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Simplex Trading

Simplex Trading Portfolio holdings

AUM $171B
1-Year Est. Return 85%
 

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
+85%
3 Year Est. Return
+183.25%
5 Year Est. Return
+145.21%
10 Year Est. Return
+1,056.84%
AUM
$2.45B
AUM Growth
+$147M
Cap. Flow
+$45.1M
Cap. Flow %
1.84%
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 Miscellaneous 39.59%
2 Consumer Discretionary 14.54%
3 Technology 13.33%
4 Communication Services 11.89%
5 Healthcare 4.58%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
OXSQ icon
6426
Oxford Square Capital
OXSQ
$145M
$0 ﹤0.01%
40
-32
-44% -$215
OZK icon
6427
Bank OZK
OZK
$5.5B
– –
-8,185
Closed -$365K
PACB icon
6428
Pacific Biosciences
PACB
$420M
– –
-16,310
Closed -$70.1K
PACB icon
6429
PUT
Pacific Biosciences
PACB
$420M
– –
-220
Closed -$33K
PAGP icon
6430
Plains GP Holdings
PAGP
$5.52B
– –
-17,461
Closed -$415K
PAHC icon
6431
CALL
Phibro Animal Health
PAHC
$1.55B
– –
-5
Closed -$3K
PAM icon
6432
Pampa Energía
PAM
$4.55B
– –
-5,637
Closed -$331K
PAM icon
6433
PUT
Pampa Energía
PAM
$4.55B
– –
-96
Closed -$20K
PB icon
6434
CALL
Prosperity Bancshares
PB
$8.75B
– –
-20
Closed -$2K
PBF icon
6435
PBF Energy
PBF
$8.81B
– –
-7,112
Closed -$165K
PBPB
6436
PUT
DELISTED
Potbelly
PBPB
– –
-234
Closed -$11K
PBYI icon
6437
Puma Biotechnology
PBYI
$493M
– –
-14,757
Closed -$1.37M
PBW icon
6438
Invesco WilderHill Clean Energy ETF
PBW
$392M
– –
-19
Closed –
PCAR icon
6439
PACCAR
PCAR
$65.6B
– –
-3,486
Closed -$157K
PCG icon
6440
CALL
PG&E
PCG
$31.5B
– –
-255
Closed -$11K
PCH
6441
DELISTED
PotlatchDeltic
PCH
– –
-18
Closed -$852
PDFS icon
6442
PUT
PDF Solutions
PDFS
$1.93B
– –
-7
Closed -$1K
PEB icon
6443
Pebblebrook Hotel Trust
PEB
$2.03B
– –
-132
Closed -$4.39K
PENN icon
6444
PENN Entertainment
PENN
$2.29B
– –
-3,700
Closed -$79.3K
PENN icon
6445
PUT
PENN Entertainment
PENN
$2.29B
– –
-65
Closed -$13K
PFE icon
6446
Pfizer
PFE
$162B
– –
-167,179
Closed -$5.37M
PFG icon
6447
PUT
Principal Financial Group
PFG
$25B
– –
-16
Closed -$1K
PFGC icon
6448
CALL
Performance Food Group
PFGC
$15.5B
– –
-13
Closed -$1K
PFLT icon
6449
PennantPark Floating Rate Capital
PFLT
$733M
– –
-10
Closed –
PG icon
6450
Procter & Gamble
PG
$340B
– –
-53,113
Closed -$4.84M
256 257
258
259 260

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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 Miscellaneous at 40% of assets, down from 40% a quarter earlier, followed by Consumer Discretionary and Technology.

  • 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.