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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
FHI icon
5976
Federated Hermes
FHI
$4.4B
– –
-617
Closed -$19.3K
FHI icon
5977
PUT
Federated Hermes
FHI
$4.4B
– –
-16
Closed -$2K
FISV
5978
CALL
Fiserv Inc
FISV
$27.2B
– –
-20
Closed -$5K
FICO icon
5979
Fair Isaac
FICO
$28.7B
– –
-2,262
Closed -$282K
FL
5980
DELISTED
Foot Locker
FL
– –
-15,368
Closed -$958K
FLNT
5981
Fluent
FLNT
$102M
– –
-883
Closed -$27.1K
FLS icon
5982
PUT
Flowserve
FLS
$9.25B
– –
-6
Closed -$1K
FMC icon
5983
FMC
FMC
$1.42B
– –
-7,417
Closed -$306K
FN icon
5984
PUT
Fabrinet
FN
$17.1B
– –
-50
Closed -$1K
FR icon
5985
CALL
First Industrial Realty Trust
FR
$8.88B
– –
-15
Closed -$4K
FRPT icon
5986
Freshpet
FRPT
$2.83B
– –
-3,540
Closed -$34.9K
FSK icon
5987
CALL
FS KKR Capital
FSK
$2.98B
– –
-41
Closed -$1K
FSM icon
5988
Fortuna Silver Mines
FSM
$2.59B
– –
-90,072
Closed -$750K
FSM icon
5989
PUT
Fortuna Silver Mines
FSM
$2.59B
– –
-197
Closed -$5K
FSP
5990
Franklin Street Properties
FSP
$44.8M
– –
-6,171
Closed -$77.7K
FSS icon
5991
CALL
Federal Signal
FSS
$7.25B
– –
-46
Closed -$3K
FUL icon
5992
PUT
H.B. Fuller
FUL
$3B
– –
-27
Closed -$6K
FWONA icon
5993
CALL
Liberty Media Series A
FWONA
$22.3B
– –
-18
Closed -$4K
FWONA icon
5994
Liberty Media Series A
FWONA
$22.3B
– –
-522
Closed -$11.4K
FXA icon
5995
PUT
Invesco CurrencyShares Australian Dollar Trust
FXA
$96.8M
– –
-20
Closed -$2K
FXF icon
5996
Invesco CurrencyShares Swiss Franc Trust
FXF
$409M
– –
-932
Closed -$91.6K
FXI icon
5997
iShares China Large-Cap ETF
FXI
$4.31B
– –
-84,543
Closed -$2.89M
GAIA icon
5998
CALL
Gaia
GAIA
$47.3M
– –
-25
Closed -$6K
GALT icon
5999
Galectin Therapeutics
GALT
$229M
– –
-8,483
Closed -$15.1K
GBDC icon
6000
CALL
Golub Capital BDC
GBDC
$3.33B
– –
-84
Closed -$6K
238 239
240
241 242

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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.