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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
AUO
7351
PUT
DELISTED
AU Optronics Corp
AUO
– –
-4
Closed -$1K
TRCO
7352
CALL
DELISTED
TRIBUNE MEDIA COMPANY CLASS A
TRCO
– –
-587
Closed -$111K
OMED
7353
DELISTED
OncoMed Pharmaceuticals, Inc.
OMED
– –
-3,444
Closed -$15K
OMED
7354
PUT
DELISTED
OncoMed Pharmaceuticals, Inc.
OMED
– –
-24
Closed -$2K
PGLC
7355
DELISTED
Pershing Gold Corporation. Common Stock
PGLC
– –
-83
Closed –
IMDZ
7356
CALL
DELISTED
Immune Design Corp.
IMDZ
– –
-70
Closed -$11K
NSU
7357
DELISTED
Nevsun Resources Ltd.
NSU
$0 ﹤0.01%
200
-1,350
-87% -$3.12K
NSU
7358
PUT
DELISTED
Nevsun Resources Ltd.
NSU
– –
-28
Closed -$1K
AST
7359
CALL
DELISTED
Asterias Biotherapeutics Inc. Series A
AST
– –
-95
Closed -$4K
BBOX
7360
DELISTED
Black Box Corp
BBOX
$0 ﹤0.01%
+2
New +$7
LPNT
7361
PUT
DELISTED
LifePoint Health, Inc.
LPNT
– –
-71
Closed -$17K
MTGE
7362
DELISTED
MTGE Investment Corp. Common Stock
MTGE
– –
-250
Closed -$4K
ARLZ
7363
CALL
DELISTED
Aralez Pharmaceuticals Inc.
ARLZ
– –
-242
Closed -$17K
CYS
7364
DELISTED
CYS Investments Inc.
CYS
– –
-3,783
Closed -$31.3K
ABAX
7365
CALL
DELISTED
Abaxis Inc
ABAX
– –
-14
Closed -$1K
WR
7366
CALL
DELISTED
Westar Energy Inc
WR
– –
-9
Closed -$1K
WR
7367
DELISTED
Westar Energy Inc
WR
– –
-60
Closed -$2K
WR
7368
PUT
DELISTED
Westar Energy Inc
WR
– –
-5
Closed -$1K
ARGS
7369
PUT
DELISTED
Argos Therapeutics, Inc.
ARGS
– –
-3
Closed -$36K
DCM
7370
PUT
DELISTED
NTT DOCOMO, Inc.
DCM
– –
-149
Closed -$3K
REXX
7371
DELISTED
Rex Energy Corporation
REXX
– –
-2,974
Closed -$5.67K
BOBE
7372
DELISTED
Bob Evans Farms, Inc.
BOBE
– –
-4,154
Closed -$323K
BCR
7373
CALL
DELISTED
CR Bard Inc.
BCR
– –
-51
Closed -$139K
BCR
7374
DELISTED
CR Bard Inc.
BCR
– –
-3,415
Closed -$1.09M
BCR
7375
PUT
DELISTED
CR Bard Inc.
BCR
– –
-392
Closed -$58K
293 294
295
296 297

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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.