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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
RPM icon
6526
RPM International
RPM
$13.4B
– –
-381
Closed -$19.5K
RRGB icon
6527
Red Robin
RRGB
$132M
– –
-3,581
Closed -$218K
RRR icon
6528
CALL
Red Rock Resorts
RRR
$3.67B
– –
-61
Closed -$11K
RS icon
6529
Reliance Steel & Aluminium
RS
$20.2B
– –
-7,370
Closed -$538K
RS icon
6530
PUT
Reliance Steel & Aluminium
RS
$20.2B
– –
-350
Closed -$26K
RSP icon
6531
PUT
Invesco S&P 500 Equal Weight ETF
RSP
$95.3B
– –
-21
Closed -$1K
RUN icon
6532
CALL
Sunrun
RUN
$2.48B
– –
-31
Closed -$1K
RVTY icon
6533
CALL
Revvity
RVTY
$12.6B
– –
-11
Closed -$7K
RWR icon
6534
State Street SPDR Dow Jones REIT ETF
RWR
$1.89B
– –
-244
Closed -$22K
RWT
6535
Redwood Trust
RWT
$614M
– –
-248
Closed -$4.16K
RY icon
6536
PUT
Royal Bank of Canada
RY
$290B
– –
-226
Closed -$13K
RYAM icon
6537
PUT
Rayonier Advanced Materials
RYAM
$569M
– –
-48
Closed -$1K
RYZ
6538
PUT
Ryerson Holding Corp
RYZ
$1.54B
– –
-15
Closed -$1K
SABR icon
6539
Sabre
SABR
$668M
– –
-2,675
Closed -$51.9K
SABR icon
6540
PUT
Sabre
SABR
$668M
– –
-139
Closed -$10K
SAIC icon
6541
Saic
SAIC
$4.93B
– –
-50
Closed -$3.47K
SAIC icon
6542
PUT
Saic
SAIC
$4.93B
– –
-3
Closed -$3K
SANM icon
6543
PUT
Sanmina
SANM
$11.7B
– –
-49
Closed -$6K
SANW
6544
CALL
DELISTED
S&W Seed Co
SANW
– –
-13
Closed -$3K
ECHO
6545
EchoStar
ECHO
$26.5B
– –
-1,472
Closed -$72K
SBGI icon
6546
Sinclair Inc
SBGI
$965M
– –
-12,741
Closed -$399K
SBS icon
6547
CALL
Sabesp
SBS
$20.1B
– –
-443
Closed -$1K
SCHB icon
6548
CALL
Schwab US Broad Market ETF
SCHB
$42.7B
– –
-84
Closed -$4K
SCHD icon
6549
Schwab US Dividend Equity ETF
SCHD
$100B
– –
-1,368
Closed -$20K
SCL icon
6550
CALL
Stepan Co
SCL
$1.31B
– –
-19
Closed -$8K
260 261
262
263 264

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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.