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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
SNBR
5501
PUT
DELISTED
Sleep Number
SNBR
$1K ﹤0.01%
3
-1
-25% -$22
SNEX icon
5502
CALL
StoneX
SNEX
$8.83B
$1K ﹤0.01%
76
– –
SNPS icon
5503
PUT
Synopsys
SNPS
$71.5B
$1K ﹤0.01%
+6
New +$357
SOHU
5504
CALL
Sohu.com
SOHU
$336M
$1K ﹤0.01%
77
-9
-10% -$336
SON icon
5505
PUT
Sonoco
SON
$5.76B
$1K ﹤0.01%
+10
New +$522
SRE icon
5506
CALL
Sempra
SRE
$60.8B
$1K ﹤0.01%
78
-270
-78% -$13.7K
SRG
5507
CALL
Seritage Growth Properties
SRG
$130M
$1K ﹤0.01%
+8
New +$372
STAA icon
5508
CALL
STAAR Surgical
STAA
$1.16B
$1K ﹤0.01%
+8
New +$81
STKL
5509
CALL
DELISTED
SunOpta
STKL
$1K ﹤0.01%
27
-72
-73% -$501
SXI icon
5510
PUT
Standex International
SXI
$3.68B
$1K ﹤0.01%
+2
New +$175
SYY icon
5511
PUT
Sysco
SYY
$39.7B
$1K ﹤0.01%
16
-2
-11% -$104
TDC icon
5512
PUT
Teradata
TDC
$2.68B
$1K ﹤0.01%
5
-91
-95% -$2.57K
TEL icon
5513
PUT
TE Connectivity
TEL
$58.8B
$1K ﹤0.01%
+102
New +$6.76K
TEO icon
5514
CALL
Telecom Argentina
TEO
$5.89B
$1K ﹤0.01%
95
-135
-59% -$2.47K
TFX icon
5515
CALL
Teleflex
TFX
$5.85B
$1K ﹤0.01%
+1
New +$156
TGTX icon
5516
PUT
TG Therapeutics
TGTX
$8.58B
$1K ﹤0.01%
+18
New +$106
THRM icon
5517
CALL
Gentherm
THRM
$1.31B
$1K ﹤0.01%
2
-63
-97% -$1.96K
THS
5518
CALL
DELISTED
Treehouse Foods
THS
$1K ﹤0.01%
25
-44
-64% -$3.36K
TKC icon
5519
CALL
Turkcell
TKC
$4.84B
$1K ﹤0.01%
+43
New +$314
TLYS icon
5520
CALL
Tilly's
TLYS
$115M
$1K ﹤0.01%
12
-37
-76% -$412
TNK icon
5521
CALL
Teekay Tankers
TNK
$2.63B
$1K ﹤0.01%
+29
New +$569
TWO
5522
PUT
Two Harbors Investment
TWO
$1.27B
$1K ﹤0.01%
+6
New +$409
TX icon
5523
CALL
Ternium
TX
$9.29B
$1K ﹤0.01%
+19
New +$444
TYL icon
5524
PUT
Tyler Technologies
TYL
$12.2B
$1K ﹤0.01%
15
-40
-73% -$6.21K
UEC icon
5525
PUT
Uranium Energy
UEC
$4.71B
$1K ﹤0.01%
10
-1
-9% -$1
219 220
221
222 223

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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.