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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
MVO
6226
MV Oil Trust
MVO
$7.04M
– –
-684
Closed -$4.06K
NDAQ icon
6227
Nasdaq
NDAQ
$52B
– –
-18,780
Closed -$434K
NDSN icon
6228
Nordson
NDSN
$16.4B
– –
-20
Closed -$1.86K
NDSN icon
6229
PUT
Nordson
NDSN
$16.4B
– –
-6
Closed -$1K
NEO icon
6230
NeoGenomics
NEO
$1.84B
– –
-125
Closed -$1.05K
NEON icon
6231
Neonode
NEON
$13.1M
– –
-72
Closed -$1K
NEU icon
6232
PUT
NewMarket
NEU
$7.01B
– –
-81
Closed -$10K
NG icon
6233
CALL
NovaGold Resources
NG
$2.59B
– –
-85
Closed -$5K
NGG icon
6234
National Grid
NGG
$82.4B
– –
-1,413
Closed -$97.7K
NGL icon
6235
CALL
NGL Energy Partners
NGL
$2B
– –
-382
Closed -$42K
NGS icon
6236
Natural Gas Services Group
NGS
$496M
– –
-208
Closed -$5.06K
NHI icon
6237
National Health Investors
NHI
$3.92B
– –
-1,097
Closed -$86.3K
NHTC icon
6238
Natural Health Trends
NHTC
$15.4M
– –
-46
Closed -$1.43K
NI icon
6239
CALL
NiSource
NI
$22.5B
– –
-39
Closed -$12K
NJR icon
6240
CALL
New Jersey Resources
NJR
$6.08B
– –
-10
Closed -$3K
NMIH icon
6241
NMI Holdings
NMIH
$3.22B
– –
-9,072
Closed -$63.5K
NNN icon
6242
NNN REIT
NNN
$9.33B
– –
-509
Closed -$26K
NNVC icon
6243
NanoViricides
NNVC
$35.4M
– –
-17
Closed –
NOA
6244
North American Construction
NOA
$374M
– –
-1,672
Closed -$4K
NORW icon
6245
PUT
Global X MSCI Norway ETF
NORW
$86.4M
– –
-104
Closed -$5K
NPO icon
6246
CALL
Enpro
NPO
$7.07B
– –
-25
Closed -$1K
NRT
6247
CALL
North European Oil Royalty Trust
NRT
$80.7M
– –
-8
Closed -$1K
NSA
6248
CALL
DELISTED
National Storage Affiliates Trust
NSA
– –
-19
Closed -$1K
NSA
6249
PUT
DELISTED
National Storage Affiliates Trust
NSA
– –
-8
Closed -$1K
NSIT icon
6250
CALL
Insight Enterprises
NSIT
$3.55B
– –
-17
Closed -$1K
248 249
250
251 252

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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.