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 | Miscellaneous | 51.27% |
| 2 | Communication Services | 9.05% |
| 3 | Technology | 7.51% |
| 4 | Healthcare | 7.24% |
| 5 | Consumer Discretionary | 6.66% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
|
OSG
326
Octave Specialty Group
OSG
$224M
| $822K | 0.05% |
+36,570
| New | +$799K |
|
327
SLM Corp
SLM
$5.09B
| $820K | 0.05% |
74,468
+74,386
| +90,715% | +$668K |
|
328
PUT
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$45.9B
| $810K | 0.05% |
4,440
+1,814
| +69% | +$342K |
|
329
Copart
CPRT
$31.2B
| $808K | 0.05% |
+116,736
| New | +$793K |
|
|
GG
330
DELISTED
Goldcorp Inc
GG
| $803K | 0.05% |
59,056
-129,804
| -69% | -$1.81M |
|
331
Baxter International
BAX
$13.4B
| $802K | 0.05% |
18,107
+17,607
| +3,521% | +$814K |
|
332
Johnson & Johnson
JNJ
$663B
| $801K | 0.05% |
+6,956
| New | +$803K |
|
333
PUT
SLB Ltd
SLB
$85.3B
| $801K | 0.05% |
3,551
+2,227
| +168% | +$183K |
|
|
B
334
PUT
Barrick Mining
B
$73.7B
| $797K | 0.05% |
3,295
+1,626
| +97% | +$25.8K |
|
335
PUT
Baidu
BIDU
$33.7B
| $796K | 0.05% |
1,786
-538
| -23% | -$91.6K |
|
|
HDS
336
DELISTED
HD Supply Holdings, Inc.
HDS
| $796K | 0.05% |
18,738
+6,401
| +52% | +$236K |
|
337
Invesco CurrencyShares British Pound Sterling Trust
FXB
$65M
| $794K | 0.05% |
6,605
-33,946
| -84% | -$4.11M |
|
338
CALL
NXP Semiconductors
NXPI
$57.5B
| $793K | 0.05% |
3,050
+1,810
| +146% | +$180K |
|
|
TSE
339
DELISTED
Trinseo
TSE
| $793K | 0.05% |
+13,385
| New | +$751K |
|
340
CALL
Altria Group
MO
$115B
| $790K | 0.05% |
2,494
-176
| -7% | -$11.3K |
|
341
PUT
Herbalife
HLF
$1.3B
| $785K | 0.05% |
3,474
-70
| -2% | -$1.91K |
|
342
CALL
US Bancorp Series B Preferred Stock
USB.PRH
$727M
| $783K | 0.05% |
2,641
-4,229
| -62% | -$96.6K |
|
343
CALL
ProShares Ultra S&P500
SSO
$9.11B
| $778K | 0.05% |
12,392
+696
| +6% | +$6.29K |
|
344
PUT
Eli Lilly
LLY
$1.02T
| $777K | 0.05% |
4,291
-574
| -12% | -$42.7K |
|
345
CALL
Union Pacific
UNP
$172B
| $769K | 0.05% |
1,213
-1,579
| -57% | -$155K |
|
346
Affiliated Managers Group
AMG
$9.57B
| $766K | 0.05% |
+5,278
| New | +$766K |
|
347
PUT
Mondelez International
MDLZ
$78.2B
| $765K | 0.05% |
7,256
+4,642
| +178% | +$200K |
|
348
Autoliv
ALV
$9.17B
| $764K | 0.05% |
9,375
+7,582
| +423% | +$564K |
|
349
ASML
ASML
$659B
| $760K | 0.05% |
+6,782
| New | +$710K |
|
|
SWIR
350
DELISTED
Sierra Wireless
SWIR
| $759K | 0.05% |
48,381
+4,663
| +11% | +$69.5K |
|
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 $187M 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 Miscellaneous at 51% of assets, down from 53% a quarter earlier, followed by Communication Services and Technology.
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.