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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
AZZ icon
5776
AZZ Inc
AZZ
$4.5B
– –
-49
Closed -$3.13K
AZZ icon
5777
PUT
AZZ Inc
AZZ
$4.5B
– –
-22
Closed -$2K
BAK icon
5778
Braskem
BAK
$980M
– –
-482
Closed -$6.31K
BANC icon
5779
Banc of California
BANC
$3.28B
– –
-8,158
Closed -$169K
BAP icon
5780
CALL
Credicorp
BAP
$30.9B
– –
-12
Closed -$9K
BAP icon
5781
Credicorp
BAP
$30.9B
– –
-577
Closed -$90.9K
BAP icon
5782
PUT
Credicorp
BAP
$30.9B
– –
-42
Closed -$7K
BB icon
5783
BlackBerry
BB
$5.01B
– –
-83,617
Closed -$628K
BBD icon
5784
Banco Bradesco
BBD
$38.1B
– –
-22,065
Closed -$100K
BBDC icon
5785
CALL
Barings BDC
BBDC
$862M
– –
-128
Closed -$6K
BBSI icon
5786
Barrett Business Services
BBSI
$976M
– –
-488
Closed -$5K
BCE icon
5787
PUT
BCE
BCE
$19.9B
– –
-10
Closed -$1K
BCO icon
5788
Brink's
BCO
$5.02B
– –
-236
Closed -$8.1K
BEN icon
5789
Franklin Resources
BEN
$16.9B
– –
-351
Closed -$12.4K
BGC icon
5790
CALL
BGC Group
BGC
$5.58B
– –
-112
Closed -$1K
BHE icon
5791
Benchmark Electronics
BHE
$2.91B
– –
-967
Closed -$22.9K
BHP icon
5792
BHP
BHP
$213B
– –
-25,994
Closed -$714K
BIS icon
5793
ProShares UltraShort NASDAQ Biotechnology
BIS
$2.3M
– –
-1,056
Closed -$351K
BNY
5794
Bank of New York Mellon
BNY
$108B
– –
-22,063
Closed -$881K
BLD
5795
CALL
DELISTED
TopBuild
BLD
– –
-28
Closed -$12K
BLDP
5796
Ballard Power Systems
BLDP
$874M
– –
-4,626
Closed -$8.74K
BLKB icon
5797
CALL
Blackbaud
BLKB
$1.5B
– –
-50
Closed -$14K
BMA icon
5798
PUT
Banco Macro
BMA
$5.7B
– –
-41
Closed -$2K
BMO icon
5799
PUT
Bank of Montreal
BMO
$125B
– –
-175
Closed -$69K
BMVP icon
5800
CALL
Invesco Bloomberg MVP Multi-factor ETF
BMVP
$104M
– –
-123
Closed -$1K
230 231
232
233 234

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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.