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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
+6.2%
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
$2.32B
AUM Growth
-$126M
Cap. Flow
-$315M
Cap. Flow %
-13.55%
Top 10 Hldgs %
17.34%
Holding
7,407
New
1,548
Increased
2,053
Reduced
2,239
Closed
1,460

Top Buys

Rank Stock Value
1
CELG
Celgene Corp
CELG
+$31.6M
2
C icon
Citigroup
C
+$19.5M
3
AGN
Allergan plc
AGN
+$18.4M
4
BIDU icon
Baidu
BIDU
+$18M
5
EEM icon
iShares MSCI Emerging Markets ETF
EEM
+$14.2M

Top Sells

Rank Stock Value
1
AMZN icon
Amazon
AMZN
+$81.3M
2
NVDA icon
NVIDIA
NVDA
+$60.2M
3
GOOG icon
Alphabet (Google) Class C
GOOG
+$48.2M
4
AAPL icon
Apple
AAPL
+$48.2M
5
META icon
Meta Platforms (Facebook)
META
+$31.2M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 11.27%
2 Technology 10.64%
3 Healthcare 7.06%
4 Communication Services 6.92%
5 Industrials 5.66%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BSET icon
6001
PUT
Bassett Furniture
BSET
$169M
– –
-21
Closed -$2K
SLAI
6002
CALL
DELISTED
SOLAI Ltd ADS
SLAI
– –
-7
Closed -$30K
BTI icon
6003
British American Tobacco
BTI
$132B
– –
-29,915
Closed -$1.95M
BTU icon
6004
Peabody Energy
BTU
$2.78B
– –
-45,584
Closed -$1.48M
BWA icon
6005
BorgWarner
BWA
$13.2B
– –
-6,019
Closed -$278K
BWX icon
6006
State Street SPDR Bloomberg International Treasury Bond ETF
BWX
$1.32B
$0 ﹤0.01%
+16
New +$450
BXMT icon
6007
Blackstone Mortgage Trust
BXMT
$2.82B
$0 ﹤0.01%
+26
New +$834
BXMT icon
6008
PUT
Blackstone Mortgage Trust
BXMT
$2.82B
– –
-26
Closed -$1K
CAAS icon
6009
CALL
China Automotive Systems
CAAS
$131M
– –
-86
Closed -$3K
CADE
6010
DELISTED
Cadence Bank
CADE
– –
-61
Closed -$1.96K
CAG icon
6011
Conagra Brands
CAG
$7.07B
– –
-21,912
Closed -$778K
CAH icon
6012
Cardinal Health
CAH
$53.4B
– –
-7,975
Closed -$493K
CAKE icon
6013
Cheesecake Factory
CAKE
$4.21B
– –
-8,929
Closed -$406K
CAL icon
6014
CALL
Caleres
CAL
$396M
– –
-16
Closed -$2K
CAPL icon
6015
PUT
CrossAmerica Partners
CAPL
$830M
– –
-15
Closed -$1K
CARS icon
6016
Cars.com
CARS
$641M
– –
-7,743
Closed -$200K
CATO icon
6017
Cato Corp
CATO
$65.9M
– –
-869
Closed -$12.6K
CATO icon
6018
PUT
Cato Corp
CATO
$65.9M
– –
-48
Closed -$5K
CBOE icon
6019
Cboe Global Markets
CBOE
$29.8B
– –
-2,422
Closed -$284K
CBRL icon
6020
CALL
Cracker Barrel
CBRL
$1.2B
– –
-45
Closed -$10K
CBU icon
6021
CALL
Community Bank
CBU
$3.53B
– –
-37
Closed -$1K
CCEP icon
6022
PUT
Coca-Cola Europacific Partners
CCEP
$46.5B
– –
-39
Closed -$12K
CCRN
6023
PUT
DELISTED
Cross Country Healthcare
CCRN
– –
-644
Closed -$3K
CDNS icon
6024
PUT
Cadence Design Systems
CDNS
$90B
– –
-46
Closed -$2K
CDW icon
6025
CALL
CDW
CDW
$17.1B
– –
-96
Closed -$24K
239 240
241
242 243

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Simplex Trading's Q4 2017 Portfolio in Review

As of Q4 2017, Simplex Trading held 7,407 positions worth $2.32B, down 5.1% from $2.45B the previous quarter. Its ten largest holdings account for 17% of the portfolio.

Simplex Trading withdrew a net $315M in Q4 2017, closing 1,460 positions and reducing 2,239 holdings. Its most notable exit was iShares 20+ Year Treasury Bond ETF, an estimated $21.1M position sold in full.

By sector, the portfolio is most concentrated in Consumer Discretionary at 11% of assets, down from 14% a quarter earlier, followed by Technology and Healthcare.

Against the trend, Simplex Trading opened a new position in Celgene Corp worth $29.2M.

  • Simplex Trading's largest Q4 2017 buy was Celgene Corp: 280,194 shares worth $29.2M.
  • Simplex Trading added most to Baidu in Q4 2017, an estimated $18M increase.
  • Simplex Trading's biggest Q4 2017 reduction was Amazon, cutting an estimated $81.3M.
  • Simplex Trading fully exited iShares 20+ Year Treasury Bond ETF in Q4 2017, selling an estimated $21.1M.
  • Simplex Trading's ten largest holdings make up 17% of its $2.32B portfolio in Q4 2017.
  • Simplex Trading opened 1,548 new positions and closed 1,460 in Q4 2017.
  • Simplex Trading's portfolio value fell 5.1% quarter-over-quarter to $2.32B.

Based on Simplex Trading's 13F filing for Q4 2017, filed 10 Jan 2018.