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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
JKHY icon
6126
Jack Henry & Associates
JKHY
$10.7B
– –
-271
Closed -$23K
JPM icon
6127
JPMorgan Chase
JPM
$937B
– –
-64,557
Closed -$4.21M
JWN
6128
DELISTED
Nordstrom
JWN
– –
-13,591
Closed -$639K
K
6129
DELISTED
Kellanova
K
– –
-89,970
Closed -$6.88M
OPLN
6130
CALL
Openlane
OPLN
$4.17B
– –
-29
Closed -$2K
KDP icon
6131
Keurig Dr Pepper
KDP
$40.3B
– –
-286
Closed -$27.1K
KEP icon
6132
CALL
Korea Electric Power
KEP
$15.6B
– –
-65
Closed -$10K
KEX icon
6133
PUT
Kirby Corp
KEX
$8B
– –
-176
Closed -$4K
KIM icon
6134
Kimco Realty
KIM
$17.6B
– –
-4,189
Closed -$128K
KNOP icon
6135
KNOT Offshore Partners
KNOP
$361M
– –
-2,746
Closed -$52.3K
KNOP icon
6136
PUT
KNOT Offshore Partners
KNOP
$361M
– –
-28
Closed -$2K
KOP icon
6137
CALL
Koppers
KOP
$965M
– –
-13
Closed -$3K
KR icon
6138
Kroger
KR
$34.7B
– –
-12,114
Closed -$403K
KSS icon
6139
Kohl's
KSS
$2.07B
– –
-20,384
Closed -$854K
KTCC icon
6140
CALL
Key Tronic
KTCC
$41M
– –
-22
Closed -$1K
KYN icon
6141
CALL
Kayne Anderson Energy Infrastructure Fund
KYN
$2.54B
– –
-20
Closed -$10K
LAD icon
6142
Lithia Motors
LAD
$7.78B
– –
-3,385
Closed -$284K
LAMR icon
6143
Lamar Advertising Co
LAMR
$16.2B
– –
-1,868
Closed -$121K
LBTYK icon
6144
Liberty Global Class C
LBTYK
$3.19B
– –
-25,064
Closed -$718K
LCTX icon
6145
Lineage Cell Therapeutics
LCTX
$257M
– –
-816
Closed -$2.25K
LEA icon
6146
Lear
LEA
$7.22B
– –
-1,854
Closed -$211K
LECO icon
6147
Lincoln Electric
LECO
$13.9B
– –
-251
Closed -$15.6K
LECO icon
6148
PUT
Lincoln Electric
LECO
$13.9B
– –
-115
Closed -$11K
LEN icon
6149
Lennar Class A
LEN
$20.3B
– –
-10,340
Closed -$453K
LII icon
6150
PUT
Lennox International
LII
$18.8B
– –
-19
Closed -$2K
244 245
246
247 248

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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.