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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
DHC
5951
CALL
Diversified Healthcare Trust
DHC
$2.26B
– –
-111
Closed -$18K
DHI icon
5952
D.R. Horton
DHI
$41B
– –
-14,385
Closed -$411K
DHR icon
5953
Danaher
DHR
$135B
– –
-1,698
Closed -$118K
DHT icon
5954
DHT Holdings
DHT
$2.97B
– –
-1,048
Closed -$4.16K
DIN icon
5955
CALL
Dine Brands
DIN
$432M
– –
-70
Closed -$25K
DINO icon
5956
HF Sinclair
DINO
$15.9B
– –
-11,032
Closed -$306K
DK icon
5957
Delek US
DK
$3.87B
– –
-69,663
Closed -$1.37M
DLB icon
5958
CALL
Dolby
DLB
$4.72B
– –
-28
Closed -$23K
DLNG icon
5959
Dynagas LNG Partners
DLNG
$131M
– –
-4,362
Closed -$65.5K
DLTH icon
5960
CALL
Duluth Holdings
DLTH
$160M
– –
-1
Closed -$1K
DLX icon
5961
Deluxe
DLX
$1.19B
– –
-852
Closed -$57.2K
DLX icon
5962
PUT
Deluxe
DLX
$1.19B
– –
-50
Closed -$3K
DMRC icon
5963
CALL
Digimarc Corp
DMRC
$133M
– –
-4
Closed -$2K
DNN icon
5964
PUT
Denison Mines
DNN
$2.63B
– –
-5
Closed -$1K
DRD
5965
DRDGold
DRD
$1.82B
– –
-1,653
Closed -$7.72K
DRRX
5966
CALL
DELISTED
DURECT Corp
DRRX
– –
-8
Closed -$1K
DSL
5967
CALL
DoubleLine Income Solutions Fund
DSL
$1.21B
– –
-15
Closed -$7K
DXLG icon
5968
Destination XL Group
DXLG
$34.7M
– –
-791
Closed -$3K
EA icon
5969
Electronic Arts
EA
$52.4B
– –
-58,002
Closed -$4.66M
EBS icon
5970
Emergent Biosolutions
EBS
$375M
$0 ﹤0.01%
17
-1,151
-99% -$34.5K
EC icon
5971
PUT
Ecopetrol
EC
$32.9B
– –
-10
Closed -$1K
EDC icon
5972
Direxion Daily MSCI Emerging Markets Bull 3X ETF
EDC
$147M
– –
-15,052
Closed -$975K
EDU icon
5973
CALL
New Oriental
EDU
$7.84B
– –
-15
Closed -$4K
EEFT icon
5974
Euronet Worldwide
EEFT
$3.02B
– –
-2,848
Closed -$220K
EEFT icon
5975
PUT
Euronet Worldwide
EEFT
$3.02B
– –
-215
Closed -$33K
237 238
239
240 241

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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.