Simplex Trading Portfolio holdings
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.
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
Amazon
AMZN
|
+$45.9M |
| 2 |
iShares Russell 2000 ETF
IWM
|
+$30.1M |
| 3 |
TWX
Time Warner Inc
TWX
|
+$25.8M |
| 4 |
Booking.com
BKNG
|
+$22.5M |
| 5 |
Alphabet (Google) Class C
GOOG
|
+$17.7M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
State Street SPDR S&P 500 ETF Trust
SPY
|
+$43.6M |
| 2 |
Amgen
AMGN
|
+$33.2M |
| 3 |
Baidu
BIDU
|
+$19.3M |
| 4 |
Alphabet (Google) Class A
GOOGL
|
+$17.3M |
| 5 |
Micron Technology
MU
|
+$17.1M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Miscellaneous | 39.59% |
| 2 | Consumer Discretionary | 14.54% |
| 3 | Technology | 13.33% |
| 4 | Communication Services | 11.89% |
| 5 | Healthcare | 4.58% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | Held Since | |
|---|---|---|---|---|---|---|---|
|
1
Amazon
AMZN
$2.69T
| $163M | 6.66% |
3,394,680
+933,560
| +38% | +$45.9M |
2016 Q3
4 quarters
|
|
|
2
Alphabet (Google) Class C
GOOG
$3.91T
| $69.5M | 2.84% |
1,450,260
+379,640
| +35% | +$17.7M |
2016 Q3
4 quarters
|
|
3
NVIDIA
NVDA
$5.13T
| $68.2M | 2.79% |
15,267,560
+1,615,360
| +12% | +$6.72M |
2016 Q2
5 quarters
|
|
4
Apple
AAPL
$5.05T
| $57.5M | 2.35% |
1,493,552
+139,748
| +10% | +$5.42M |
2016 Q2
5 quarters
|
|
|
5
Micron Technology
MU
$974B
| $50.9M | 2.08% |
1,294,758
-539,954
| -29% | -$17.1M |
2016 Q4
3 quarters
|
|
|
6
Alphabet (Google) Class A
GOOGL
$3.95T
| $41.1M | 1.68% |
843,520
-364,320
| -30% | -$17.3M |
2015 Q4
7 quarters
|
|
7
Meta Platforms (Facebook)
META
$1.64T
| $37.9M | 1.55% |
221,591
-50,756
| -19% | -$8.47M |
2014 Q4
11 quarters
|
|
|
8
iShares Russell 2000 ETF
IWM
$79.1B
| $31.7M | 1.3% |
+214,170
| New | +$30.1M |
2017 Q3
0 quarters
|
|
9
Netflix
NFLX
$279B
| $29.6M | 1.21% |
1,631,330
-616,620
| -27% | -$10.8M |
2016 Q3
4 quarters
|
|
10
CALL
Alibaba
BABA
$253B
| $28.6M | 1.17% |
16,924
+4,057
| +32% | +$658K |
2014 Q4
11 quarters
|
|
|
11
CALL
Meta Platforms (Facebook)
META
$1.64T
| $28.4M | 1.16% |
15,412
-2,764
| -15% | -$461K |
2014 Q4
11 quarters
|
|
|
TWX
12
DELISTED
Time Warner Inc
TWX
| $27.7M | 1.13% |
270,770
+254,534
| +1,568% | +$25.8M |
2017 Q2
1 quarter
|
|
|
13
Booking.com
BKNG
$121B
| $27.3M | 1.11% |
372,775
+296,775
| +390% | +$22.5M |
2016 Q3
4 quarters
|
|
14
NetEase
NTES
$75.7B
| $25.1M | 1.03% |
476,280
+225,060
| +90% | +$12.9M |
2016 Q3
4 quarters
|
|
15
iShares 20+ Year Treasury Bond ETF
TLT
$49.2B
| $21.1M | 0.86% |
169,292
+99,539
| +143% | +$12.5M |
2017 Q1
2 quarters
|
|
|
16
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$813B
| $19.5M | 0.8% |
21,384
-4,302
| -17% | -$1.06M |
2015 Q1
10 quarters
|
|
17
Boeing
BA
$148B
| $17.9M | 0.73% |
+70,408
| New | +$16.4M |
2017 Q3
0 quarters
|
|
18
CALL
iShares S&P 100 ETF
OEF
$20.3B
| $17.7M | 0.72% |
57,108
+8,719
| +18% | +$954K |
2014 Q4
11 quarters
|
|
|
19
CALL
NVIDIA
NVDA
$5.13T
| $16.6M | 0.68% |
274,520
+5,640
| +2% | +$23.4K |
2015 Q3
8 quarters
|
|
20
Tesla
TSLA
$1.49T
| $16.1M | 0.66% |
707,775
+700,440
| +9,549% | +$16.2M |
2016 Q3
4 quarters
|
|
21
JD.com
JD
$34.6B
| $16M | 0.66% |
420,138
+302,949
| +259% | +$13M |
2017 Q1
2 quarters
|
|
22
McDonald's
MCD
$178B
| $15.8M | 0.64% |
100,617
+91,745
| +1,034% | +$14.4M |
2017 Q2
1 quarter
|
|
|
23
Alibaba
BABA
$253B
| $15.6M | 0.64% |
90,380
+83,819
| +1,278% | +$13.6M |
2017 Q1
2 quarters
|
|
24
DuPont de Nemours
DD
$18.1B
| $15.5M | 0.63% |
+88,216
| New | +$14.7M |
2017 Q3
0 quarters
|
|
25
Deere & Co
DE
$172B
| $13.5M | 0.55% |
+107,688
| New | +$13.3M |
2017 Q3
0 quarters
|
|
Similar funds
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, 2,337 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 Miscellaneous at 40% of assets, down from 40% a quarter earlier, followed by Consumer Discretionary and Technology.
- 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.