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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
EZPW icon
6076
PUT
Ezcorp Inc
EZPW
$1.83B
– –
-24
Closed -$2K
FAF icon
6077
First American
FAF
$7.72B
– –
-13
Closed –
FANG icon
6078
Diamondback Energy
FANG
$57.9B
– –
-11,563
Closed -$1.06M
FAS icon
6079
Direxion Daily Financial Bull 3x ETF
FAS
$2.38B
– –
-31,951
Closed -$1.58M
FAST icon
6080
Fastenal
FAST
$53.8B
– –
-10,060
Closed -$108K
FATE icon
6081
Fate Therapeutics
FATE
$282M
$0 ﹤0.01%
+104
New +$354
FBIO icon
6082
CALL
Fortress Biotech
FBIO
$109M
– –
-7
Closed -$5K
FBP icon
6083
First Bancorp
FBP
$4.4B
– –
-98
Closed -$559
FCEL icon
6084
FuelCell Energy
FCEL
$1.7B
$0 ﹤0.01%
1
-42
-98% -$22.7K
FCPT icon
6085
CALL
Four Corners Property Trust
FCPT
$2.87B
– –
-15
Closed -$1K
FDN icon
6086
First Trust Dow Jones Internet Index Fund ETF
FDN
$4.87B
– –
-71
Closed -$6K
FDUS icon
6087
Fidus Investment
FDUS
$735M
– –
-200
Closed -$3K
FEZ icon
6088
State Street SPDR EURO STOXX 50 ETF
FEZ
$4.29B
– –
-3,276
Closed -$126K
FF icon
6089
CALL
Future Fuel
FF
$205M
– –
-17
Closed -$1K
FISV
6090
Fiserv Inc
FISV
$27.3B
– –
-996
Closed -$61.9K
FISV
6091
PUT
Fiserv Inc
FISV
$27.3B
– –
-58
Closed -$1K
FITB
6092
Fifth Third Bancorp
FITB
$52.1B
– –
-189
Closed -$5.01K
FIVN icon
6093
FIVE9
FIVN
$1.78B
– –
-27,236
Closed -$591K
FIVN icon
6094
PUT
FIVE9
FIVN
$1.78B
– –
-51
Closed -$6K
FIW icon
6095
PUT
First Trust Water ETF
FIW
$1.84B
– –
-20
Closed -$4K
FIX icon
6096
Comfort Systems
FIX
$60.9B
– –
-4,552
Closed -$168K
FLEX icon
6097
Flex
FLEX
$44B
– –
-14,848
Closed -$183K
FLNT
6098
PUT
Fluent
FLNT
$106M
– –
-15
Closed -$1K
FLS icon
6099
Flowserve
FLS
$9.24B
– –
-735
Closed -$30.9K
FLS icon
6100
PUT
Flowserve
FLS
$9.24B
– –
-178
Closed -$2K
242 243
244
245 246

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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.