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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
IWR icon
6226
iShares Russell Mid-Cap ETF
IWR
$56.5B
– –
-184
Closed -$8K
IWS icon
6227
iShares Russell Mid-Cap Value ETF
IWS
$15.6B
– –
-819
Closed -$68K
IYZ icon
6228
iShares US Telecommunications ETF
IYZ
$1.2B
– –
-96
Closed -$3K
JAKK icon
6229
PUT
Jakks Pacific
JAKK
$272M
– –
-58
Closed -$63K
JBHT icon
6230
PUT
JB Hunt Transport Services
JBHT
$27.2B
– –
-37
Closed -$8K
JEF icon
6231
Jefferies Financial Group
JEF
$12.8B
– –
-20,795
Closed -$466K
JILL icon
6232
J. Jill
JILL
$247M
– –
-1,506
Closed -$77K
JLL icon
6233
Jones Lang LaSalle
JLL
$14.8B
– –
-521
Closed -$64.4K
JLL icon
6234
PUT
Jones Lang LaSalle
JLL
$14.8B
– –
-456
Closed -$11K
JOE icon
6235
St. Joe Company
JOE
$3.57B
– –
-1,658
Closed -$30.8K
JOE icon
6236
PUT
St. Joe Company
JOE
$3.57B
– –
-40
Closed -$1K
JWN
6237
DELISTED
Nordstrom
JWN
– –
-27,938
Closed -$1.3M
KAI icon
6238
Kadant
KAI
$3.63B
– –
-184
Closed -$13K
KAI icon
6239
PUT
Kadant
KAI
$3.63B
– –
-4
Closed -$2K
KB icon
6240
PUT
KB Financial Group
KB
$42.4B
– –
-93
Closed -$2K
KEX icon
6241
CALL
Kirby Corp
KEX
$7.97B
– –
-60
Closed -$15K
KEX icon
6242
PUT
Kirby Corp
KEX
$7.97B
– –
-49
Closed -$4K
KEY icon
6243
KeyCorp
KEY
$24.4B
– –
-17,337
Closed -$314K
KFRC icon
6244
Kforce
KFRC
$1.01B
– –
-672
Closed -$13K
KLAC icon
6245
KLA
KLAC
$286B
– –
-20,630
Closed -$197K
KMX icon
6246
CarMax
KMX
$8.29B
– –
-36,111
Closed -$2.41M
KNOP icon
6247
CALL
KNOT Offshore Partners
KNOP
$360M
– –
-139
Closed -$8K
KNOP icon
6248
KNOT Offshore Partners
KNOP
$360M
– –
-2,104
Closed -$48.7K
KNOP icon
6249
PUT
KNOT Offshore Partners
KNOP
$360M
– –
-345
Closed -$14K
KOF icon
6250
Coca-Cola Femsa
KOF
$21.5B
– –
-345
Closed -$28.7K
248 249
250
251 252

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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.