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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
DNOW icon
5901
CALL
DNOW Inc
DNOW
$2.63B
– –
-25
Closed -$4K
DNOW icon
5902
DNOW Inc
DNOW
$2.63B
– –
-3,880
Closed -$77.6K
DORM icon
5903
CALL
Dorman Products
DORM
$4.01B
– –
-11
Closed -$3K
DQ
5904
CALL
Daqo New Energy
DQ
$790M
– –
-35
Closed -$2K
DRH icon
5905
Diamondrock Hospitality Co
DRH
$2.63B
– –
-43
Closed –
DRIP icon
5906
Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 2X ETF
DRIP
$103M
– –
-12
Closed -$163K
DRRX
5907
DELISTED
DURECT Corp
DRRX
– –
-9
Closed -$148
DSX icon
5908
PUT
Diana Shipping
DSX
$280M
– –
-114
Closed -$4K
DTE icon
5909
PUT
DTE Energy
DTE
$31.1B
– –
-35
Closed -$11K
DVA icon
5910
DaVita
DVA
$15.1B
– –
-817
Closed -$57.5K
DVAX
5911
DELISTED
Dynavax Technologies
DVAX
– –
-36,972
Closed -$531K
DVN icon
5912
Devon Energy
DVN
$51.9B
– –
-83,676
Closed -$3.4M
DVY icon
5913
iShares Select Dividend ETF
DVY
$24B
– –
-47
Closed -$4K
DXCM icon
5914
DexCom
DXCM
$27.6B
– –
-82,556
Closed -$1.84M
DXPE icon
5915
DXP Enterprises
DXPE
$2.62B
– –
-61,080
Closed -$1.41M
EAT icon
5916
Brinker International
EAT
$8.02B
– –
-2,196
Closed -$110K
EBF icon
5917
CALL
Ennis
EBF
$546M
– –
-10
Closed -$1K
EC icon
5918
CALL
Ecopetrol
EC
$32.9B
– –
-103
Closed -$21K
ECPG icon
5919
CALL
Encore Capital Group
ECPG
$1.93B
– –
-55
Closed -$3K
EEV icon
5920
ProShares Trust UltraShort MSCI Emerging Markets
EEV
$2.49M
– –
-85
Closed -$15K
EFOI icon
5921
CALL
Energy Focus
EFOI
$18.3M
– –
-1
Closed -$1K
EFOI icon
5922
Energy Focus
EFOI
$18.3M
– –
-34
Closed -$5.77K
EFV icon
5923
iShares MSCI EAFE Value ETF
EFV
$27.6B
– –
-200
Closed -$8K
EFX icon
5924
CALL
Equifax
EFX
$20.3B
– –
-22
Closed -$2K
EFZ icon
5925
ProShares Trust Short MSCI EAFE
EFZ
$12.3M
– –
-615
Closed -$41K
235 236
237
238 239

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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.