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 | |
|---|---|---|---|---|---|---|
4151
PUT
Adient
ADNT
$1.69B
| $6K | ﹤0.01% |
+63
| New | +$3.33K |
|
|
AGEN
4152
PUT
Agenus
AGEN
$276M
| $6K | ﹤0.01% |
4
+3
| +300% | +$295 |
|
4153
PUT
A.O. Smith
AOS
$8.55B
| $6K | ﹤0.01% |
306
+234
| +325% | +$11.3K |
|
4154
CALL
Apogee Enterprises
APOG
$833M
| $6K | ﹤0.01% |
23
+6
| +35% | +$278 |
|
|
ARR
4155
CALL
Armour Residential REIT
ARR
$2.32B
| $6K | ﹤0.01% |
23
-11
| -32% | -$1.22K |
|
4156
CALL
Arrowhead Research
ARWR
$12.1B
| $6K | ﹤0.01% |
417
+113
| +37% | +$481 |
|
4157
PUT
ASML
ASML
$596B
| $6K | ﹤0.01% |
192
-276
| -59% | -$28.9K |
|
4158
CALL
Axogen
AXGN
$2.2B
| $6K | ﹤0.01% |
125
+71
| +131% | +$612 |
|
4159
CALL
Credicorp
BAP
$30.5B
| $6K | ﹤0.01% |
+9
| New | +$1.38K |
|
4160
PUT
Barings BDC
BBDC
$869M
| $6K | ﹤0.01% |
200
+177
| +770% | +$3.32K |
|
4161
CALL
Brown-Forman Class B
BF.B
$13.5B
| $6K | ﹤0.01% |
164
+122
| +290% | +$3.57K |
|
4162
Blackbaud
BLKB
$1.94B
| $6K | ﹤0.01% |
103
-105
| -50% | -$6.72K |
|
4163
CALL
Box
BOX
$4.49B
| $6K | ﹤0.01% |
207
+25
| +14% | +$370 |
|
4164
CALL
Black Stone Minerals
BSM
$3.14B
| $6K | ﹤0.01% |
+10
| New | +$183 |
|
4165
CALL
Blackstone Mortgage Trust
BXMT
$2.77B
| $6K | ﹤0.01% |
61
-46
| -43% | -$1.37K |
|
4166
Cheesecake Factory
CAKE
$5.03B
| $6K | ﹤0.01% |
104
-351
| -77% | -$19.8K |
|
4167
CALL
Central Garden & Pet Co Class A
CENTA
$2.43B
| $6K | ﹤0.01% |
29
+26
| +867% | +$563 |
|
4168
CALL
Carlyle Group
CG
$16.1B
| $6K | ﹤0.01% |
550
+517
| +1,567% | +$7.98K |
|
|
CMCM
4169
CALL
Cheetah Mobile
CMCM
$87.2M
| $6K | ﹤0.01% |
10
+7
| +233% | +$372 |
|
4170
PUT
CMS Energy
CMS
$23B
| $6K | ﹤0.01% |
+62
| New | +$2.54K |
|
4171
CALL
Canadian Pacific Kansas City
CP
$81B
| $6K | ﹤0.01% |
395
-50
| -11% | -$1.48K |
|
4172
CALL
Copart
CPRT
$28.5B
| $6K | ﹤0.01% |
456
-608
| -57% | -$4.13K |
|
4173
Carpenter Technology
CRS
$26.4B
| $6K | ﹤0.01% |
+166
| New | +$6.16K |
|
|
CSR
4174
Centerspace
CSR
$952M
| $6K | ﹤0.01% |
88
-49
| -36% | -$3.11K |
|
4175
CALL
Constellium
CSTM
$3.76B
| $6K | ﹤0.01% |
89
-52
| -37% | -$318 |
|
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.