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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
WABC icon
6726
Westamerica Bancorp
WABC
$1.38B
– –
-117
Closed -$6K
WAT icon
6727
Waters Corp
WAT
$37.2B
– –
-56
Closed -$10.2K
WATT icon
6728
Energous
WATT
$83.9M
– –
-9
Closed -$70.4K
WB icon
6729
Weibo
WB
$1.9B
– –
-45,641
Closed -$4.02M
WBD icon
6730
Warner Bros
WBD
$65.5B
– –
-1,269
Closed -$32K
WBS icon
6731
Webster Financial
WBS
$12.2B
– –
-459
Closed -$22.9K
WCN
6732
Waste Connections
WCN
$43B
– –
-100
Closed -$6.61K
WDFC icon
6733
CALL
WD-40
WDFC
$3.16B
– –
-6
Closed -$1K
WEC icon
6734
CALL
WEC Energy
WEC
$37.5B
– –
-50
Closed -$1K
WELL icon
6735
Welltower
WELL
$176B
– –
-14,701
Closed -$1.07M
WEN icon
6736
Wendy's
WEN
$1.36B
– –
-1,765
Closed -$27K
WEX icon
6737
WEX
WEX
$5.68B
– –
-4,198
Closed -$437K
WEX icon
6738
PUT
WEX
WEX
$5.68B
– –
-16
Closed -$2K
WGO icon
6739
Winnebago Industries
WGO
$855M
– –
-215
Closed -$7.9K
WHR icon
6740
Whirlpool
WHR
$2.32B
– –
-300
Closed -$53.6K
WING icon
6741
PUT
Wingstop
WING
$3.68B
– –
-13
Closed -$1K
WK icon
6742
CALL
Workiva
WK
$2.85B
– –
-36
Closed -$1K
WK icon
6743
Workiva
WK
$2.85B
– –
-33
Closed -$654
WLK icon
6744
Westlake Corp
WLK
$9.81B
– –
-7,875
Closed -$578K
WMB icon
6745
Williams Companies
WMB
$92.6B
– –
-21,329
Closed -$649K
WNC icon
6746
Wabash National
WNC
$558M
– –
-7,504
Closed -$158K
WNC icon
6747
PUT
Wabash National
WNC
$558M
– –
-54
Closed -$1K
WPC icon
6748
CALL
W.P. Carey
WPC
$16.8B
– –
-129
Closed -$9K
WPC icon
6749
PUT
W.P. Carey
WPC
$16.8B
– –
-32
Closed -$1K
WPRT
6750
Westport Fuel Systems
WPRT
$35.9M
$0 ﹤0.01%
28
-695
-96% -$15.6K
268 269
270
271 272

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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.