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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
+6.2%
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
$2.32B
AUM Growth
-$126M
Cap. Flow
-$315M
Cap. Flow %
-13.55%
Top 10 Hldgs %
17.34%
Holding
7,407
New
1,548
Increased
2,053
Reduced
2,239
Closed
1,460

Top Buys

Rank Stock Value
1
CELG
Celgene Corp
CELG
+$31.6M
2
C icon
Citigroup
C
+$19.5M
3
AGN
Allergan plc
AGN
+$18.4M
4
BIDU icon
Baidu
BIDU
+$18M
5
EEM icon
iShares MSCI Emerging Markets ETF
EEM
+$14.2M

Top Sells

Rank Stock Value
1
AMZN icon
Amazon
AMZN
+$81.3M
2
NVDA icon
NVIDIA
NVDA
+$60.2M
3
GOOG icon
Alphabet (Google) Class C
GOOG
+$48.2M
4
AAPL icon
Apple
AAPL
+$48.2M
5
META icon
Meta Platforms (Facebook)
META
+$31.2M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 11.27%
2 Technology 10.64%
3 Healthcare 7.06%
4 Communication Services 6.92%
5 Industrials 5.66%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NEO icon
6426
NeoGenomics
NEO
$1.85B
– –
-67
Closed –
NERV icon
6427
Minerva Neurosciences
NERV
$207M
– –
-50
Closed -$3K
NG icon
6428
NovaGold Resources
NG
$2.6B
– –
-1,756
Closed -$6.98K
NGL icon
6429
NGL Energy Partners
NGL
$2.01B
– –
-18,012
Closed -$223K
NGVC icon
6430
PUT
Vitamin Cottage Natural Grocers
NGVC
$676M
– –
-12
Closed -$2K
NHTC icon
6431
Natural Health Trends
NHTC
$15.4M
– –
-2,065
Closed -$38.9K
NKE icon
6432
Nike
NKE
$60.8B
– –
-100,895
Closed -$5.8M
NKTR icon
6433
Nektar Therapeutics
NKTR
$2.34B
– –
-2,064
Closed -$1.22M
NLY icon
6434
Annaly Capital Management
NLY
$16.7B
– –
-5,082
Closed -$241K
NMFC icon
6435
CALL
New Mountain Finance
NMFC
$644M
– –
-185
Closed -$1K
NMIH icon
6436
CALL
NMI Holdings
NMIH
$3.16B
– –
-339
Closed -$24K
NMM icon
6437
CALL
Navios Maritime Partners
NMM
$2.18B
– –
-28
Closed -$8K
NNBR icon
6438
CALL
NN Inc
NNBR
$264M
– –
-91
Closed -$14K
NNN icon
6439
PUT
NNN REIT
NNN
$9.25B
– –
-15
Closed -$2K
NOA
6440
North American Construction
NOA
$378M
– –
-289
Closed -$1K
NOAH
6441
CALL
Noah Holdings
NOAH
$593M
– –
-19
Closed -$5K
NSA
6442
DELISTED
National Storage Affiliates Trust
NSA
– –
-4,026
Closed -$104K
NSA
6443
PUT
DELISTED
National Storage Affiliates Trust
NSA
– –
-83
Closed -$1K
NSIT icon
6444
CALL
Insight Enterprises
NSIT
$3.49B
– –
-3
Closed -$1K
NSP icon
6445
CALL
Insperity
NSP
$1.83B
– –
-48
Closed -$3K
NSP icon
6446
PUT
Insperity
NSP
$1.83B
– –
-16
Closed -$3K
NTRA icon
6447
CALL
Natera
NTRA
$37.9B
– –
-40
Closed -$5K
NTRS icon
6448
PUT
Northern Trust
NTRS
$21.9B
– –
-118
Closed -$5K
NTWK icon
6449
NetSol Technologies
NTWK
$51.8M
– –
-23,625
Closed -$82K
NTWK icon
6450
PUT
NetSol Technologies
NTWK
$51.8M
– –
-356
Closed -$56K
256 257
258
259 260

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Simplex Trading's Q4 2017 Portfolio in Review

As of Q4 2017, Simplex Trading held 7,407 positions worth $2.32B, down 5.1% from $2.45B the previous quarter. Its ten largest holdings account for 17% of the portfolio.

Simplex Trading withdrew a net $315M in Q4 2017, closing 1,460 positions and reducing 2,239 holdings. Its most notable exit was iShares 20+ Year Treasury Bond ETF, an estimated $21.1M position sold in full.

By sector, the portfolio is most concentrated in Consumer Discretionary at 11% of assets, down from 14% a quarter earlier, followed by Technology and Healthcare.

Against the trend, Simplex Trading opened a new position in Celgene Corp worth $29.2M.

  • Simplex Trading's largest Q4 2017 buy was Celgene Corp: 280,194 shares worth $29.2M.
  • Simplex Trading added most to Baidu in Q4 2017, an estimated $18M increase.
  • Simplex Trading's biggest Q4 2017 reduction was Amazon, cutting an estimated $81.3M.
  • Simplex Trading fully exited iShares 20+ Year Treasury Bond ETF in Q4 2017, selling an estimated $21.1M.
  • Simplex Trading's ten largest holdings make up 17% of its $2.32B portfolio in Q4 2017.
  • Simplex Trading opened 1,548 new positions and closed 1,460 in Q4 2017.
  • Simplex Trading's portfolio value fell 5.1% quarter-over-quarter to $2.32B.

Based on Simplex Trading's 13F filing for Q4 2017, filed 10 Jan 2018.