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 | |
|---|---|---|---|---|---|---|
501
CALL
AbbVie
ABBV
$448B
| $550K | 0.03% |
4,518
+890
| +25% | +$54.3K |
|
502
Kennametal
KMT
$2.65B
| $549K | 0.03% |
17,586
-17,474
| -50% | -$549K |
|
503
PUT
Invesco CurrencyShares Euro Currency Trust
FXE
$332M
| $548K | 0.03% |
2,840
+2,230
| +366% | +$234K |
|
504
Direxion Daily Junior Gold Miners Index Bear 2X ETF
JDST
$28.9M
| $543K | 0.03% |
+1
| New | +$704K |
|
505
AvalonBay Communities
AVB
$27B
| $542K | 0.03% |
3,060
+1,245
| +69% | +$210K |
|
506
PUT
AB InBev
BUD
$161B
| $542K | 0.03% |
1,246
+552
| +80% | +$61.9K |
|
507
Carlyle Group
CG
$15.9B
| $542K | 0.03% |
35,557
+33,237
| +1,433% | +$513K |
|
|
TPH
508
DELISTED
Tri Pointe Homes
TPH
| $542K | 0.03% |
47,246
+45,531
| +2,655% | +$544K |
|
|
RDS.A
509
CALL
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
| $541K | 0.03% |
2,749
+286
| +12% | +$14.7K |
|
|
WLL
510
CALL
DELISTED
Whiting Petroleum Corporation
WLL
| $541K | 0.03% |
11
+1
| +10% | +$3K |
|
|
ELLI
511
DELISTED
Ellie Mae Inc
ELLI
| $536K | 0.03% |
+6,406
| New | +$591K |
|
|
VISN
512
Vistance Networks Inc
VISN
$2.72B
| $534K | 0.03% |
14,369
+9,266
| +182% | +$316K |
|
513
CALL
Synchrony
SYF
$24.5B
| $533K | 0.03% |
1,390
+605
| +77% | +$19.3K |
|
|
VALE.P
514
PUT
DELISTED
Vale S A
VALE.P
| $533K | 0.03% |
2,469
+1,034
| +72% | +$6.85K |
|
|
ABMD
515
DELISTED
Abiomed Inc
ABMD
| $532K | 0.03% |
+4,724
| New | +$547K |
|
516
CALL
JD.com
JD
$40.7B
| $531K | 0.03% |
3,712
-415
| -10% | -$10.8K |
|
517
Vornado Realty Trust
VNO
$7.24B
| $531K | 0.03% |
6,305
+5,297
| +525% | +$416K |
|
|
SDRL
518
PUT
DELISTED
Seadrill Limited Common Stock
SDRL
| $530K | 0.03% |
7
+1
| +17% | +$732 |
|
519
PUT
Starbucks
SBUX
$119B
| $529K | 0.03% |
2,807
-86
| -3% | -$4.76K |
|
|
MASI
520
DELISTED
Masimo
MASI
| $528K | 0.03% |
7,845
+7,553
| +2,587% | +$464K |
|
|
CATM
521
DELISTED
Cardtronics plc Class A Ordinary Shares (UK)
CATM
| $528K | 0.03% |
9,683
-306
| -3% | -$15.6K |
|
522
CALL
Yelp
YELP
$1.36B
| $527K | 0.03% |
1,002
-203
| -17% | -$7.5K |
|
|
RDUS
523
PUT
DELISTED
Radius Health, Inc.
RDUS
| $525K | 0.03% |
642
+441
| +219% | +$21K |
|
|
524
PUT
AbbVie
ABBV
$448B
| $521K | 0.03% |
1,713
-443
| -21% | -$27K |
|
525
PUT
ProShares UltraShort Health Care
RXD
$3.38M
| $521K | 0.03% |
871
+256
| +42% | +$47.7K |
|
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.