
ASC
$678M
– –
-107
Closed -$1K
EFOR
5848
CALL
Everforth Inc
EFOR
$845M
– –
-5
Closed -$2K
ASR icon
5849
Grupo Aeroportuario del Sureste
ASR
$8.03B
– –
-58
Closed -$12K
ASR icon
5850
PUT
Grupo Aeroportuario del Sureste
ASR
$8.03B
– –
-4
Closed -$1K
232 233
234
235 236

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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.