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 | |
|---|---|---|---|---|---|---|
451
KLA
KLAC
$280B
| $611K | 0.04% |
+77,690
| New | +$593K |
|
452
PUT
Viatris
VTRS
$19.8B
| $609K | 0.04% |
2,145
+710
| +49% | +$26.4K |
|
|
GWPH
453
DELISTED
GW Pharmaceuticals Plc American Depositary Shares
GWPH
| $609K | 0.04% |
+5,456
| New | +$657K |
|
|
TERP
454
DELISTED
TerraForm Power, Inc
TERP
| $609K | 0.04% |
47,616
+30,402
| +177% | +$395K |
|
455
Evercore
EVR
$13B
| $608K | 0.04% |
+8,853
| New | +$544K |
|
|
GGP
456
DELISTED
GGP Inc.
GGP
| $602K | 0.04% |
+24,129
| New | +$617K |
|
|
UN
457
DELISTED
Unilever NV New York Registry Shares
UN
| $600K | 0.04% |
14,617
+5,741
| +65% | +$238K |
|
|
GOLD
458
DELISTED
Randgold Resources Ltd
GOLD
| $600K | 0.04% |
7,869
+7,405
| +1,596% | +$587K |
|
459
Ring Energy
REI
$325M
| $599K | 0.04% |
+46,177
| New | +$534K |
|
460
BlackBerry
BB
$5.25B
| $597K | 0.04% |
+86,789
| New | +$645K |
|
461
KKR & Co
KKR
$85.8B
| $595K | 0.04% |
38,699
+25,268
| +188% | +$381K |
|
462
Live Nation Entertainment
LYV
$41.4B
| $593K | 0.04% |
22,330
+3,416
| +18% | +$94K |
|
463
CALL
Bausch Health
BHC
$1.7B
| $592K | 0.04% |
7,806
-780
| -9% | -$14.3K |
|
|
DBD
464
DELISTED
Diebold Nixdorf Incorporated
DBD
| $592K | 0.04% |
23,542
+15,067
| +178% | +$355K |
|
|
SCHW
465
CALL
Charles Schwab
SCHW
$175B
| $588K | 0.04% |
1,628
+920
| +130% | +$32.9K |
|
466
Invesco CurrencyShares Japanese Yen Trust
FXY
$425M
| $587K | 0.04% |
+7,125
| New | +$630K |
|
467
PUT
Pfizer
PFE
$141B
| $585K | 0.04% |
3,719
+1,715
| +86% | +$52.4K |
|
468
Becton Dickinson
BDX
$42.2B
| $582K | 0.03% |
+3,606
| New | +$599K |
|
469
PUT
Qualcomm
QCOM
$185B
| $582K | 0.03% |
2,324
-299
| -11% | -$20.1K |
|
470
CALL
Devon Energy
DVN
$51.8B
| $581K | 0.03% |
1,770
+23
| +1% | +$1.02K |
|
471
PUT
NetEase
NTES
$77.6B
| $581K | 0.03% |
3,665
+3,175
| +648% | +$152K |
|
472
CALL
eBay
EBAY
$49.3B
| $579K | 0.03% |
4,685
+3,605
| +334% | +$106K |
|
473
Nike
NKE
$62.6B
| $579K | 0.03% |
11,401
-57,339
| -83% | -$2.94M |
|
|
BCR
474
DELISTED
CR Bard Inc.
BCR
| $578K | 0.03% |
2,575
+2,448
| +1,928% | +$532K |
|
475
Ralph Lauren
RL
$23B
| $576K | 0.03% |
6,388
+700
| +12% | +$71.1K |
|
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.