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 |
State Street SPDR S&P 500 ETF Trust
SPY
|
+$49.8M |
| 2 |
Apple
AAPL
|
+$24.5M |
| 3 |
Citigroup
C
|
+$23.5M |
| 4 |
Amazon
AMZN
|
+$22.7M |
| 5 |
Alphabet (Google) Class C
GOOG
|
+$18.5M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
LNKD
LinkedIn Corporation
LNKD
|
+$17.4M |
| 2 |
Wells Fargo
WFC
|
+$13.5M |
| 3 |
MDVN
MEDIVATION, INC.
MDVN
|
+$8.62M |
| 4 |
Goldman Sachs
GS
|
+$8.5M |
| 5 |
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
|
+$8.15M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Communication Services | 8.76% |
| 2 | Technology | 7.19% |
| 3 | Healthcare | 6.91% |
| 4 | Consumer Discretionary | 6.53% |
| 5 | Financials | 5.37% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
301
PUT
Procter & Gamble
PG
$347B
| $903K | 0.05% |
8,745
+3,651
| +72% | +$311K |
|
|
KATE
302
DELISTED
Kate Spade & Company
KATE
| $895K | 0.05% |
47,988
+19,635
| +69% | +$322K |
|
303
Jack in the Box
JACK
$270M
| $883K | 0.05% |
+7,912
| New | +$808K |
|
304
Pacira BioSciences
PCRX
$1B
| $877K | 0.05% |
27,152
+25,193
| +1,286% | +$841K |
|
305
Intercontinental Exchange
ICE
$80.4B
| $876K | 0.05% |
+15,543
| New | +$861K |
|
306
RTX Corp
RTX
$261B
| $873K | 0.05% |
12,658
-10,384
| -45% | -$688K |
|
|
TWX
307
CALL
DELISTED
Time Warner Inc
TWX
| $864K | 0.05% |
2,266
+918
| +68% | +$81.7K |
|
308
Advanced Micro Devices
AMD
$907B
| $857K | 0.05% |
+75,657
| New | +$634K |
|
309
State Street SPDR S&P Homebuilders ETF
XHB
$1.71B
| $854K | 0.05% |
25,245
+18,840
| +294% | +$631K |
|
310
CALL
Gilead Sciences
GILD
$162B
| $853K | 0.05% |
6,206
+1,166
| +23% | +$86.7K |
|
311
Nordic American Tanker
NAT
$1.35B
| $853K | 0.05% |
+102,434
| New | +$910K |
|
312
CALL
Deutsche Bank
DB
$68.2B
| $852K | 0.05% |
4,160
+2,547
| +158% | +$35.9K |
|
313
BWX Technologies
BWXT
$16B
| $848K | 0.05% |
21,381
+20,504
| +2,338% | +$797K |
|
|
X
314
PUT
DELISTED
US Steel
X
| $845K | 0.05% |
7,697
+587
| +8% | +$15.7K |
|
315
CALL
American Express
AXP
$238B
| $844K | 0.05% |
1,174
-288
| -20% | -$19.9K |
|
316
CALL
Amgen
AMGN
$197B
| $839K | 0.05% |
1,787
-107
| -6% | -$16.1K |
|
317
Landstar System
LSTR
$7.12B
| $838K | 0.05% |
+9,834
| New | +$764K |
|
318
PUT
Direxion Daily Technology Bull 3x ETF
TECL
$5.57B
| $832K | 0.05% |
29,170
-2,890
| -9% | -$13.9K |
|
|
BNY
319
CALL
Bank of New York Mellon
BNY
$110B
| $830K | 0.05% |
1,679
+303
| +22% | +$13.7K |
|
320
PUT
Salesforce
CRM
$134B
| $830K | 0.05% |
3,815
+662
| +21% | +$48K |
|
|
AKAO
321
DELISTED
Achaogen Inc
AKAO
| $830K | 0.05% |
63,754
+62,355
| +4,457% | +$428K |
|
|
CPN
322
DELISTED
Calpine Corporation
CPN
| $830K | 0.05% |
72,629
+22,082
| +44% | +$260K |
|
323
iShares MSCI Mexico ETF
EWW
$1.92B
| $827K | 0.05% |
18,814
-2,015
| -10% | -$94.7K |
|
324
S&P Global
SPGI
$127B
| $827K | 0.05% |
+7,692
| New | +$919K |
|
325
Rio Tinto
RIO
$150B
| $823K | 0.05% |
+21,422
| New | +$786K |
|
Similar funds
Simplex Trading's Q4 2016 Portfolio in Review
As of Q4 2016, Simplex Trading held 7,301 positions worth $1.67B, up 13% from $1.48B the previous quarter. Its ten largest holdings account for 20% of the portfolio.
Simplex Trading deployed $181M of net new capital in Q4 2016, opening 1,543 new positions and adding to 2,137 existing holdings. Its largest new stake was State Street SPDR S&P 500 ETF Trust: 227,870 shares worth $50.9M.
By sector, the portfolio is most concentrated in Communication Services at 8.8% of assets, up from 8.4% a quarter earlier, followed by Technology and Healthcare.
On the sell side, the largest reduction was Goldman Sachs, an estimated $8.5M trimmed.
- Simplex Trading's largest Q4 2016 buy was State Street SPDR S&P 500 ETF Trust: 227,870 shares worth $50.9M.
- Simplex Trading added most to Apple in Q4 2016, an estimated $24.5M increase.
- Simplex Trading's biggest Q4 2016 reduction was Goldman Sachs, cutting an estimated $8.5M.
- Simplex Trading fully exited LinkedIn Corporation in Q4 2016, selling an estimated $17.4M.
- Simplex Trading's ten largest holdings make up 20% of its $1.67B portfolio in Q4 2016.
- Simplex Trading opened 1,543 new positions and closed 1,480 in Q4 2016.
- Simplex Trading's portfolio value rose 13% quarter-over-quarter to $1.67B.
Based on Simplex Trading's 13F filing for Q4 2016, filed 11 Jan 2017.