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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
ARMK icon
5751
PUT
Aramark
ARMK
$15B
– –
-30
Closed -$5K
ARR
5752
Armour Residential REIT
ARR
$2.02B
– –
-137
Closed -$14.9K
ARR
5753
PUT
Armour Residential REIT
ARR
$2.02B
– –
-9
Closed -$1K
ARWR icon
5754
PUT
Arrowhead Research
ARWR
$12.1B
– –
-25
Closed -$2K
ASA
5755
ASA Gold and Precious Metals
ASA
$948M
– –
-2,014
Closed -$31.1K
ARW icon
5756
Arrow Electronics
ARW
$10.9B
– –
-623
Closed -$40.2K
ARW icon
5757
PUT
Arrow Electronics
ARW
$10.9B
– –
-23
Closed -$5K
ASHR icon
5758
Xtrackers Harvest CSI 300 China A-Shares ETF
ASHR
$1.35B
– –
-13,252
Closed -$314K
ASML icon
5759
ASML
ASML
$675B
– –
-514
Closed -$54.4K
ASR icon
5760
CALL
Grupo Aeroportuario del Sureste
ASR
$8.03B
– –
-4
Closed -$1K
ASTC icon
5761
Astrotech Corp
ASTC
$14.5M
$0 ﹤0.01%
+2
New +$522
ATI icon
5762
ATI
ATI
$27B
– –
-20,683
Closed -$343K
ATO icon
5763
CALL
Atmos Energy
ATO
$29.9B
– –
-24
Closed -$13K
ATR icon
5764
CALL
AptarGroup
ATR
$8.45B
– –
-15
Closed -$1K
ATRA icon
5765
Atara Biotherapeutics
ATRA
$71.2M
– –
-57
Closed -$32K
AVAV icon
5766
CALL
AeroVironment
AVAV
$7.57B
– –
-43
Closed -$4K
AVNS icon
5767
CALL
Avanos Medical
AVNS
$1.17B
– –
-128
Closed -$1K
AVNT icon
5768
Avient
AVNT
$3.45B
– –
-268
Closed -$9K
AVT icon
5769
PUT
Avnet
AVT
$7.33B
– –
-21
Closed -$1K
AVY icon
5770
PUT
Avery Dennison
AVY
$12.3B
– –
-23
Closed -$1K
AWI icon
5771
Armstrong World Industries
AWI
$6.86B
– –
-1,735
Closed -$72.6K
AWR icon
5772
CALL
American States Water
AWR
$3.39B
– –
-24
Closed -$8K
AXS icon
5773
AXIS Capital
AXS
$8.59B
– –
-282
Closed -$15.6K
AXS icon
5774
PUT
AXIS Capital
AXS
$8.59B
– –
-44
Closed -$1K
AZTA icon
5775
Azenta
AZTA
$1.26B
– –
-153
Closed -$1K
229 230
231
232 233

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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.