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Simplex Trading

Simplex Trading Portfolio holdings

AUM $149B
1-Year Est. Return 62.07%
 

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.

This Fund
S&P 500
This Quarter Est. Return
+1.87%
1 Year Est. Return
+62.07%
3 Year Est. Return
+116.86%
5 Year Est. Return
+116.02%
10 Year Est. Return
+774.44%
AUM
$1.67B
AUM Growth
+$199M
Cap. Flow
+$181M
Cap. Flow %
10.79%
Top 10 Hldgs %
20.01%
Holding
7,301
New
1,543
Increased
2,137
Reduced
2,023
Closed
1,480

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$49.8M
2
AAPL icon
Apple
AAPL
+$24.5M
3
C icon
Citigroup
C
+$23.5M
4
AMZN icon
Amazon
AMZN
+$22.7M
5
GOOG icon
Alphabet (Google) Class C
GOOG
+$18.5M

Top Sells

Rank Stock Value
1
LNKD
LinkedIn Corporation
LNKD
+$17.4M
2
WFC icon
Wells Fargo
WFC
+$13.5M
3
MDVN
MEDIVATION, INC.
MDVN
+$8.62M
4
GS icon
Goldman Sachs
GS
+$8.5M
5
HYG icon
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
PBI icon
5101
CALL
Pitney Bowes
PBI
$2.46B
$2K ﹤0.01%
+9
New +$143
PBPB
5102
CALL
DELISTED
Potbelly
PBPB
$2K ﹤0.01%
56
-36
-39% -$481
PCTY icon
5103
CALL
Paylocity
PCTY
$6.97B
$2K ﹤0.01%
76
-20
-21% -$745
PFX icon
5104
CALL
PhenixFIN
PFX
$84.1M
$2K ﹤0.01%
5
-1
-17% -$153
PLD icon
5105
PUT
Prologis
PLD
$137B
$2K ﹤0.01%
70
+20
+40% +$1.02K
PLUG icon
5106
CALL
Plug Power
PLUG
$2.87B
$2K ﹤0.01%
1,524
+760
+99% +$1.12K
PPC icon
5107
PUT
Pilgrim's Pride
PPC
$6.94B
$2K ﹤0.01%
19
+8
+73% +$156
QMCO icon
5108
CALL
Quantum Corp
QMCO
$432M
$2K ﹤0.01%
2
-1
-33% -$131
QUAD icon
5109
PUT
Quad
QUAD
$438M
$2K ﹤0.01%
23
-22
-49% -$569
R icon
5110
PUT
Ryder
R
$10.3B
$2K ﹤0.01%
28
-117
-81% -$8.62K
RACE icon
5111
PUT
Ferrari
RACE
$66.8B
$2K ﹤0.01%
62
-333
-84% -$18.2K
RDUS
5112
PUT
DELISTED
Radius Recycling
RDUS
$2K ﹤0.01%
149
+4
+3% +$103
RMTI icon
5113
PUT
Rockwell Medical
RMTI
$27.6M
– –
-1
Closed -$691
RRGB icon
5114
PUT
Red Robin
RRGB
$136M
$2K ﹤0.01%
39
-176
-82% -$8.82K
RRR icon
5115
PUT
Red Rock Resorts
RRR
$3.8B
$2K ﹤0.01%
+125
New +$2.84K
RYN icon
5116
CALL
Rayonier
RYN
$6.52B
$2K ﹤0.01%
11
-31
-74% -$750
SEM
5117
CALL
DELISTED
Select Medical
SEM
$2K ﹤0.01%
24
+5
+26% +$35
SHEN icon
5118
Shenandoah Telecom
SHEN
$637M
$2K ﹤0.01%
87
-647
-88% -$17.4K
SHOO icon
5119
PUT
Steven Madden
SHOO
$3.18B
$2K ﹤0.01%
+30
New +$729
SIMO icon
5120
PUT
Silicon Motion
SIMO
$8.29B
$2K ﹤0.01%
3
-9
-75% -$411
SITC icon
5121
CALL
SITE Centers
SITC
$232M
$2K ﹤0.01%
+16
New +$320
SIVR icon
5122
PUT
abrdn Physical Silver Shares ETF
SIVR
$4.06B
$2K ﹤0.01%
+24
New +$402
SKT icon
5123
PUT
Tanger
SKT
$4.8B
$2K ﹤0.01%
+31
New +$1.09K
SLM icon
5124
PUT
SLM Corp
SLM
$4.78B
$2K ﹤0.01%
+261
New +$2.34K
SNBR
5125
CALL
DELISTED
Sleep Number
SNBR
$2K ﹤0.01%
+39
New +$844
203 204
205
206 207

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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.