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 | Miscellaneous | 51.27% |
| 2 | Communication Services | 9.05% |
| 3 | Technology | 7.51% |
| 4 | Healthcare | 7.24% |
| 5 | Consumer Discretionary | 6.66% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | Held Since | |
|---|---|---|---|---|---|---|---|
26
Chevron
CVX
$457B
| $8.88M | 0.53% |
+75,491
| New | +$8.22M |
2016 Q4
0 quarters
|
|
27
Walt Disney
DIS
$194B
| $8.37M | 0.5% |
80,279
+3,632
| +5% | +$354K |
2016 Q3
1 quarter
|
|
28
Costco
COST
$445B
| $8.32M | 0.5% |
+51,977
| New | +$7.93M |
2016 Q4
0 quarters
|
|
|
29
CALL
Apple
AAPL
$5.07T
| $8.05M | 0.48% |
57,524
-13,440
| -19% | -$381K |
2015 Q1
7 quarters
|
|
30
CALL
Tesla
TSLA
$1.47T
| $7.9M | 0.47% |
124,830
+65,475
| +110% | +$860K |
2014 Q4
8 quarters
|
|
31
Mondelez International
MDLZ
$81.4B
| $7.76M | 0.46% |
+174,983
| New | +$7.54M |
2016 Q4
0 quarters
|
|
32
iShares Biotechnology ETF
IBB
$10.8B
| $7.5M | 0.45% |
84,783
+41,049
| +94% | +$3.74M |
2016 Q1
3 quarters
|
|
|
33
PUT
Tesla
TSLA
$1.47T
| $7.39M | 0.44% |
165,765
+73,365
| +79% | +$964K |
2014 Q4
8 quarters
|
|
34
CALL
NVIDIA
NVDA
$5.09T
| $7.07M | 0.42% |
279,160
+157,760
| +130% | +$330K |
2015 Q3
5 quarters
|
|
35
PUT
Meta Platforms (Facebook)
META
$1.64T
| $7.02M | 0.42% |
10,421
+1,647
| +19% | +$202K |
2014 Q4
8 quarters
|
|
36
VanEck Gold Miners ETF
GDX
$24.4B
| $6.79M | 0.41% |
+324,524
| New | +$7.2M |
2016 Q4
0 quarters
|
|
37
CALL
Alphabet (Google) Class A
GOOGL
$3.92T
| $6.76M | 0.4% |
92,480
-11,900
| -11% | -$476K |
2015 Q4
4 quarters
|
|
38
NXP Semiconductors
NXPI
$59.2B
| $6.6M | 0.39% |
67,292
+35,698
| +113% | +$3.55M |
2016 Q2
2 quarters
|
|
39
Adobe
ADBE
$103B
| $6.38M | 0.38% |
62,021
+61,760
| +23,663% | +$6.54M |
2016 Q3
1 quarter
|
|
|
UCD
40
PUT
DELISTED
PROSHARES ULTRA BLOOMBERG COMMODITY
UCD
| $6.22M | 0.37% |
10,415
-5,466
| -34% | -$3.27M |
2014 Q4
8 quarters
|
|
41
CALL
Booking.com
BKNG
$117B
| $6.09M | 0.36% |
17,775
-3,825
| -18% | -$228K |
2014 Q4
8 quarters
|
|
42
CALL
Bank of America
BAC
$354B
| $5.78M | 0.35% |
24,091
+17,586
| +270% | +$339K |
2015 Q1
7 quarters
|
|
43
CALL
Netflix
NFLX
$274B
| $5.74M | 0.34% |
66,230
-12,710
| -16% | -$151K |
2014 Q4
8 quarters
|
|
|
44
PUT
Booking.com
BKNG
$117B
| $5.62M | 0.34% |
26,425
+6,850
| +35% | +$409K |
2014 Q4
8 quarters
|
|
|
45
PUT
Apple
AAPL
$5.07T
| $5.58M | 0.33% |
72,256
+24,688
| +52% | +$700K |
2015 Q1
7 quarters
|
|
46
Procter & Gamble
PG
$374B
| $5.47M | 0.33% |
+65,054
| New | +$5.54M |
2016 Q4
0 quarters
|
|
47
United Parcel Service
UPS
$86B
| $5.45M | 0.33% |
47,518
+18,712
| +65% | +$2.11M |
2016 Q3
1 quarter
|
|
48
Constellation Brands
STZ
$23.5B
| $5.42M | 0.32% |
35,378
+23,667
| +202% | +$3.76M |
2015 Q1
7 quarters
|
|
49
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
$4.44B
| $5.39M | 0.32% |
32,520
+4,750
| +17% | +$745K |
2016 Q2
2 quarters
|
|
50
Home Depot
HD
$319B
| $5.37M | 0.32% |
40,042
+32,037
| +400% | +$4.13M |
2016 Q2
2 quarters
|
|
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 $187M of net new capital in Q4 2016, opening 1,543 new positions and adding to 2,136 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 Miscellaneous at 51% of assets, down from 53% a quarter earlier, followed by Communication Services and Technology.
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.