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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
+8.14%
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
$2.31B
AUM Growth
+$637M
Cap. Flow
+$551M
Cap. Flow %
23.85%
Top 10 Hldgs %
17.84%
Holding
7,485
New
1,662
Increased
2,374
Reduced
1,972
Closed
1,369

Top Buys

Rank Stock Value
1
GS icon
Goldman Sachs
GS
+$40.4M
2
NVDA icon
NVIDIA
NVDA
+$23.1M
3
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$21.5M
4
WFC icon
Wells Fargo
WFC
+$20.8M
5
MU icon
Micron Technology
MU
+$20M

Top Sells

Rank Stock Value
1
C icon
Citigroup
C
+$21.4M
2
AAPL icon
Apple
AAPL
+$15.7M
3
QQQ icon
Invesco QQQ Trust
QQQ
+$14.4M
4
LLY icon
Eli Lilly
LLY
+$10.5M
5
IBB icon
iShares Biotechnology ETF
IBB
+$8.06M

Sector Composition

Rank Sector Weight
1 Technology 9.73%
2 Communication Services 9.25%
3 Consumer Discretionary 8.76%
4 Healthcare 8.53%
5 Financials 7.38%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TKC icon
6776
Turkcell
TKC
$5.11B
– –
-4,313
Closed -$33.5K
TLPH icon
6777
PUT
Talphera
TLPH
$67M
– –
-3
Closed -$3K
TLYS icon
6778
CALL
Tilly's
TLYS
$116M
– –
-12
Closed -$1K
TLYS icon
6779
PUT
Tilly's
TLYS
$116M
– –
-18
Closed -$5K
TMO icon
6780
Thermo Fisher Scientific
TMO
$196B
– –
-11,096
Closed -$1.7M
TMV icon
6781
Direxion Daily 20+ Year Treasury Bear 3X ETF
TMV
$179M
– –
-12,025
Closed -$720K
TNL icon
6782
PUT
Travel + Leisure Co
TNL
$4.63B
– –
-128
Closed -$5K
TOL icon
6783
Toll Brothers
TOL
$13.9B
– –
-5,920
Closed -$197K
TOWN icon
6784
Towne Bank
TOWN
$3.29B
– –
-435
Closed -$14.1K
TPH
6785
PUT
DELISTED
Tri Pointe Homes
TPH
– –
-1,057
Closed -$36K
TRIB
6786
Trinity Biotech
TRIB
$6.14M
– –
-196
Closed -$6K
TRIB
6787
PUT
Trinity Biotech
TRIB
$6.14M
– –
-3
Closed -$3K
TROX icon
6788
PUT
Tronox
TROX
$1.06B
– –
-245
Closed -$68K
TRV icon
6789
Travelers Companies
TRV
$77.6B
– –
-10,336
Closed -$1.24M
TRUP icon
6790
CALL
Trupanion
TRUP
$1.07B
– –
-93
Closed -$9K
TRUP icon
6791
Trupanion
TRUP
$1.07B
– –
-4,164
Closed -$63.5K
TRX icon
6792
TRX Gold Corp
TRX
$279M
– –
-100
Closed –
TSLX icon
6793
Sixth Street Specialty
TSLX
$1.59B
– –
-602
Closed -$11K
TT icon
6794
Trane Technologies
TT
$105B
– –
-1,939
Closed -$154K
TTEK icon
6795
Tetra Tech
TTEK
$8.04B
– –
-3,350
Closed -$28K
TTI icon
6796
CALL
TETRA Technologies
TTI
$1.34B
– –
-413
Closed -$16K
TTMI icon
6797
TTM Technologies
TTMI
$15B
– –
-7,476
Closed -$101K
TU icon
6798
Telus
TU
$15.9B
– –
-922
Closed -$15.1K
TVTX icon
6799
Travere Therapeutics
TVTX
$5.23B
– –
-19,331
Closed -$378K
TWO
6800
Two Harbors Investment
TWO
$1.27B
– –
-510
Closed -$37.2K
270 271
272
273 274

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Simplex Trading's Q1 2017 Portfolio in Review

As of Q1 2017, Simplex Trading held 7,485 positions worth $2.31B, up 38% from $1.67B the previous quarter. Its ten largest holdings account for 18% of the portfolio.

Simplex Trading deployed $551M of net new capital in Q1 2017, opening 1,662 new positions and adding to 2,374 existing holdings. Its largest new stake was iShares 20+ Year Treasury Bond ETF: 179,511 shares worth $21.7M.

By sector, the portfolio is most concentrated in Technology at 9.7% of assets, up from 7.2% a quarter earlier, followed by Communication Services and Consumer Discretionary.

On the sell side, the largest reduction was Citigroup, an estimated $21.4M trimmed.

  • Simplex Trading's largest Q1 2017 buy was iShares 20+ Year Treasury Bond ETF: 179,511 shares worth $21.7M.
  • Simplex Trading added most to Goldman Sachs in Q1 2017, an estimated $40.4M increase.
  • Simplex Trading's biggest Q1 2017 reduction was Citigroup, cutting an estimated $21.4M.
  • Simplex Trading fully exited Invesco QQQ Trust in Q1 2017, selling an estimated $14.4M.
  • Simplex Trading's ten largest holdings make up 18% of its $2.31B portfolio in Q1 2017.
  • Simplex Trading opened 1,662 new positions and closed 1,369 in Q1 2017.
  • Simplex Trading's portfolio value rose 38% quarter-over-quarter to $2.31B.

Based on Simplex Trading's 13F filing for Q1 2017, filed 21 Apr 2017.