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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
WRB icon
6751
CALL
W.R. Berkley
WRB
$27.2B
– –
-10
Closed -$1K
WRLD icon
6752
CALL
World Acceptance Corp
WRLD
$844M
– –
-10
Closed -$10K
WRLD icon
6753
PUT
World Acceptance Corp
WRLD
$844M
– –
-167
Closed -$2K
WSBF icon
6754
Waterstone Financial
WSBF
$349M
– –
-1,410
Closed -$26K
WSR
6755
DELISTED
Whitestone REIT
WSR
– –
-2,868
Closed -$36.7K
WST icon
6756
West Pharmaceutical
WST
$25.3B
– –
-3,676
Closed -$333K
WTFC icon
6757
CALL
Wintrust Financial
WTFC
$10.5B
– –
-30
Closed -$7K
WTS icon
6758
PUT
Watts Water Technologies
WTS
$11.4B
– –
-58
Closed -$2K
WU icon
6759
CALL
Western Union
WU
$2.59B
– –
-46
Closed -$1K
WTW icon
6760
CALL
Willis Towers Watson
WTW
$27.1B
– –
-6
Closed -$6K
WWD icon
6761
Woodward
WWD
$24.5B
– –
-374
Closed -$26.3K
WWD icon
6762
PUT
Woodward
WWD
$24.5B
– –
-13
Closed -$2K
WWW icon
6763
PUT
Wolverine World Wide
WWW
$1.52B
– –
-57
Closed -$4K
XBIT icon
6764
XBiotech
XBIT
$69.2M
– –
-5,085
Closed -$24K
XES icon
6765
State Street SPDR S&P Oil & Gas Equipment & Services ETF
XES
$390M
– –
-275
Closed -$42K
XIN
6766
CALL
DELISTED
Xinyuan Real Estate
XIN
– –
-10
Closed -$3K
XME icon
6767
State Street SPDR S&P Metals & Mining ETF
XME
$4.08B
– –
-17,336
Closed -$519K
XOM icon
6768
ExxonMobil
XOM
$656B
– –
-56,108
Closed -$4.46M
XPRO icon
6769
Expro Ltd
XPRO
$1.81B
– –
-167
Closed -$7.48K
XPP icon
6770
ProShares Ultra FTSE China 50 of PROSHARES TRUST
XPP
$8.76M
– –
-316
Closed -$19K
XRAY icon
6771
Dentsply Sirona
XRAY
$2.53B
– –
-1,354
Closed -$80.5K
XXII
6772
22nd Century Group
XXII
$1.47M
– –
0
– –
XYL icon
6773
Xylem
XYL
$27.7B
– –
-5,048
Closed -$302K
YORW icon
6774
CALL
York Water
YORW
$505M
– –
-22
Closed -$3K
YRD
6775
Yiren Digital
YRD
$108M
– –
-10,202
Closed -$382K
269 270
271
272 273

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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.