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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
+8.14%
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
$2.31B
AUM Growth
+$637M
Cap. Flow
+$551M
Cap. Flow %
23.85%
Top 10 Hldgs %
17.84%
Holding
7,485
New
1,662
Increased
2,374
Reduced
1,972
Closed
1,369

Top Buys

Rank Stock Value
1
GS icon
Goldman Sachs
GS
+$40.4M
2
NVDA icon
NVIDIA
NVDA
+$23.1M
3
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$21.5M
4
WFC icon
Wells Fargo
WFC
+$20.8M
5
MU icon
Micron Technology
MU
+$20M

Top Sells

Rank Stock Value
1
C icon
Citigroup
C
+$21.4M
2
AAPL icon
Apple
AAPL
+$15.7M
3
QQQ icon
Invesco QQQ Trust
QQQ
+$14.4M
4
LLY icon
Eli Lilly
LLY
+$10.5M
5
IBB icon
iShares Biotechnology ETF
IBB
+$8.06M

Sector Composition

Rank Sector Weight
1 Technology 9.73%
2 Communication Services 9.25%
3 Consumer Discretionary 8.76%
4 Healthcare 8.53%
5 Financials 7.38%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ALT icon
6076
Altimmune
ALT
$539M
$0 ﹤0.01%
4
-74
-95% -$39.6K
ALT icon
6077
PUT
Altimmune
ALT
$539M
– –
-2
Closed -$28K
AMAT icon
6078
Applied Materials
AMAT
$423B
– –
-987
Closed -$35.4K
AMC icon
6079
PUT
AMC Entertainment Holdings
AMC
$2.1B
– –
-90
Closed -$223K
AMD icon
6080
Advanced Micro Devices
AMD
$853B
– –
-75,657
Closed -$960K
AMED
6081
CALL
DELISTED
Amedisys
AMED
– –
-16
Closed -$1K
AMGN icon
6082
Amgen
AMGN
$203B
– –
-9,578
Closed -$1.59M
AMH icon
6083
American Homes 4 Rent
AMH
$12B
– –
-8,055
Closed -$180K
AMKR icon
6084
PUT
Amkor Technology
AMKR
$15.8B
– –
-22
Closed -$2K
AMLP icon
6085
Alerian MLP ETF
AMLP
$13B
– –
-35
Closed -$2K
ANDE icon
6086
CALL
Andersons Inc
ANDE
$2.65B
– –
-17
Closed -$2K
ANGI icon
6087
Angi Inc
ANGI
$230M
– –
-199
Closed -$12.7K
YDKG
6088
CALL
Yueda Digital Holding
YDKG
$5.08M
– –
0
– -$2K
AON icon
6089
Aon
AON
$77.2B
– –
-3,331
Closed -$384K
AOSL icon
6090
CALL
Alpha and Omega Semiconductor
AOSL
$941M
– –
-8
Closed -$1K
AOS icon
6091
A.O. Smith
AOS
$8.36B
– –
-4,765
Closed -$236K
AP icon
6092
CALL
Ampco-Pittsburgh
AP
$168M
– –
-7
Closed -$1K
APA icon
6093
APA Corp
APA
$12.9B
– –
-7,889
Closed -$443K
APAM icon
6094
Artisan Partners
APAM
$2.79B
– –
-115
Closed -$3.3K
APT icon
6095
CALL
Alpha Pro Tech
APT
$50.2M
– –
-663
Closed -$4K
ARWR icon
6096
PUT
Arrowhead Research
ARWR
$12.1B
– –
-52
Closed -$48K
ASA
6097
PUT
ASA Gold and Precious Metals
ASA
$946M
– –
-11
Closed -$4K
ARW icon
6098
PUT
Arrow Electronics
ARW
$10.8B
– –
-171
Closed -$14K
ASB icon
6099
CALL
Associated Banc-Corp
ASB
$5.85B
– –
-10
Closed -$2K
ASC icon
6100
Ardmore Shipping
ASC
$679M
– –
-245
Closed -$1K
242 243
244
245 246

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Simplex Trading's Q1 2017 Portfolio in Review

As of Q1 2017, Simplex Trading held 7,485 positions worth $2.31B, up 38% from $1.67B the previous quarter. Its ten largest holdings account for 18% of the portfolio.

Simplex Trading deployed $551M of net new capital in Q1 2017, opening 1,662 new positions and adding to 2,374 existing holdings. Its largest new stake was iShares 20+ Year Treasury Bond ETF: 179,511 shares worth $21.7M.

By sector, the portfolio is most concentrated in Technology at 9.7% of assets, up from 7.2% a quarter earlier, followed by Communication Services and Consumer Discretionary.

On the sell side, the largest reduction was Citigroup, an estimated $21.4M trimmed.

  • Simplex Trading's largest Q1 2017 buy was iShares 20+ Year Treasury Bond ETF: 179,511 shares worth $21.7M.
  • Simplex Trading added most to Goldman Sachs in Q1 2017, an estimated $40.4M increase.
  • Simplex Trading's biggest Q1 2017 reduction was Citigroup, cutting an estimated $21.4M.
  • Simplex Trading fully exited Invesco QQQ Trust in Q1 2017, selling an estimated $14.4M.
  • Simplex Trading's ten largest holdings make up 18% of its $2.31B portfolio in Q1 2017.
  • Simplex Trading opened 1,662 new positions and closed 1,369 in Q1 2017.
  • Simplex Trading's portfolio value rose 38% quarter-over-quarter to $2.31B.

Based on Simplex Trading's 13F filing for Q1 2017, filed 21 Apr 2017.