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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
ANSS
5776
PUT
DELISTED
Ansys
ANSS
– –
-15
Closed -$2K
YDKG
5777
Yueda Digital Holding
YDKG
$5M
– –
-1
Closed -$5.88K
ANY icon
5778
CALL
Sphere 3D
ANY
$14.6M
– –
0
– -$4K
APAM icon
5779
PUT
Artisan Partners
APAM
$2.79B
– –
-22
Closed -$2K
APOG icon
5780
Apogee Enterprises
APOG
$850M
– –
-1,207
Closed -$55.9K
APOG icon
5781
PUT
Apogee Enterprises
APOG
$850M
– –
-77
Closed -$11K
AR icon
5782
CALL
Antero Resources
AR
$10.9B
– –
-221
Closed -$47K
ARAY icon
5783
CALL
Accuray
ARAY
$28.4M
– –
-42
Closed -$2K
ARCT icon
5784
CALL
Arcturus Therapeutics
ARCT
$157M
– –
-10
Closed -$2K
ARE icon
5785
Alexandria Real Estate Equities
ARE
$8.88B
– –
-15
Closed -$1K
ARES icon
5786
Ares Management
ARES
$28.5B
– –
-34
Closed –
AROC icon
5787
CALL
Archrock
AROC
$6.33B
– –
-32
Closed -$7K
ARTNA icon
5788
Artesian Resources
ARTNA
$356M
– –
-251
Closed -$7K
ARWR icon
5789
Arrowhead Research
ARWR
$12.1B
– –
-15,003
Closed -$63.9K
EFOR
5790
Everforth Inc
EFOR
$845M
– –
-200
Closed -$7.95K
ASH icon
5791
CALL
Ashland
ASH
$3.04B
– –
-104
Closed -$24K
ASTC icon
5792
Astrotech Corp
ASTC
$14.5M
$0 ﹤0.01%
1
-1
-50% -$244
ASTE icon
5793
Astec Industries
ASTE
$1.3B
– –
-238
Closed -$14.9K
ATEN icon
5794
CALL
A10 Networks
ATEN
$2.47B
– –
-352
Closed -$40K
ATNM icon
5795
CALL
Actinium Pharmaceuticals
ATNM
$27M
– –
-5
Closed -$1K
ATR icon
5796
PUT
AptarGroup
ATR
$8.45B
– –
-7
Closed -$1K
AVA icon
5797
CALL
Avista
AVA
$3.47B
– –
-7
Closed -$1K
AVD icon
5798
American Vanguard Corp
AVD
$73.5M
– –
-176
Closed -$3K
AVD icon
5799
PUT
American Vanguard Corp
AVD
$73.5M
– –
-41
Closed -$1K
AVGO icon
5800
Broadcom
AVGO
$1.82T
– –
-16,760
Closed -$290K
230 231
232
233 234

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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.