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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
CIG icon
5951
CEMIG Preferred Shares
CIG
$6.09B
– –
-4,873
Closed -$6.64K
CIM
5952
CALL
Chimera Investment
CIM
$1.05B
– –
-57
Closed -$2K
CINF icon
5953
PUT
Cincinnati Financial
CINF
$28.3B
– –
-15
Closed -$1K
CIO
5954
PUT
DELISTED
City Office REIT
CIO
– –
-50
Closed -$5K
CLAR icon
5955
Clarus
CLAR
$125M
– –
-264
Closed -$1K
CLDT
5956
Chatham Lodging
CLDT
$630M
– –
-3,439
Closed -$70.2K
CLDT
5957
PUT
Chatham Lodging
CLDT
$630M
– –
-241
Closed -$7K
CLDX icon
5958
Celldex Therapeutics
CLDX
$2.77B
– –
-961
Closed -$36K
CLFD icon
5959
PUT
Clearfield
CLFD
$421M
– –
-6
Closed -$1K
CLLS
5960
CALL
Cellectis
CLLS
$286M
– –
-8
Closed -$1K
CLNE icon
5961
CALL
Clean Energy Fuels
CLNE
$447M
– –
-120
Closed -$2K
CMC icon
5962
Commercial Metals
CMC
$7.63B
– –
-12,640
Closed -$237K
CMCO icon
5963
Columbus McKinnon
CMCO
$465M
– –
-2,616
Closed -$79.9K
CMCO icon
5964
PUT
Columbus McKinnon
CMCO
$465M
– –
-24
Closed -$16K
CMCM
5965
CALL
Cheetah Mobile
CMCM
$88.8M
– –
-65
Closed -$1K
CMPR icon
5966
Cimpress
CMPR
$2.37B
– –
-304
Closed -$28.2K
CNA icon
5967
CALL
CNA Financial
CNA
$14.5B
– –
-2
Closed -$1K
CNO icon
5968
CNO Financial Group
CNO
$4.97B
– –
-941
Closed -$21K
CNS icon
5969
CALL
Cohen & Steers
CNS
$4.18B
– –
-6
Closed -$1K
COLM icon
5970
PUT
Columbia Sportswear
COLM
$3.19B
– –
-26
Closed -$5K
COO icon
5971
Cooper Companies
COO
$13.7B
– –
-8,936
Closed -$546K
CORT icon
5972
PUT
Corcept Therapeutics
CORT
$10.2B
– –
-30
Closed -$1K
COST icon
5973
Costco
COST
$415B
– –
-44,997
Closed -$7.07M
CPF icon
5974
Central Pacific Financial
CPF
$997M
– –
-808
Closed -$25K
CQP icon
5975
Cheniere Energy
CQP
$31.8B
– –
-3,506
Closed -$101K
237 238
239
240 241

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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.