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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
BNO icon
5901
PUT
United States Brent Oil Fund
BNO
$815M
– –
-120
Closed -$8K
BNS icon
5902
Scotiabank
BNS
$106B
– –
-3,900
Closed -$242K
BOH icon
5903
PUT
Bank of Hawaii
BOH
$3.33B
– –
-10
Closed -$2K
BOND icon
5904
PIMCO Active Bond Exchange-Traded Fund
BOND
$8.28B
– –
-170
Closed -$18K
BR icon
5905
PUT
Broadridge
BR
$17.2B
– –
-31
Closed -$3K
BRFS
5906
DELISTED
BRF SA
BRFS
– –
-43,310
Closed -$564K
BRKL
5907
CALL
DELISTED
Brookline Bancorp
BRKL
– –
-81
Closed -$3K
BRKR icon
5908
CALL
Bruker
BRKR
$9.2B
– –
-96
Closed -$56K
BTG icon
5909
PUT
B2Gold
BTG
$5.16B
– –
-93
Closed -$1K
BUD icon
5910
AB InBev
BUD
$158B
– –
-300
Closed -$35.1K
BVN icon
5911
Compañía de Minas Buenaventura
BVN
$7.85B
– –
-660
Closed -$8.33K
BWEN icon
5912
PUT
Broadwind
BWEN
$113M
– –
-70
Closed -$3K
BWX icon
5913
State Street SPDR Bloomberg International Treasury Bond ETF
BWX
$1.32B
– –
-63
Closed -$1K
BWXT icon
5914
BWX Technologies
BWXT
$16B
– –
-381
Closed -$20.2K
BXMT icon
5915
CALL
Blackstone Mortgage Trust
BXMT
$2.82B
– –
-51
Closed -$9K
BYD icon
5916
PUT
Boyd Gaming
BYD
$6.47B
– –
-24
Closed -$1K
BZH icon
5917
PUT
Beazer Homes USA
BZH
$907M
– –
-5
Closed -$1K
BZQ icon
5918
ProShares UltraShort MSCI Brazil Capped
BZQ
$2.46M
– –
-3
Closed -$3K
C icon
5919
Citigroup
C
$222B
– –
-111,875
Closed -$7.64M
CAAS icon
5920
China Automotive Systems
CAAS
$131M
– –
-23,619
Closed -$121K
CAAS icon
5921
PUT
China Automotive Systems
CAAS
$131M
– –
-194
Closed -$5K
CACI icon
5922
PUT
CACI
CACI
$10.8B
– –
-91
Closed -$7K
CAF
5923
PUT
Morgan Stanley China A Share Fund
CAF
$334M
– –
-39
Closed -$13K
CALM icon
5924
Cal-Maine
CALM
$4.28B
– –
-1,370
Closed -$51.2K
CALX icon
5925
Calix
CALX
$2.27B
– –
-3,413
Closed -$23K
235 236
237
238 239

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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.