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 | |
|---|---|---|---|---|---|---|
4201
CALL
MaxLinear
MXL
$5.19B
| $6K | ﹤0.01% |
65
-162
| -71% | -$3.35K |
|
4202
PUT
Myriad Genetics
MYGN
$476M
| $6K | ﹤0.01% |
221
+159
| +256% | +$2.88K |
|
4203
PUT
NetApp
NTAP
$33.9B
| $6K | ﹤0.01% |
116
+61
| +111% | +$2.13K |
|
4204
PUT
Navigator Holdings
NVGS
$1.35B
| $6K | ﹤0.01% |
621
+601
| +3,005% | +$4.96K |
|
4205
CALL
News Corp Class B
NWS
$17.7B
| $6K | ﹤0.01% |
119
-124
| -51% | -$1.58K |
|
4206
Oaktree Specialty Lending
OCSL
$1.05B
| $6K | ﹤0.01% |
427
-330
| -44% | -$5.5K |
|
4207
CALL
O-I Glass
OI
$1.18B
| $6K | ﹤0.01% |
244
-191
| -44% | -$3.47K |
|
4208
PUT
Oneok
OKE
$56.7B
| $6K | ﹤0.01% |
96
-35
| -27% | -$1.84K |
|
4209
PUT
Pacific Biosciences
PACB
$435M
| $6K | ﹤0.01% |
46
-444
| -91% | -$3.23K |
|
4210
PUT
Pembina Pipeline
PBA
$29.3B
| $6K | ﹤0.01% |
110
+80
| +267% | +$2.42K |
|
4211
CALL
PG&E
PCG
$39B
| $6K | ﹤0.01% |
55
+44
| +400% | +$2.64K |
|
4212
CALL
Pegasystems
PEGA
$5.09B
| $6K | ﹤0.01% |
48
-258
| -84% | -$4.31K |
|
|
PPL
4213
PUT
PPL Corp
PPL
$26.9B
| $6K | ﹤0.01% |
43
-7
| -14% | -$235 |
|
4214
PUT
Protolabs
PRLB
$1.7B
| $6K | ﹤0.01% |
23
+18
| +360% | +$944 |
|
4215
Prospect Capital
PSEC
$1.08B
| $6K | ﹤0.01% |
+790
| New | +$6.34K |
|
4216
PUT
Regions Financial
RF
$26.4B
| $6K | ﹤0.01% |
77
-839
| -92% | -$10.4K |
|
4217
CALL
Sturm, Ruger & Co
RGR
$603M
| $6K | ﹤0.01% |
112
+31
| +38% | +$1.71K |
|
|
4218
PUT
Sturm, Ruger & Co
RGR
$603M
| $6K | ﹤0.01% |
14
-45
| -76% | -$2.49K |
|
4219
PUT
Rambus
RMBS
$8.95B
| $6K | ﹤0.01% |
362
-1
| -0.3% | -$13 |
|
4220
CALL
Rush Enterprises Class A
RUSHA
$6.34B
| $6K | ﹤0.01% |
+20
| New | +$247 |
|
4221
PUT
SiriusXM
SIRI
$11B
| $6K | ﹤0.01% |
11
-12
| -52% | -$522 |
|
4222
CALL
SELLAS Life Sciences
SLS
$1.99B
| $6K | ﹤0.01% |
+1
| New | +$5.82K |
|
4223
CALL
Sasol
SSL
$7.4B
| $6K | ﹤0.01% |
211
+180
| +581% | +$4.95K |
|
4224
CALL
Stratasys
SSYS
$666M
| $6K | ﹤0.01% |
654
-194
| -23% | -$3.8K |
|
|
SVC
4225
PUT
Service Properties Trust
SVC
$1.05B
| $6K | ﹤0.01% |
+37
| New | +$5.37K |
|
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.