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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
+8.02%
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
$1.48B
AUM Growth
-$21.1M
Cap. Flow
-$87.1M
Cap. Flow %
-5.91%
Top 10 Hldgs %
17.83%
Holding
7,235
New
1,460
Increased
2,220
Reduced
1,939
Closed
1,479

Top Buys

Rank Stock Value
1
GILD icon
Gilead Sciences
GILD
+$17.3M
2
AAPL icon
Apple
AAPL
+$15.2M
3
GOOGL icon
Alphabet (Google) Class A
GOOGL
+$14.9M
4
BKNG icon
Booking.com
BKNG
+$14.7M
5
WFC icon
Wells Fargo
WFC
+$12.9M

Top Sells

Rank Stock Value
1
GLD icon
SPDR Gold Trust
GLD
+$38.3M
2
QIHU
QIHOO 360 TECHNOLOGY CO LTD ADS RPSTG 3 CL A SHS
QIHU
+$30.7M
3
LNKD
LinkedIn Corporation
LNKD
+$15.2M
4
CELG
Celgene Corp
CELG
+$12.6M
5
TBT icon
ProShares Trust UltraShort Lehman 20+ Year Treasury
TBT
+$10.4M

Sector Composition

Rank Sector Weight
1 Communication Services 8.39%
2 Healthcare 8.28%
3 Consumer Discretionary 6.84%
4 Technology 6.06%
5 Financials 4.39%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AEIS icon
5701
PUT
Advanced Energy
AEIS
$12.2B
– –
-336
Closed -$14K
AER icon
5702
AerCap
AER
$23.9B
– –
-19,213
Closed -$725K
AES icon
5703
CALL
AES
AES
$10.6B
– –
-20
Closed -$2K
AFG icon
5704
CALL
American Financial Group
AFG
$11.9B
– –
-134
Closed -$18K
AGM icon
5705
Federal Agricultural Mortgage
AGM
$2.27B
– –
-1,277
Closed -$44K
AGM.A icon
5706
PUT
Federal Agricultural Mortgage Class A
AGM.A
$1.61B
– –
-23
Closed -$9K
AHRT
5707
AH Realty Trust
AHRT
$534M
– –
-83
Closed -$1.16K
AHRT
5708
PUT
AH Realty Trust
AHRT
$534M
– –
-164
Closed -$1K
AHT
5709
Ashford Hospitality Trust
AHT
$21M
– –
-6
Closed -$36.7K
AHT
5710
PUT
Ashford Hospitality Trust
AHT
$21M
– –
0
– -$2K
AKBA icon
5711
CALL
Akebia Therapeutics
AKBA
$327M
– –
-57
Closed -$5K
ALE
5712
PUT
DELISTED
Allete
ALE
– –
-6
Closed -$1K
ALGT icon
5713
PUT
Allegiant Air
ALGT
$2.64B
– –
-147
Closed -$25K
ALK icon
5714
Alaska Air
ALK
$5.15B
– –
-30,321
Closed -$1.99M
ALLE icon
5715
PUT
Allegion
ALLE
$13B
– –
-33
Closed -$2K
ALLT icon
5716
CALL
Allot
ALLT
$374M
– –
-102
Closed -$1K
ALLT icon
5717
Allot
ALLT
$374M
$0 ﹤0.01%
+97
New +$491
ALLY icon
5718
Ally Financial
ALLY
$13.1B
– –
-22,055
Closed -$410K
ALT icon
5719
CALL
Altimmune
ALT
$539M
– –
-2
Closed -$10K
ALTO icon
5720
Alto Ingredients
ALTO
$360M
– –
-1,659
Closed -$10.7K
ALV icon
5721
CALL
Autoliv
ALV
$8.6B
– –
-49
Closed -$1K
AMC icon
5722
PUT
AMC Entertainment Holdings
AMC
$2.03B
– –
-8
Closed -$5K
AME icon
5723
Ametek
AME
$55.5B
– –
-38,916
Closed -$1.85M
AME icon
5724
PUT
Ametek
AME
$55.5B
– –
-519
Closed -$211K
AMED
5725
DELISTED
Amedisys
AMED
– –
-5,066
Closed -$253K
227 228
229
230 231

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Simplex Trading's Q3 2016 Portfolio in Review

As of Q3 2016, Simplex Trading held 7,235 positions worth $1.48B, down 1.4% from $1.5B the previous quarter. Its ten largest holdings account for 18% of the portfolio.

Simplex Trading withdrew a net $87.1M in Q3 2016, closing 1,479 positions and reducing 1,939 holdings. Its most notable exit was SPDR Gold Trust, an estimated $38.3M position sold in full.

By sector, the portfolio is most concentrated in Communication Services at 8.4% of assets, up from 6.6% a quarter earlier, followed by Healthcare and Consumer Discretionary.

Against the trend, Simplex Trading opened a new position in Booking.com worth $15.6M.

  • Simplex Trading's largest Q3 2016 buy was Booking.com: 264,225 shares worth $15.6M.
  • Simplex Trading added most to Gilead Sciences in Q3 2016, an estimated $17.3M increase.
  • Simplex Trading's biggest Q3 2016 reduction was LinkedIn Corporation, cutting an estimated $15.2M.
  • Simplex Trading fully exited SPDR Gold Trust in Q3 2016, selling an estimated $38.3M.
  • Simplex Trading's ten largest holdings make up 18% of its $1.48B portfolio in Q3 2016.
  • Simplex Trading opened 1,460 new positions and closed 1,479 in Q3 2016.
  • Simplex Trading's portfolio value fell 1.4% quarter-over-quarter to $1.48B.

Based on Simplex Trading's 13F filing for Q3 2016, filed 7 Oct 2016.