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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
CACQ
7276
CALL
DELISTED
Caesars Acquisition Company
CACQ
– –
-16
Closed -$4K
ATW
7277
CALL
DELISTED
Atwood Oceanics
ATW
– –
-13
Closed -$2K
ATW
7278
DELISTED
Atwood Oceanics
ATW
– –
-2,248
Closed -$21K
ATW
7279
PUT
DELISTED
Atwood Oceanics
ATW
– –
-155
Closed -$5K
KITE
7280
CALL
DELISTED
Kite Pharma, Inc.
KITE
– –
-2,145
Closed -$2.28M
KITE
7281
DELISTED
Kite Pharma, Inc.
KITE
– –
-28,828
Closed -$5.18M
KITE
7282
PUT
DELISTED
Kite Pharma, Inc.
KITE
– –
-1,083
Closed -$21K
ALR
7283
CALL
DELISTED
Alere Inc
ALR
– –
-791
Closed -$64K
ALR
7284
DELISTED
Alere Inc
ALR
– –
-113,533
Closed -$5.79M
ALR
7285
PUT
DELISTED
Alere Inc
ALR
– –
-1,351
Closed -$3K
NEFF
7286
CALL
DELISTED
Neff Corporation
NEFF
– –
-36
Closed -$11K
PRXL
7287
PUT
DELISTED
Parexel International Corp
PRXL
– –
-29
Closed -$1K
STS
7288
CALL
DELISTED
Supreme Industries Inc Class A
STS
– –
-10
Closed -$3K
STS
7289
DELISTED
Supreme Industries Inc Class A
STS
– –
-119
Closed –
CAB
7290
CALL
DELISTED
Cabela's Inc
CAB
– –
-755
Closed -$85K
CAB
7291
PUT
DELISTED
Cabela's Inc
CAB
– –
-1,298
Closed -$34K
WBMD
7292
PUT
DELISTED
WebMD Health Corp.
WBMD
– –
-412
Closed -$2K
WMAR
7293
PUT
DELISTED
West Marine Inc
WMAR
– –
-27
Closed -$1K
GUID
7294
CALL
DELISTED
Guidance Software, Inc.
GUID
– –
-4
Closed -$2K
CDI
7295
DELISTED
CDI Corp.
CDI
– –
-78
Closed –
UNXL
7296
CALL
DELISTED
Uni-Pixel, Inc.
UNXL
– –
-289
Closed -$1K
PTHN
7297
CALL
DELISTED
Patheon N.V.
PTHN
– –
-6
Closed -$2K
PTHN
7298
DELISTED
Patheon N.V.
PTHN
– –
-6,600
Closed -$230K
PTHN
7299
PUT
DELISTED
Patheon N.V.
PTHN
– –
-142
Closed -$1K
MBLY
7300
CALL
DELISTED
Mobileye N.V.
MBLY
– –
-167
Closed -$2K
290 291
292
293 294

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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.