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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
EPM icon
6051
CALL
Evolution Petroleum
EPM
$138M
– –
-284
Closed -$3K
EPM icon
6052
Evolution Petroleum
EPM
$138M
– –
-684
Closed -$5.18K
EQNR icon
6053
Equinor
EQNR
$96B
– –
-2,454
Closed -$45.3K
EQR icon
6054
Equity Residential
EQR
$25.5B
– –
-1,438
Closed -$96.3K
EMBJ
6055
Embraer S.A. ADS
EMBJ
$11.5B
– –
-15,391
Closed -$328K
ES icon
6056
CALL
Eversource Energy
ES
$28.2B
– –
-11
Closed -$1K
ESCA icon
6057
CALL
Escalade
ESCA
$258M
– –
-30
Closed -$2K
ESI icon
6058
PUT
Element Solutions
ESI
$9.07B
– –
-762
Closed -$30K
ESRT icon
6059
Empire State Realty Trust
ESRT
$973M
– –
-80
Closed -$1.64K
ESS icon
6060
PUT
Essex Property Trust
ESS
$18.8B
– –
-275
Closed -$68K
ETD icon
6061
Ethan Allen Interiors
ETD
$581M
– –
-12,154
Closed -$373K
ETD icon
6062
PUT
Ethan Allen Interiors
ETD
$581M
– –
-439
Closed -$23K
ETN icon
6063
Eaton
ETN
$156B
– –
-45,625
Closed -$3.44M
ETR icon
6064
Entergy
ETR
$54B
– –
-8,772
Closed -$339K
EUFN icon
6065
iShares MSCI Europe Financials ETF
EUFN
$3.86B
– –
-1,020
Closed -$22K
EVR icon
6066
Evercore
EVR
$13.1B
– –
-5,537
Closed -$416K
EVRI
6067
CALL
DELISTED
Everi Holdings
EVRI
– –
-61
Closed -$2K
EWA icon
6068
iShares MSCI Australia ETF
EWA
$1.34B
– –
-6,596
Closed -$148K
EWBC icon
6069
East-West Bancorp
EWBC
$18B
– –
-1,664
Closed -$94.5K
EWM icon
6070
iShares MSCI Malaysia ETF
EWM
$305M
– –
-16,449
Closed -$521K
EWP icon
6071
iShares MSCI Spain ETF
EWP
$1.99B
– –
-737
Closed -$24K
EWY icon
6072
iShares MSCI South Korea ETF
EWY
$21.8B
– –
-31,035
Closed -$2.1M
EXP icon
6073
Eagle Materials
EXP
$6.56B
– –
-6,891
Closed -$657K
EXPE icon
6074
Expedia Group
EXPE
$31.2B
– –
-300
Closed -$44.4K
EXR icon
6075
Extra Space Storage
EXR
$31.2B
– –
-1,781
Closed -$139K
241 242
243
244 245

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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.