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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
CBRE icon
5826
CALL
CBRE Group
CBRE
$40.8B
– –
-132
Closed -$7K
CC icon
5827
Chemours
CC
$2.59B
– –
-14,791
Closed -$169K
CCI icon
5828
Crown Castle
CCI
$32.7B
– –
-9,521
Closed -$916K
CCL icon
5829
Carnival Corporation Ltd
CCL
$36.1B
– –
-32,369
Closed -$1.5M
CCM
5830
Concord Medical Services
CCM
$18.7M
– –
-33
Closed -$1K
CCOI icon
5831
CALL
Cogent Communications
CCOI
$594M
– –
-128
Closed -$8K
CDNS icon
5832
Cadence Design Systems
CDNS
$90B
– –
-4,417
Closed -$110K
CDNS icon
5833
PUT
Cadence Design Systems
CDNS
$90B
– –
-75
Closed -$2K
CDP icon
5834
COPT Defense Properties
CDP
$4.31B
– –
-81
Closed -$2K
CDW icon
5835
PUT
CDW
CDW
$17.1B
– –
-116
Closed -$2K
CDZI icon
5836
Cadiz
CDZI
$266M
– –
-2,353
Closed -$16.7K
CECO icon
5837
CALL
Ceco Environmental
CECO
$4.42B
– –
-10
Closed -$1K
CECO icon
5838
Ceco Environmental
CECO
$4.42B
– –
-1,508
Closed -$15.3K
CECO icon
5839
PUT
Ceco Environmental
CECO
$4.42B
– –
-111
Closed -$4K
CENX icon
5840
Century Aluminum
CENX
$4.57B
– –
-2,888
Closed -$19.7K
CERS icon
5841
Cerus
CERS
$587M
– –
-2,597
Closed -$17K
CERS icon
5842
PUT
Cerus
CERS
$587M
– –
-229
Closed -$13K
CHAU icon
5843
Direxion Daily CSI 300 China A Share Bull 2X ETF
CHAU
$90.3M
– –
-1,379
Closed -$23K
CHCO icon
5844
City Holding Co
CHCO
$1.97B
– –
-3,596
Closed -$163K
CHCO icon
5845
PUT
City Holding Co
CHCO
$1.97B
– –
-64
Closed -$15K
CHEF icon
5846
Chefs' Warehouse
CHEF
$3.87B
$0 ﹤0.01%
56
+35
+167% +$457
CHGG icon
5847
Chegg
CHGG
$108M
– –
-11,404
Closed -$73K
CHGG icon
5848
PUT
Chegg
CHGG
$108M
– –
-193
Closed -$27K
CHRD icon
5849
Chord Energy
CHRD
$7.79B
– –
-12,927
Closed -$118K
CHT icon
5850
Chunghwa Telecom
CHT
$33.2B
– –
-851
Closed -$30K
232 233
234
235 236

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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.