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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
AVNS icon
5801
PUT
Avanos Medical
AVNS
$1.17B
– –
-42
Closed -$3K
AVY icon
5802
CALL
Avery Dennison
AVY
$12.3B
– –
-27
Closed -$6K
AVY icon
5803
Avery Dennison
AVY
$12.3B
– –
-412
Closed -$29.9K
AWI icon
5804
PUT
Armstrong World Industries
AWI
$6.86B
– –
-46
Closed -$4K
AWK icon
5805
American Water Works
AWK
$26.3B
– –
-11,508
Closed -$833K
AWR icon
5806
American States Water
AWR
$3.39B
– –
-668
Closed -$27.9K
AWR icon
5807
PUT
American States Water
AWR
$3.39B
– –
-16
Closed -$2K
AXS icon
5808
CALL
AXIS Capital
AXS
$8.59B
– –
-69
Closed -$9K
BA icon
5809
Boeing
BA
$165B
– –
-8,284
Closed -$1.21M
BAC icon
5810
Bank of America
BAC
$435B
– –
-356,312
Closed -$6.86M
BAH icon
5811
CALL
Booz Allen Hamilton
BAH
$8.7B
– –
-26
Closed -$5K
BAK icon
5812
PUT
Braskem
BAK
$980M
– –
-24
Closed -$1K
BALL icon
5813
Ball Corp
BALL
$17B
– –
-17,856
Closed -$691K
BBAR icon
5814
CALL
BBVA Argentina
BBAR
$3.85B
– –
-10
Closed -$1K
BBW icon
5815
Build-A-Bear
BBW
$423M
– –
-2,693
Closed -$35.7K
BBW icon
5816
PUT
Build-A-Bear
BBW
$423M
– –
-6
Closed -$7K
BC icon
5817
Brunswick
BC
$5.19B
– –
-646
Closed -$32K
BC icon
5818
PUT
Brunswick
BC
$5.19B
– –
-11
Closed -$1K
BCO icon
5819
PUT
Brink's
BCO
$5.02B
– –
-34
Closed -$2K
BDC icon
5820
PUT
Belden
BDC
$4B
– –
-24
Closed -$2K
BDN
5821
Brandywine Realty Trust
BDN
$551M
– –
-1,242
Closed -$19K
BFH icon
5822
Bread Financial
BFH
$4.21B
– –
-1,048
Closed -$182K
BGFV
5823
PUT
DELISTED
Big 5 Sporting Goods
BGFV
– –
-3
Closed -$3K
BHR
5824
Braemar Hotels & Resorts
BHR
$153M
– –
-7,070
Closed -$93.9K
BHR
5825
PUT
Braemar Hotels & Resorts
BHR
$153M
– –
-40
Closed -$1K
231 232
233
234 235

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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.