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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
PRGS icon
6476
CALL
Progress Software
PRGS
$1.81B
– –
-109
Closed -$15K
PRGS icon
6477
PUT
Progress Software
PRGS
$1.81B
– –
-283
Closed -$22K
PRGO icon
6478
Perrigo
PRGO
$2.07B
– –
-18,823
Closed -$1.46M
PRLB icon
6479
PUT
Protolabs
PRLB
$1.95B
– –
-59
Closed -$2K
PRTA icon
6480
CALL
Prothena Corp
PRTA
$504M
– –
-83
Closed -$23K
PRTA icon
6481
Prothena Corp
PRTA
$504M
– –
-500
Closed -$30.6K
PSEC icon
6482
CALL
Prospect Capital
PSEC
$1.14B
– –
-97
Closed -$1K
PSEC icon
6483
Prospect Capital
PSEC
$1.14B
– –
-7,631
Closed -$57.2K
PSO icon
6484
PUT
Pearson
PSO
$9.6B
– –
-702
Closed -$8K
P
6485
CALL
Everpure Inc
P
$33.1B
– –
-131
Closed -$9K
PTEN icon
6486
Patterson-UTI
PTEN
$4.74B
– –
-7,261
Closed -$134K
PUK icon
6487
PUT
Prudential
PUK
$34.4B
– –
-34
Closed -$1K
PWR icon
6488
PUT
Quanta Services
PWR
$93.9B
– –
-45
Closed -$2K
PXLW icon
6489
CALL
Pixelworks
PXLW
$43.1M
– –
-1
Closed -$1K
QCRH icon
6490
QCR Holdings
QCRH
$1.68B
– –
-230
Closed -$10K
QLYS icon
6491
CALL
Qualys
QLYS
$5.94B
– –
-42
Closed -$2K
QLYS icon
6492
PUT
Qualys
QLYS
$5.94B
– –
-17
Closed -$1K
QURE icon
6493
uniQure
QURE
$3.09B
– –
-4,918
Closed -$39.6K
R icon
6494
PUT
Ryder
R
$9.53B
– –
-43
Closed -$7K
RAMP icon
6495
CALL
LiveRamp
RAMP
$2.3B
– –
-41
Closed -$1K
RARE icon
6496
Ultragenyx Pharmaceutical
RARE
$1.51B
– –
-1,441
Closed -$85.4K
RARE icon
6497
PUT
Ultragenyx Pharmaceutical
RARE
$1.51B
– –
-24
Closed -$10K
RAVE icon
6498
RAVE Restaurant Group
RAVE
$43.2M
– –
-140
Closed –
RBA icon
6499
PUT
RB Global
RBA
$15.5B
– –
-19
Closed -$1K
RBBN icon
6500
CALL
Ribbon Communications
RBBN
$356M
– –
-47
Closed -$3K
258 259
260
261 262

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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.