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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
VYM icon
6851
PUT
Vanguard High Dividend Yield ETF
VYM
$80.8B
– –
-46
Closed -$5K
VYX icon
6852
NCR Voyix
VYX
$1.07B
– –
-15,086
Closed -$413K
WAT icon
6853
Waters Corp
WAT
$36.4B
– –
-3,680
Closed -$550K
WDFC icon
6854
WD-40
WDFC
$3.18B
– –
-74
Closed -$8.05K
WDFC icon
6855
PUT
WD-40
WDFC
$3.18B
– –
-5
Closed -$1K
WELL icon
6856
Welltower
WELL
$173B
– –
-977
Closed -$65.9K
WERN icon
6857
CALL
Werner Enterprises
WERN
$2.75B
– –
-9
Closed -$1K
WEX icon
6858
CALL
WEX
WEX
$5.4B
– –
-186
Closed -$41K
WKC icon
6859
World Kinect Corp
WKC
$1.86B
– –
-4,114
Closed -$167K
WMB icon
6860
Williams Companies
WMB
$91.1B
– –
-73,040
Closed -$2.11M
WNC icon
6861
CALL
Wabash National
WNC
$566M
– –
-100
Closed -$9K
WNC icon
6862
PUT
Wabash National
WNC
$566M
– –
-101
Closed -$1K
WOR icon
6863
Worthington Enterprises
WOR
$2.71B
– –
-37
Closed -$1.11K
WPC icon
6864
W.P. Carey
WPC
$16.8B
– –
-4,859
Closed -$295K
WTRG icon
6865
PUT
Essential Utilities
WTRG
$11.2B
– –
-14
Closed -$1K
WWD icon
6866
CALL
Woodward
WWD
$24.1B
– –
-50
Closed -$5K
WWW icon
6867
Wolverine World Wide
WWW
$1.61B
– –
-1,573
Closed -$37.7K
XEL icon
6868
Xcel Energy
XEL
$50.1B
– –
-1,075
Closed -$45.6K
XHB icon
6869
State Street SPDR S&P Homebuilders ETF
XHB
$1.71B
– –
-25,245
Closed -$854K
XHR
6870
Xenia Hotels & Resorts
XHR
$1.97B
– –
-7,661
Closed -$148K
XHR
6871
PUT
Xenia Hotels & Resorts
XHR
$1.97B
– –
-79
Closed -$2K
XLRE icon
6872
State Street Real Estate Select Sector SPDR ETF
XLRE
$8.51B
– –
-2,473
Closed -$76K
XLY icon
6873
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
$22.3B
– –
-69,096
Closed -$2.81M
XNCR icon
6874
CALL
Xencor
XNCR
$1.45B
– –
-11
Closed -$3K
XNET
6875
Xunlei
XNET
$360M
– –
-161
Closed –
273 274
275
276 277

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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.