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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
+5.12%
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
$1.5B
AUM Growth
+$242M
Cap. Flow
+$178M
Cap. Flow %
11.93%
Top 10 Hldgs %
18.61%
Holding
7,153
New
1,586
Increased
2,321
Reduced
1,709
Closed
1,363

Top Buys

Rank Stock Value
1
LNKD
LinkedIn Corporation
LNKD
+$21.4M
2
GLD icon
SPDR Gold Trust
GLD
+$17.3M
3
QIHU
QIHOO 360 TECHNOLOGY CO LTD ADS RPSTG 3 CL A SHS
QIHU
+$15M
4
BIIB icon
Biogen
BIIB
+$14.9M
5
V icon
Visa
V
+$14.1M

Top Sells

Rank Stock Value
1
AVGO icon
Broadcom
AVGO
+$36.7M
2
GOOG icon
Alphabet (Google) Class C
GOOG
+$20.1M
3
EEM icon
iShares MSCI Emerging Markets ETF
EEM
+$15.8M
4
C icon
Citigroup
C
+$14.7M
5
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$13.1M

Sector Composition

Rank Sector Weight
1 Communication Services 6.61%
2 Healthcare 6.55%
3 Technology 6.45%
4 Consumer Discretionary 4.54%
5 Financials 4.51%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NSC icon
6251
Norfolk Southern
NSC
$78.8B
– –
-1,070
Closed -$90.9K
NTAP icon
6252
NetApp
NTAP
$32.9B
– –
-13,486
Closed -$332K
NTCT icon
6253
CALL
NETSCOUT
NTCT
$2.86B
– –
-43
Closed -$4K
NUGT icon
6254
Direxion Daily Gold Miners Index Bull 2X ETF
NUGT
$863M
– –
-3,033
Closed -$710K
NUWE icon
6255
Nuwellis
NUWE
$189K
– –
0
– –
NVAX icon
6256
Novavax
NVAX
$1.23B
– –
-2,889
Closed -$331K
NVGS icon
6257
PUT
Navigator Holdings
NVGS
$1.34B
– –
-18
Closed -$2K
NVRI icon
6258
Enviri
NVRI
$621M
– –
-933
Closed -$6.08K
NWG icon
6259
NatWest
NWG
$71.5B
– –
-1,767
Closed -$12K
NWL icon
6260
Newell Brands
NWL
$2.16B
– –
-7,556
Closed -$353K
NWN icon
6261
PUT
Northwest Natural Holdings
NWN
$2.17B
– –
-6
Closed -$1K
NWS icon
6262
CALL
News Corp Class B
NWS
$16.4B
– –
-14
Closed -$1K
NX icon
6263
Quanex
NX
$854M
– –
-10,020
Closed -$187K
NX icon
6264
PUT
Quanex
NX
$854M
– –
-33
Closed -$1K
OCSL icon
6265
CALL
Oaktree Specialty Lending
OCSL
$1.03B
– –
-19
Closed -$1K
ODFL icon
6266
Old Dominion Freight Line
ODFL
$48.5B
– –
-840
Closed -$18K
OESX icon
6267
Orion Energy Systems
OESX
$41.1M
– –
-13
Closed –
OFG icon
6268
OFG Bancorp
OFG
$2.21B
– –
-6,165
Closed -$50.3K
OGE icon
6269
OGE Energy
OGE
$10.3B
– –
-100
Closed -$3K
OI icon
6270
O-I Glass
OI
$1.39B
– –
-16,277
Closed -$299K
OGS icon
6271
CALL
ONE Gas
OGS
$5.05B
– –
-12
Closed -$2K
OII icon
6272
Oceaneering
OII
$5.25B
– –
-2,582
Closed -$84.2K
OII icon
6273
PUT
Oceaneering
OII
$5.25B
– –
-39
Closed -$9K
OIS icon
6274
PUT
Oil States International
OIS
$522M
– –
-21
Closed -$1K
OMC icon
6275
Omnicom Group
OMC
$22.7B
– –
-4,132
Closed -$343K
249 250
251
252 253

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Simplex Trading's Q2 2016 Portfolio in Review

As of Q2 2016, Simplex Trading held 7,153 positions worth $1.5B, up 19% from $1.25B the previous quarter. Its ten largest holdings account for 19% of the portfolio.

Simplex Trading deployed $178M of net new capital in Q2 2016, opening 1,586 new positions and adding to 2,321 existing holdings. Its largest new stake was Biogen: 56,467 shares worth $13.7M.

By sector, the portfolio is most concentrated in Communication Services at 6.6% of assets, down from 6.9% a quarter earlier, followed by Healthcare and Technology.

On the sell side, the largest reduction was Broadcom, an estimated $36.7M trimmed.

  • Simplex Trading's largest Q2 2016 buy was Biogen: 56,467 shares worth $13.7M.
  • Simplex Trading added most to LinkedIn Corporation in Q2 2016, an estimated $21.4M increase.
  • Simplex Trading's biggest Q2 2016 reduction was Broadcom, cutting an estimated $36.7M.
  • Simplex Trading fully exited Alphabet (Google) Class C in Q2 2016, selling an estimated $20.1M.
  • Simplex Trading's ten largest holdings make up 19% of its $1.5B portfolio in Q2 2016.
  • Simplex Trading opened 1,586 new positions and closed 1,363 in Q2 2016.
  • Simplex Trading's portfolio value rose 19% quarter-over-quarter to $1.5B.

Based on Simplex Trading's 13F filing for Q2 2016, filed 18 Jul 2016.