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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
+8.14%
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
$2.31B
AUM Growth
+$637M
Cap. Flow
+$539M
Cap. Flow %
23.34%
Top 10 Hldgs %
17.84%
Holding
7,485
New
1,662
Increased
2,374
Reduced
1,972
Closed
1,368

Top Buys

Rank Stock Value
1
GS icon
Goldman Sachs
GS
+$40.4M
2
NVDA icon
NVIDIA
NVDA
+$23.1M
3
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$21.5M
4
WFC icon
Wells Fargo
WFC
+$20.8M
5
MU icon
Micron Technology
MU
+$20M

Top Sells

Rank Stock Value
1
C icon
Citigroup
C
+$21.4M
2
AAPL icon
Apple
AAPL
+$15.7M
3
QQQ icon
Invesco QQQ Trust
QQQ
+$14.4M
4
LLY icon
Eli Lilly
LLY
+$10.5M
5
IBB icon
iShares Biotechnology ETF
IBB
+$8.06M

Sector Composition

Rank Sector Weight
1 Miscellaneous 39.75%
2 Technology 9.92%
3 Communication Services 9.47%
4 Consumer Discretionary 9.11%
5 Healthcare 8.95%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LLY icon
6476
Eli Lilly
LLY
$1.02T
– –
-131,715
Closed -$10.5M
LMAT icon
6477
CALL
LeMaitre Vascular
LMAT
$1.84B
– –
-20
Closed -$4K
LNG icon
6478
Cheniere Energy
LNG
$60.3B
– –
-47,393
Closed -$2.19M
LNW
6479
DELISTED
Light & Wonder
LNW
– –
-6,526
Closed -$126K
LOGI icon
6480
Logitech
LOGI
$14.6B
– –
-7,444
Closed -$214K
LPCN icon
6481
CALL
Lipocine
LPCN
$20.2M
– –
-6
Closed -$5K
LPG icon
6482
CALL
Dorian LPG
LPG
$2.36B
– –
-57
Closed -$5K
LPG icon
6483
Dorian LPG
LPG
$2.36B
– –
-1,686
Closed -$17.3K
LPSN icon
6484
LivePerson
LPSN
– –
-5
Closed -$534
LQDT icon
6485
CALL
Liquidity Services
LQDT
$1.32B
– –
-359
Closed -$25K
LRMR icon
6486
PUT
Larimar Therapeutics
LRMR
$398M
– –
-33
Closed -$1K
LSTR icon
6487
CALL
Landstar System
LSTR
$6.04B
– –
-100
Closed -$12K
LSTR icon
6488
Landstar System
LSTR
$6.04B
– –
-9,834
Closed -$841K
LSTR icon
6489
PUT
Landstar System
LSTR
$6.04B
– –
-152
Closed -$73K
LUV icon
6490
Southwest Airlines
LUV
$19.4B
– –
-10,421
Closed -$560K
LW icon
6491
Lamb Weston
LW
$6.86B
– –
-1,893
Closed -$74.7K
LXU icon
6492
CALL
LSB Industries
LXU
$814M
– –
-634
Closed -$11K
LYG icon
6493
Lloyds Banking Group
LYG
$88B
– –
-21,565
Closed -$72.7K
LZB icon
6494
La-Z-Boy
LZB
$1.31B
– –
-5,724
Closed -$162K
LZB icon
6495
PUT
La-Z-Boy
LZB
$1.31B
– –
-153
Closed -$11K
MAA icon
6496
Mid-America Apartment Communities
MAA
$14.9B
– –
-12,211
Closed -$1.21M
MAIN icon
6497
Main Street Capital
MAIN
$5.39B
– –
-2,060
Closed -$76.1K
MANH icon
6498
PUT
Manhattan Associates
MANH
$12.5B
– –
-2
Closed -$5K
MANU icon
6499
CALL
Manchester United
MANU
$3.6B
– –
-46
Closed -$1K
MATV icon
6500
Mativ Holdings
MATV
$699M
– –
-580
Closed -$26K
258 259
260
261 262

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Simplex Trading's Q1 2017 Portfolio in Review

As of Q1 2017, Simplex Trading held 7,485 positions worth $2.31B, up 38% from $1.67B the previous quarter. Its ten largest holdings account for 18% of the portfolio.

Simplex Trading deployed $539M of net new capital in Q1 2017, opening 1,662 new positions and adding to 2,374 existing holdings. Its largest new stake was iShares 20+ Year Treasury Bond ETF: 179,511 shares worth $21.7M.

By sector, the portfolio is most concentrated in Miscellaneous at 40% of assets, down from 51% a quarter earlier, followed by Technology and Communication Services.

On the sell side, the largest reduction was Citigroup, an estimated $21.4M trimmed.

  • Simplex Trading's largest Q1 2017 buy was iShares 20+ Year Treasury Bond ETF: 179,511 shares worth $21.7M.
  • Simplex Trading added most to Goldman Sachs in Q1 2017, an estimated $40.4M increase.
  • Simplex Trading's biggest Q1 2017 reduction was Citigroup, cutting an estimated $21.4M.
  • Simplex Trading fully exited Invesco QQQ Trust in Q1 2017, selling an estimated $14.4M.
  • Simplex Trading's ten largest holdings make up 18% of its $2.31B portfolio in Q1 2017.
  • Simplex Trading opened 1,662 new positions and closed 1,368 in Q1 2017.
  • Simplex Trading's portfolio value rose 38% quarter-over-quarter to $2.31B.

Based on Simplex Trading's 13F filing for Q1 2017, filed 21 Apr 2017.