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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
CMP icon
6051
Compass Minerals
CMP
$1.24B
– –
-317
Closed -$21.3K
CMS icon
6052
PUT
CMS Energy
CMS
$23.1B
– –
-14
Closed -$3K
CMTL icon
6053
PUT
Comtech Telecommunications
CMTL
$51.8M
– –
-18
Closed -$2K
CNI icon
6054
PUT
Canadian National Railway
CNI
$78.3B
– –
-69
Closed -$2K
CNTY icon
6055
Century Casinos
CNTY
$32.9M
– –
-6,208
Closed -$54K
CODI icon
6056
CALL
Compass Diversified
CODI
$755M
– –
-51
Closed -$11K
CODI icon
6057
Compass Diversified
CODI
$755M
– –
-12,398
Closed -$213K
CODI icon
6058
PUT
Compass Diversified
CODI
$755M
– –
-179
Closed -$3K
COF icon
6059
Capital One
COF
$124B
– –
-7,106
Closed -$648K
VISN
6060
PUT
Vistance Networks Inc
VISN
$2.66B
– –
-44
Closed -$6K
CP icon
6061
Canadian Pacific Kansas City
CP
$82B
– –
-10,820
Closed -$377K
CPSS icon
6062
CALL
Consumer Portfolio Services
CPSS
$205M
– –
-91
Closed -$1K
CPSS icon
6063
Consumer Portfolio Services
CPSS
$205M
$0 ﹤0.01%
+205
New +$898
CRAI icon
6064
PUT
CRA International
CRAI
$1.1B
– –
-41
Closed -$7K
CRBP icon
6065
CALL
Corbus Pharmaceuticals
CRBP
$170M
– –
-6
Closed -$10K
CRDF icon
6066
Cardiff Oncology
CRDF
$64.3M
– –
-65
Closed -$3K
CRH icon
6067
CALL
CRH
CRH
$66.7B
– –
-10
Closed -$3K
CRIS icon
6068
Curis
CRIS
$9.53M
– –
-2
Closed -$4.71K
CRIS icon
6069
PUT
Curis
CRIS
$9.53M
– –
0
– -$1K
CRL icon
6070
CALL
Charles River Laboratories
CRL
$10.9B
– –
-17
Closed -$5K
CRTO icon
6071
Criteo
CRTO
$1.03B
– –
-17,391
Closed -$623K
CSL icon
6072
Carlisle Companies
CSL
$13.6B
– –
-111
Closed -$11K
CSR
6073
CALL
Centerspace
CSR
$936M
– –
-3
Closed -$2K
CSTM icon
6074
PUT
Constellium
CSTM
$3.96B
– –
-137
Closed -$60K
CSV icon
6075
Carriage Services
CSV
$618M
– –
-1,541
Closed -$39.3K
241 242
243
244 245

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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.