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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
KR icon
6251
Kroger
KR
$34.2B
– –
-20,206
Closed -$455K
KRE icon
6252
State Street SPDR S&P Regional Banking ETF
KRE
$4.82B
– –
-24,105
Closed -$1.32M
KRC icon
6253
CALL
Kilroy Realty
KRC
$4.46B
– –
-85
Closed -$11K
KRC icon
6254
PUT
Kilroy Realty
KRC
$4.46B
– –
-60
Closed -$4K
KRG icon
6255
CALL
Kite Realty
KRG
$5.87B
– –
-323
Closed -$4K
KRG icon
6256
PUT
Kite Realty
KRG
$5.87B
– –
-254
Closed -$9K
KRNT icon
6257
Kornit Digital
KRNT
$689M
– –
-400
Closed -$7.3K
KSS icon
6258
Kohl's
KSS
$2.06B
– –
-13,286
Closed -$545K
KTCC icon
6259
CALL
Key Tronic
KTCC
$39.5M
– –
-80
Closed -$2K
LADR
6260
PUT
Ladder Capital
LADR
$1.22B
– –
-10
Closed -$1K
LAUR icon
6261
Laureate Education
LAUR
$5.12B
– –
-3,126
Closed -$49K
LBTYA icon
6262
Liberty Global Class A
LBTYA
$3.48B
– –
-5,114
Closed -$164K
LBTYK icon
6263
Liberty Global Class C
LBTYK
$3.37B
– –
-1,196
Closed -$37K
LCII icon
6264
PUT
LCI Industries
LCII
$2.54B
– –
-25
Closed -$3K
LCTX icon
6265
Lineage Cell Therapeutics
LCTX
$267M
– –
-1,257
Closed -$3.12K
LEE icon
6266
Lee Enterprises
LEE
$169M
– –
-420
Closed -$8.44K
LEE icon
6267
PUT
Lee Enterprises
LEE
$169M
– –
-7
Closed -$4K
LECO icon
6268
PUT
Lincoln Electric
LECO
$13.7B
– –
-7
Closed -$1K
LGND icon
6269
CALL
Ligand Pharmaceuticals
LGND
$6.06B
– –
-577
Closed -$196K
LHX icon
6270
L3Harris
LHX
$55.8B
– –
-4,348
Closed -$522K
LINC icon
6271
Lincoln Educational Services
LINC
$1.31B
– –
-212
Closed –
LMAT icon
6272
CALL
LeMaitre Vascular
LMAT
$2.23B
– –
-10
Closed -$3K
LMNR icon
6273
Limoneira
LMNR
$238M
– –
-220
Closed -$5K
LNC icon
6274
Lincoln National
LNC
$7.81B
– –
-5,623
Closed -$397K
LNG icon
6275
Cheniere Energy
LNG
$57B
– –
-9,674
Closed -$428K
249 250
251
252 253

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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.