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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
+6.2%
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
$2.32B
AUM Growth
-$126M
Cap. Flow
-$313M
Cap. Flow %
-13.49%
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 Miscellaneous 43.55%
2 Consumer Discretionary 11.51%
3 Technology 10.85%
4 Healthcare 7.35%
5 Communication Services 7.27%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
POWI icon
6526
PUT
Power Integrations
POWI
$2.82B
– –
-30
Closed -$33K
PRAA icon
6527
PRA Group
PRAA
$716M
– –
-61
Closed -$1.94K
PRDO icon
6528
Perdoceo Education
PRDO
$2.08B
– –
-2,111
Closed -$25.1K
PRGS icon
6529
Progress Software
PRGS
$1.81B
– –
-2,610
Closed -$109K
PRIM icon
6530
CALL
Primoris Services
PRIM
$4.01B
– –
-41
Closed -$10K
PSA icon
6531
Public Storage
PSA
$55.6B
– –
-2,692
Closed -$569K
PST icon
6532
ProShares Trust UltraShort Lehman 7-10 Year Treasury
PST
$10.7M
– –
-100
Closed -$2K
CNSY
6533
Cerenome
CNSY
$20.9M
– –
0
– -$2K
PTC icon
6534
PTC
PTC
$15.3B
– –
-4,212
Closed -$262K
PTEN icon
6535
PUT
Patterson-UTI
PTEN
$4.74B
– –
-399
Closed -$32K
PUK icon
6536
CALL
Prudential
PUK
$34.4B
– –
-24
Closed -$1K
QDEL icon
6537
QuidelOrtho
QDEL
$958M
– –
-5,845
Closed -$239K
QDEL icon
6538
PUT
QuidelOrtho
QDEL
$958M
– –
-71
Closed -$5K
QMCO icon
6539
CALL
Quantum Corp
QMCO
$975M
– –
-13
Closed -$3K
QMCO icon
6540
PUT
Quantum Corp
QMCO
$975M
– –
-15
Closed -$27K
QRVO icon
6541
Qorvo
QRVO
$9.07B
– –
-5,467
Closed -$398K
R icon
6542
Ryder
R
$9.53B
– –
-2,238
Closed -$183K
RAIL icon
6543
CALL
FreightCar America
RAIL
$233M
– –
-33
Closed -$14K
RBA icon
6544
CALL
RB Global
RBA
$15.5B
– –
-8
Closed -$2K
RBA icon
6545
RB Global
RBA
$15.5B
– –
-1,434
Closed -$40.1K
RCKT icon
6546
Rocket Pharmaceuticals
RCKT
$424M
– –
-1,360
Closed -$13.5K
RCKT icon
6547
PUT
Rocket Pharmaceuticals
RCKT
$424M
– –
-20
Closed -$6K
RCI icon
6548
Rogers Communications
RCI
$20.3B
– –
-279
Closed -$14.5K
RDN icon
6549
PUT
Radian Group
RDN
$4.85B
– –
-21
Closed -$1K
RDUS
6550
DELISTED
Radius Recycling
RDUS
– –
-23,972
Closed -$701K
260 261
262
263 264

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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 $313M 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 Miscellaneous at 44% of assets, up from 40% a quarter earlier, followed by Consumer Discretionary and Technology.

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.