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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
CSTM icon
5876
Constellium
CSTM
$3.96B
– –
-7,325
Closed -$43.9K
CTLP
5877
CALL
DELISTED
Cantaloupe
CTLP
– –
-56
Closed -$7K
CTSO icon
5878
Cytosorbents Corp
CTSO
$22.6M
– –
-11,766
Closed -$61.1K
CUBE icon
5879
CALL
CubeSmart
CUBE
$9.53B
– –
-17
Closed -$2K
CUK
5880
PUT
DELISTED
Carnival PLC
CUK
– –
-9
Closed -$3K
CVEO icon
5881
CALL
Civeo
CVEO
$379M
– –
-3
Closed -$1K
CVLT icon
5882
Commault Systems
CVLT
$5.89B
– –
-3,333
Closed -$168K
CW icon
5883
Curtiss-Wright
CW
$27.7B
– –
-196
Closed -$16K
CWB icon
5884
State Street SPDR Bloomberg Convertible Securities ETF
CWB
$5.64B
– –
-86
Closed -$3K
CX icon
5885
Cemex
CX
$17.4B
– –
-23,063
Closed -$170K
CYD icon
5886
CALL
China Yuchai International
CYD
$1.69B
– –
-34
Closed -$10K
DAL icon
5887
Delta Air Lines
DAL
$55.9B
– –
-25,448
Closed -$963K
DALN
5888
DELISTED
DallasNews
DALN
– –
-206
Closed -$4K
DALN
5889
PUT
DELISTED
DallasNews
DALN
– –
-25
Closed -$5K
DAN icon
5890
Dana Inc
DAN
$2.91B
– –
-3,863
Closed -$52.7K
DAN icon
5891
PUT
Dana Inc
DAN
$2.91B
– –
-10
Closed -$1K
DAR icon
5892
CALL
Darling Ingredients
DAR
$9.93B
– –
-21
Closed -$1K
DBI icon
5893
CALL
Designer Brands
DBI
$277M
– –
-90
Closed -$3K
DCOM icon
5894
CALL
Dime Commercial Bancshares
DCOM
$1.75B
– –
-8
Closed -$2K
DDD icon
5895
3D Systems Corp
DDD
$420M
– –
-27,804
Closed -$417K
DEI icon
5896
Douglas Emmett
DEI
$2.06B
– –
-396
Closed -$14K
DENN
5897
PUT
DELISTED
Denny's
DENN
– –
-103
Closed -$2K
DIG icon
5898
ProShares Ultra Energy
DIG
$71.1M
– –
-16,399
Closed -$766K
DKL icon
5899
Delek Logistics
DKL
$3.04B
– –
-6,343
Closed -$172K
DLTH icon
5900
Duluth Holdings
DLTH
$160M
– –
-418
Closed -$11.4K
234 235
236
237 238

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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.