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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
KALU icon
6176
Kaiser Aluminum
KALU
$2.74B
– –
-197
Closed -$15.7K
KB icon
6177
KB Financial Group
KB
$41.6B
– –
-174
Closed -$5K
KBE icon
6178
State Street SPDR S&P Bank ETF
KBE
$1.64B
– –
-13,484
Closed -$450K
KBH icon
6179
KB Home
KBH
$3.45B
– –
-36,556
Closed -$571K
KBR icon
6180
CALL
KBR
KBR
$4.75B
– –
-91
Closed -$16K
KBR icon
6181
PUT
KBR
KBR
$4.75B
– –
-13
Closed -$4K
KELYB
6182
CALL
Kelly Services Class B
KELYB
$760M
– –
-103
Closed -$5K
KEP icon
6183
Korea Electric Power
KEP
$15.6B
– –
-2,828
Closed -$58.9K
KEP icon
6184
PUT
Korea Electric Power
KEP
$15.6B
– –
-105
Closed -$8K
KEX icon
6185
CALL
Kirby Corp
KEX
$7.98B
– –
-10
Closed -$3K
KEX icon
6186
Kirby Corp
KEX
$7.98B
– –
-360
Closed -$22.8K
KFRC icon
6187
CALL
Kforce
KFRC
$995M
– –
-57
Closed -$12K
KFY icon
6188
Korn Ferry
KFY
$4.02B
– –
-1,093
Closed -$26.6K
KGC icon
6189
Kinross Gold
KGC
$28.5B
– –
-16,980
Closed -$59.6K
KIM icon
6190
PUT
Kimco Realty
KIM
$17.5B
– –
-607
Closed -$8K
KMB icon
6191
Kimberly-Clark
KMB
$36.1B
– –
-5,467
Closed -$635K
KNDI
6192
Kandi Technologies Group
KNDI
$65.7M
– –
-8,174
Closed -$40.5K
KNOP icon
6193
CALL
KNOT Offshore Partners
KNOP
$359M
– –
-168
Closed -$18K
KO icon
6194
Coca-Cola
KO
$353B
– –
-74,969
Closed -$3.12M
KODK icon
6195
Kodak
KODK
$795M
– –
-590
Closed -$8.99K
KOPN icon
6196
CALL
Kopin
KOPN
$663M
– –
-231
Closed -$5K
KRC icon
6197
Kilroy Realty
KRC
$4.52B
– –
-4,236
Closed -$303K
KRC icon
6198
PUT
Kilroy Realty
KRC
$4.52B
– –
-382
Closed -$8K
KRO icon
6199
KRONOS Worldwide
KRO
$755M
– –
-290
Closed -$2.94K
KTOS icon
6200
Kratos Defense & Security Solutions
KTOS
$8.98B
– –
-5,283
Closed -$35.7K
246 247
248
249 250

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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.