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 | |
|---|---|---|---|---|---|---|
401
LKQ Corp
LKQ
$6.42B
| $672K | 0.04% |
+21,943
| New | +$716K |
|
402
Moody's
MCO
$85.5B
| $671K | 0.04% |
+7,120
| New | +$719K |
|
|
GRA
403
DELISTED
W.R. Grace & Co.
GRA
| $671K | 0.04% |
9,921
+6,276
| +172% | +$429K |
|
404
PUT
Philip Morris
PM
$303B
| $670K | 0.04% |
3,053
+1,289
| +73% | +$119K |
|
405
Sunoco
SUN
$14.3B
| $670K | 0.04% |
24,929
+23,606
| +1,784% | +$615K |
|
406
CALL
APA Corp
APA
$12.8B
| $666K | 0.04% |
1,784
-101
| -5% | -$6.36K |
|
|
POT
407
CALL
DELISTED
Potash Corp Of Saskatchewan
POT
| $661K | 0.04% |
2,791
+1,125
| +68% | +$19.5K |
|
408
PUT
ConocoPhillips
COP
$145B
| $659K | 0.04% |
2,019
-715
| -26% | -$33K |
|
409
PUT
Microsoft
MSFT
$2.9T
| $659K | 0.04% |
8,035
-358
| -4% | -$21.5K |
|
410
TAL Education Group
TAL
$5.73B
| $658K | 0.04% |
56,286
-5,418
| -9% | -$66.2K |
|
|
TSL
411
DELISTED
Trina Solar Limited
TSL
| $655K | 0.04% |
70,532
+32,014
| +83% | +$321K |
|
412
Brinker International
EAT
$8.03B
| $654K | 0.04% |
+13,213
| New | +$680K |
|
413
PUT
Capital One
COF
$124B
| $653K | 0.04% |
1,342
+280
| +26% | +$22.6K |
|
414
Axalta
AXTA
$7.02B
| $651K | 0.04% |
23,961
+23,221
| +3,138% | +$611K |
|
|
TUP
415
DELISTED
Tupperware Brands Corporation
TUP
| $651K | 0.04% |
12,380
+9,706
| +363% | +$569K |
|
|
S
416
DELISTED
Sprint Corporation
S
| $651K | 0.04% |
+77,389
| New | +$573K |
|
|
ZAYO
417
DELISTED
Zayo Group Holdings, Inc.
ZAYO
| $649K | 0.04% |
+19,751
| New | +$647K |
|
|
RUSL
418
DELISTED
Direxion Daily Russia Bull 2X Shares
RUSL
| $648K | 0.04% |
+12,836
| New | +$492K |
|
419
PUT
Humana
HUM
$47.7B
| $645K | 0.04% |
1,622
+891
| +122% | +$170K |
|
420
Teleflex
TFX
$5.97B
| $645K | 0.04% |
4,004
+224
| +6% | +$34.9K |
|
421
PUT
Berkshire Hathaway Class B
BRK.B
$1.06T
| $644K | 0.04% |
1,984
+684
| +53% | +$105K |
|
422
PUT
Visa
V
$672B
| $643K | 0.04% |
2,862
+579
| +25% | +$46.5K |
|
423
PUT
Intuitive Surgical
ISRG
$121B
| $642K | 0.04% |
6,111
+2,934
| +92% | +$216K |
|
424
PUT
Caterpillar
CAT
$410B
| $641K | 0.04% |
3,997
-379
| -9% | -$34.3K |
|
425
PUT
Merck
MRK
$315B
| $641K | 0.04% |
4,622
+941
| +26% | +$55.1K |
|
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.