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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
DNB
7101
PUT
DELISTED
Dun & Bradstreet
DNB
– –
-54
Closed -$6K
CVRR
7102
CALL
DELISTED
CVR Refining, LP
CVRR
– –
-212
Closed -$5K
EQGP
7103
CALL
DELISTED
EQGP Holdings, LP
EQGP
– –
-2
Closed -$1K
IMPV
7104
DELISTED
Imperva, Inc.
IMPV
– –
-4,089
Closed -$187K
SIR
7105
PUT
DELISTED
SELECT INCOME REIT
SIR
– –
-68
Closed -$7K
XOXO
7106
CALL
DELISTED
Xo Group Inc
XOXO
– –
-65
Closed -$9K
XOXO
7107
DELISTED
Xo Group Inc
XOXO
– –
-42
Closed -$773
EEQ
7108
DELISTED
Enbridge Energy Management Llc
EEQ
– –
-407
Closed -$5.3K
NAP
7109
CALL
DELISTED
Navios Maritime Midstream Partrs
NAP
– –
-30
Closed -$1K
NAP
7110
DELISTED
Navios Maritime Midstream Partrs
NAP
– –
-6,420
Closed -$55.6K
RSYS
7111
DELISTED
Radisys Corp
RSYS
– –
-33
Closed –
FCE.A
7112
DELISTED
Forest City Realty Trust, Inc.
FCE.A
– –
-17,837
Closed -$436K
JONE
7113
CALL
DELISTED
Jones Energy, Inc.
JONE
– –
-22
Closed -$2K
VMIN
7114
DELISTED
REX VolMAXX Short VIX Futures Strategy ETF
VMIN
– –
-90
Closed -$2K
ANW
7115
CALL
DELISTED
Aegean Marine Petroleum Network
ANW
– –
-444
Closed -$6K
NYRT
7116
CALL
DELISTED
New York REIT, Inc.
NYRT
– –
-36
Closed -$1K
SHLD
7117
DELISTED
Sears Holding Corporation
SHLD
– –
-4,667
Closed -$38.4K
SVU
7118
DELISTED
SUPERVALU Inc.
SVU
– –
-678
Closed -$15K
PERY
7119
DELISTED
Perry Ellis International Inc
PERY
– –
-19,718
Closed -$400K
PNK
7120
PUT
DELISTED
Pinnacle Entertainment Inc.
PNK
– –
-43
Closed -$3K
SYNT
7121
CALL
DELISTED
Syntel Inc
SYNT
– –
-37
Closed -$2K
SYNT
7122
PUT
DELISTED
Syntel Inc
SYNT
– –
-113
Closed -$5K
PHH
7123
CALL
DELISTED
PHH Corporation
PHH
– –
-256
Closed -$6K
AVHI
7124
DELISTED
A V Homes, Inc.
AVHI
– –
-2,174
Closed -$43K
AVHI
7125
PUT
DELISTED
A V Homes, Inc.
AVHI
– –
-40
Closed -$4K
283 284
285
286 287

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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.