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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
IP icon
6151
International Paper
IP
$20.3B
– –
-23,918
Closed -$1.11M
IQV icon
6152
CALL
IQVIA
IQV
$34.8B
– –
-119
Closed -$86K
IRBT
6153
DELISTED
iRobot
IRBT
– –
-7,384
Closed -$385K
IRDM icon
6154
CALL
Iridium Communications
IRDM
$4.83B
– –
-246
Closed -$25K
IRWD icon
6155
PUT
Ironwood Pharmaceuticals
IRWD
$624M
– –
-1,432
Closed -$4K
IT icon
6156
Gartner
IT
$9.29B
– –
-456
Closed -$44.1K
IT icon
6157
PUT
Gartner
IT
$9.29B
– –
-8
Closed -$1K
ITGR icon
6158
PUT
Integer Holdings
ITGR
$3.34B
– –
-9
Closed -$2K
ITRI icon
6159
CALL
Itron
ITRI
$3.78B
– –
-16
Closed -$8K
ITRI icon
6160
PUT
Itron
ITRI
$3.78B
– –
-22
Closed -$1K
IWB icon
6161
iShares Russell 1000 ETF
IWB
$47.9B
– –
-281
Closed -$33K
IWF icon
6162
iShares Russell 1000 Growth ETF
IWF
$122B
– –
-13,960
Closed -$363K
IWM icon
6163
iShares Russell 2000 ETF
IWM
$81.3B
– –
-34,327
Closed -$4.26M
JAKK icon
6164
PUT
Jakks Pacific
JAKK
$287M
– –
-5
Closed -$1K
JBHT icon
6165
JB Hunt Transport Services
JBHT
$27.3B
– –
-300
Closed -$26.7K
JBL icon
6166
Jabil
JBL
$33B
– –
-6,324
Closed -$138K
JBL icon
6167
PUT
Jabil
JBL
$33B
– –
-66
Closed -$5K
JBSS icon
6168
John B. Sanfilippo & Son
JBSS
$948M
– –
-200
Closed -$12.3K
JBSS icon
6169
PUT
John B. Sanfilippo & Son
JBSS
$948M
– –
-5
Closed -$1K
JCI icon
6170
Johnson Controls International
JCI
$87.4B
– –
-7,281
Closed -$319K
JD icon
6171
JD.com
JD
$41B
– –
-21,606
Closed -$563K
JEF icon
6172
Jefferies Financial Group
JEF
$12.9B
– –
-8,925
Closed -$167K
JEF icon
6173
PUT
Jefferies Financial Group
JEF
$12.9B
– –
-67
Closed -$2K
JLL icon
6174
CALL
Jones Lang LaSalle
JLL
$15.1B
– –
-29
Closed -$7K
JNK icon
6175
State Street SPDR Bloomberg High Yield Bond ETF
JNK
$7.24B
– –
-1,993
Closed -$219K
245 246
247
248 249

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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.