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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
DFIN icon
6001
CALL
Donnelley Financial Solutions
DFIN
$1.21B
– –
-23
Closed -$2K
DGX icon
6002
Quest Diagnostics
DGX
$25.1B
– –
-1,465
Closed -$156K
DIA icon
6003
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$45.8B
– –
-26,597
Closed -$5.82M
DIS icon
6004
Walt Disney
DIS
$165B
– –
-96,122
Closed -$9.89M
DKL icon
6005
Delek Logistics
DKL
$3.04B
– –
-1,132
Closed -$35.6K
DLTR icon
6006
Dollar Tree
DLTR
$23.1B
– –
-12,925
Closed -$986K
DLX icon
6007
Deluxe
DLX
$1.19B
– –
-1,313
Closed -$91.6K
DLX icon
6008
PUT
Deluxe
DLX
$1.19B
– –
-28
Closed -$3K
DMLP icon
6009
Dorchester Minerals
DMLP
$1.34B
– –
-2,356
Closed -$34.6K
DMLP icon
6010
PUT
Dorchester Minerals
DMLP
$1.34B
– –
-55
Closed -$6K
DNOW icon
6011
CALL
DNOW Inc
DNOW
$2.63B
– –
-31
Closed -$2K
DOC icon
6012
Healthpeak Properties
DOC
$15.4B
– –
-4,139
Closed -$124K
DOV icon
6013
PUT
Dover
DOV
$27.2B
– –
-28
Closed -$1K
DOX icon
6014
CALL
Amdocs
DOX
$5.53B
– –
-100
Closed -$8K
DRN icon
6015
Direxion Daily Real Estate Bull 3X ETF
DRN
$51.4M
– –
-3,320
Closed -$74K
DSL
6016
PUT
DoubleLine Income Solutions Fund
DSL
$1.21B
– –
-61
Closed -$2K
DSX icon
6017
PUT
Diana Shipping
DSX
$280M
– –
-50
Closed -$4K
DTE icon
6018
DTE Energy
DTE
$31.1B
– –
-2,128
Closed -$197K
DVAX
6019
DELISTED
Dynavax Technologies
DVAX
– –
-12,786
Closed -$202K
DWSN icon
6020
Dawson Geophysical
DWSN
$155M
– –
-2,035
Closed -$7K
DWSN icon
6021
PUT
Dawson Geophysical
DWSN
$155M
– –
-21
Closed -$2K
DXCM icon
6022
DexCom
DXCM
$27.6B
– –
-21,740
Closed -$384K
DXD icon
6023
ProShares UltraShort Dow 30
DXD
$44.8M
$0 ﹤0.01%
1
-20
-95% -$4.5K
DXLG icon
6024
Destination XL Group
DXLG
$34.7M
– –
-7,147
Closed -$16K
DY icon
6025
Dycom Industries
DY
$12.9B
– –
-13,846
Closed -$1.17M
239 240
241
242 243

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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.