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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
SRDX
6601
CALL
DELISTED
Surmodics
SRDX
– –
-13
Closed -$7K
SRE icon
6602
CALL
Sempra
SRE
$61.1B
– –
-98
Closed -$2K
SRE icon
6603
Sempra
SRE
$61.1B
– –
-5,800
Closed -$335K
SRL icon
6604
Scully Royalty
SRL
$76.7M
– –
-20
Closed -$178
SRL icon
6605
PUT
Scully Royalty
SRL
$76.7M
– –
-1
Closed -$2K
SSL icon
6606
CALL
Sasol
SSL
$7.72B
– –
-245
Closed -$3K
SSNC icon
6607
SS&C Technologies
SSNC
$16.1B
– –
-4,340
Closed -$167K
SSNC icon
6608
PUT
SS&C Technologies
SSNC
$16.1B
– –
-59
Closed -$5K
NSLR
6609
PUT
Neostellar Capital Corp
NSLR
$272M
– –
-130
Closed -$8K
ST icon
6610
PUT
Sensata Technologies
ST
$6.63B
– –
-104
Closed -$7K
STE icon
6611
CALL
Steris
STE
$20.5B
– –
-8
Closed -$2K
STKL
6612
CALL
DELISTED
SunOpta
STKL
– –
-80
Closed -$8K
STM icon
6613
STMicroelectronics
STM
$47.7B
– –
-9,743
Closed -$168K
STNG icon
6614
CALL
Scorpio Tankers
STNG
$3.95B
– –
-20
Closed -$1K
STRR
6615
DELISTED
Star Equity Holdings
STRR
– –
-2
Closed –
STX icon
6616
Seagate
STX
$207B
– –
-12,697
Closed -$431K
SUI icon
6617
CALL
Sun Communities
SUI
$14.8B
– –
-118
Closed -$5K
SVC
6618
PUT
Service Properties Trust
SVC
$1.1B
– –
-4
Closed -$2K
SVXY icon
6619
ProShares Short VIX Short-Term Futures ETF
SVXY
$218M
– –
-600
Closed -$96K
SYF icon
6620
Synchrony
SYF
$23.3B
– –
-156,537
Closed -$4.68M
SYNA icon
6621
Synaptics
SYNA
$4.6B
– –
-10,410
Closed -$469K
TAN icon
6622
Invesco Solar ETF
TAN
$1.52B
– –
-1,662
Closed -$33K
TCBI icon
6623
PUT
Texas Capital Bancshares
TCBI
$4.31B
– –
-14
Closed -$3K
TCPC icon
6624
CALL
BlackRock TCP Capital
TCPC
$262M
– –
-55
Closed -$1K
TDW icon
6625
CALL
Tidewater
TDW
$3.85B
– –
-2
Closed -$1K
263 264
265
266 267

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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.