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 | |
|---|---|---|---|---|---|---|
|
OAK
351
DELISTED
OAKTREE CAPITAL GROUP, LLC
OAK
| $759K | 0.05% |
20,250
+4,201
| +26% | +$168K |
|
352
Norfolk Southern
NSC
$74.3B
| $756K | 0.05% |
+6,998
| New | +$707K |
|
353
CALL
KeyCorp
KEY
$24.9B
| $755K | 0.05% |
3,726
+3,508
| +1,609% | +$55.3K |
|
354
CALL
ExxonMobil
XOM
$640B
| $755K | 0.05% |
3,563
-1,214
| -25% | -$106K |
|
355
Royal Gold
RGLD
$17.1B
| $754K | 0.05% |
11,913
+11,169
| +1,501% | +$760K |
|
|
JOY
356
DELISTED
Joy Global Inc
JOY
| $754K | 0.05% |
26,929
+4,081
| +18% | +$114K |
|
357
CALL
Broadcom
AVGO
$1.89T
| $751K | 0.04% |
12,740
-2,120
| -14% | -$36.7K |
|
358
CALL
Capital One
COF
$124B
| $749K | 0.04% |
1,316
+457
| +53% | +$36.8K |
|
|
ICPT
359
PUT
DELISTED
Intercept Pharmaceuticals, Inc.
ICPT
| $745K | 0.04% |
558
+306
| +121% | +$36.5K |
|
|
P
360
DELISTED
Pandora Media Inc
P
| $745K | 0.04% |
+57,153
| New | +$709K |
|
361
CALL
United Parcel Service
UPS
$98.5B
| $744K | 0.04% |
1,869
+597
| +47% | +$67.3K |
|
362
National Storage Affiliates Trust
NSA
$3.37B
| $740K | 0.04% |
33,573
+32,009
| +2,047% | +$650K |
|
363
CALL
Southwest Airlines
LUV
$23.3B
| $739K | 0.04% |
1,024
+702
| +218% | +$31.5K |
|
|
SINA
364
DELISTED
Sina Corp
SINA
| $737K | 0.04% |
+12,137
| New | +$870K |
|
365
Nexstar Media Group
NXST
$5.55B
| $736K | 0.04% |
+11,631
| New | +$666K |
|
|
NILE
366
DELISTED
Blue Nile, Inc.
NILE
| $733K | 0.04% |
+18,053
| New | +$691K |
|
367
State Street Industrial Select Sector SPDR ETF
XLI
$33.2B
| $732K | 0.04% |
11,779
+10,460
| +793% | +$630K |
|
368
Zions Bancorporation
ZION
$10.3B
| $730K | 0.04% |
+16,967
| New | +$625K |
|
|
MBLY
369
DELISTED
Mobileye N.V.
MBLY
| $729K | 0.04% |
19,134
+7,997
| +72% | +$301K |
|
370
PUT
Macy's
M
$6.4B
| $725K | 0.04% |
2,923
+1,502
| +106% | +$58.4K |
|
371
CALL
Rio Tinto
RIO
$150B
| $725K | 0.04% |
957
+55
| +6% | +$2.02K |
|
372
Factset
FDS
$8.72B
| $722K | 0.04% |
+4,422
| New | +$705K |
|
373
Direxion Daily 20+ Year Treasury Bear 3X ETF
TMV
$179M
| $720K | 0.04% |
12,025
+8,101
| +206% | +$437K |
|
374
CALL
Nike
NKE
$62.6B
| $718K | 0.04% |
2,565
-664
| -21% | -$34.1K |
|
375
CALL
Wynn Resorts
WYNN
$9.79B
| $716K | 0.04% |
2,936
+414
| +16% | +$38.7K |
|
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.