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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
HOG icon
6051
Harley-Davidson
HOG
$2.68B
– –
-2,826
Closed -$146K
HP icon
6052
Helmerich & Payne
HP
$3.53B
– –
-17,879
Closed -$1.12M
HRTG icon
6053
Heritage Insurance Holdings
HRTG
$842M
– –
-2,543
Closed -$33.5K
HRTG icon
6054
PUT
Heritage Insurance Holdings
HRTG
$842M
– –
-40
Closed -$4K
HRTX icon
6055
Heron Therapeutics
HRTX
$86.3M
– –
-15,266
Closed -$283K
HTH icon
6056
Hilltop Holdings
HTH
$2.29B
– –
-7,486
Closed -$165K
HTHT icon
6057
Huazhu Hotels Group
HTHT
$12.4B
– –
-660
Closed -$6.9K
HUBG icon
6058
CALL
HUB Group
HUBG
$3.01B
– –
-38
Closed -$5K
HUBS icon
6059
HubSpot
HUBS
$10.5B
– –
-1,055
Closed -$57.3K
HUBS icon
6060
PUT
HubSpot
HUBS
$10.5B
– –
-25
Closed -$6K
HUN icon
6061
Huntsman Corp
HUN
$2.24B
– –
-2,152
Closed -$34.1K
HXL icon
6062
Hexcel
HXL
$8.32B
– –
-298
Closed -$13K
PPLI
6063
People Inc
PPLI
$3.1B
– –
-33,567
Closed -$354K
IAG icon
6064
IAMGOLD
IAG
$8.47B
– –
-2,891
Closed -$13.2K
IART icon
6065
CALL
Integra LifeSciences
IART
$1.54B
– –
-150
Closed -$43K
IAU icon
6066
CALL
iShares Gold Trust
IAU
$63B
– –
-41
Closed -$6K
IBCP icon
6067
Independent Bank Corp
IBCP
$776M
– –
-1,381
Closed -$20K
IBCP icon
6068
PUT
Independent Bank Corp
IBCP
$776M
– –
-21
Closed -$2K
IBRX icon
6069
PUT
ImmunityBio
IBRX
$7.44B
– –
-15
Closed -$9K
ICAD
6070
DELISTED
iCAD Inc
ICAD
– –
-197
Closed -$1K
ICAD
6071
PUT
DELISTED
iCAD Inc
ICAD
– –
-25
Closed -$1K
ICE icon
6072
Intercontinental Exchange
ICE
$82.4B
– –
-4,200
Closed -$229K
ICLR icon
6073
Icon
ICLR
$12.8B
– –
-1,654
Closed -$124K
ICMB icon
6074
Investcorp Credit Management BDC
ICMB
$11.3M
$0 ﹤0.01%
+52
New +$490
ICMB icon
6075
PUT
Investcorp Credit Management BDC
ICMB
$11.3M
– –
-6
Closed -$1K
241 242
243
244 245

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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.