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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
VCEL icon
6701
PUT
Vericel Corp
VCEL
$2.06B
– –
-26
Closed -$1K
VDC icon
6702
Vanguard Consumer Staples ETF
VDC
$7.82B
– –
-75
Closed -$10K
VDE icon
6703
Vanguard Energy ETF
VDE
$10.9B
– –
-365
Closed -$32K
VEON icon
6704
CALL
VEON
VEON
$4.42B
– –
-2
Closed -$1K
VHT icon
6705
Vanguard Health Care ETF
VHT
$19.4B
– –
-77
Closed -$11K
VIAV icon
6706
PUT
Viavi Solutions
VIAV
$8.6B
– –
-32
Closed -$2K
VICR icon
6707
CALL
Vicor
VICR
$8.69B
– –
-16
Closed -$1K
VICR icon
6708
PUT
Vicor
VICR
$8.69B
– –
-21
Closed -$9K
VLRS
6709
Controladora Vuela Compania de Aviacion
VLRS
$787M
– –
-12,754
Closed -$171K
VMI icon
6710
Valmont Industries
VMI
$9.29B
– –
-1,754
Closed -$264K
VNOM icon
6711
Viper Energy
VNOM
$15.9B
– –
-8,531
Closed -$144K
VNOM icon
6712
PUT
Viper Energy
VNOM
$15.9B
– –
-15
Closed -$2K
VOC icon
6713
CALL
VOC Energy
VOC
$55.9M
– –
-99
Closed -$12K
VOC icon
6714
VOC Energy
VOC
$55.9M
$0 ﹤0.01%
134
-2,387
-95% -$9.11K
VOYA icon
6715
Voya Financial
VOYA
$9.43B
– –
-1,071
Closed -$41K
VRE
6716
DELISTED
Veris Residential
VRE
– –
-12
Closed -$295
VRNT
6717
DELISTED
Verint Systems
VRNT
– –
-1,537
Closed -$31K
VRSK icon
6718
PUT
Verisk Analytics
VRSK
$24.2B
– –
-27
Closed -$6K
VRTX icon
6719
Vertex Pharmaceuticals
VRTX
$138B
– –
-25,865
Closed -$3.89M
VTI icon
6720
Vanguard Morningstar Total Stock Market ETF
VTI
$693B
– –
-178
Closed -$22K
VTWO icon
6721
Vanguard Russell 2000 ETF
VTWO
$17.4B
– –
-600
Closed -$33K
VUZI icon
6722
CALL
Vuzix
VUZI
$206M
– –
-300
Closed -$35K
VVV icon
6723
PUT
Valvoline
VVV
$4.09B
– –
-73
Closed -$6K
VVX icon
6724
V2X
VVX
$2.33B
– –
-5,450
Closed -$169K
VZ icon
6725
Verizon
VZ
$208B
– –
-2,181
Closed -$103K
267 268
269
270 271

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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.