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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
+6.2%
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
$2.32B
AUM Growth
-$126M
Cap. Flow
-$315M
Cap. Flow %
-13.55%
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 Consumer Discretionary 11.27%
2 Technology 10.64%
3 Healthcare 7.06%
4 Communication Services 6.92%
5 Industrials 5.66%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VIAV icon
6751
Viavi Solutions
VIAV
$10.3B
– –
-24,534
Closed -$222K
VIG icon
6752
Vanguard Dividend Appreciation ETF
VIG
$110B
– –
-4,463
Closed -$439K
VIRT icon
6753
PUT
Virtu Financial
VIRT
$5.23B
– –
-14
Closed -$2K
VIV icon
6754
Telefônica Brasil
VIV
$21.8B
– –
-6,304
Closed -$97K
VIV icon
6755
PUT
Telefônica Brasil
VIV
$21.8B
– –
-232
Closed -$6K
VLRS
6756
PUT
Controladora Vuela Compania de Aviacion
VLRS
$867M
– –
-50
Closed -$16K
VLY icon
6757
CALL
Valley National Bancorp
VLY
$7.95B
– –
-82
Closed -$2K
VNDA icon
6758
CALL
Vanda Pharmaceuticals
VNDA
$321M
– –
-109
Closed -$16K
VNDA icon
6759
PUT
Vanda Pharmaceuticals
VNDA
$321M
– –
-47
Closed -$1K
VNET
6760
CALL
VNET Group
VNET
$2.2B
– –
-124
Closed -$5K
VOD icon
6761
Vodafone
VOD
$35.1B
– –
-963
Closed -$28.9K
VSAT icon
6762
CALL
Viasat
VSAT
$10.1B
– –
-48
Closed -$12K
VSAT icon
6763
Viasat
VSAT
$10.1B
– –
-6,349
Closed -$440K
VSTM icon
6764
CALL
Verastem
VSTM
$540M
– –
-8
Closed -$11K
VSTM icon
6765
PUT
Verastem
VSTM
$540M
– –
-4
Closed -$4K
VTLE
6766
DELISTED
Vital Energy
VTLE
– –
-1,094
Closed -$240K
VTLE
6767
PUT
DELISTED
Vital Energy
VTLE
– –
-10
Closed -$4K
VTV icon
6768
Vanguard Value ETF
VTV
$187B
– –
-106
Closed -$10K
VUG icon
6769
Vanguard Growth ETF
VUG
$216B
– –
-1,560
Closed -$34K
VXF icon
6770
Vanguard Extended Market ETF
VXF
$30.3B
– –
-338
Closed -$36K
VXUS icon
6771
CALL
Vanguard Total International Stock ETF
VXUS
$153B
– –
-18
Closed -$7K
VYGR icon
6772
CALL
Voyager Therapeutics
VYGR
$184M
– –
-45
Closed -$8K
VYM icon
6773
PUT
Vanguard High Dividend Yield ETF
VYM
$80.4B
– –
-9
Closed -$1K
WAB icon
6774
Wabtec
WAB
$50.1B
– –
-3,366
Closed -$257K
WD icon
6775
Walker & Dunlop
WD
$1.6B
– –
-1,043
Closed -$53.2K
269 270
271
272 273

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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 $315M 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 Consumer Discretionary at 11% of assets, down from 14% a quarter earlier, followed by Technology and Healthcare.

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.