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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
NORW icon
6301
CALL
Global X MSCI Norway ETF
NORW
$86.5M
– –
-34
Closed -$6K
NRG icon
6302
NRG Energy
NRG
$30.2B
– –
-7,027
Closed -$80.9K
NRT
6303
North European Oil Royalty Trust
NRT
$78.2M
– –
-250
Closed -$1K
NSIT icon
6304
Insight Enterprises
NSIT
$3.49B
– –
-171
Closed -$5.89K
NSP icon
6305
CALL
Insperity
NSP
$1.83B
– –
-30
Closed -$5K
NTGR icon
6306
CALL
NETGEAR
NTGR
$672M
– –
-46
Closed -$48K
NTGR icon
6307
PUT
NETGEAR
NTGR
$672M
– –
-9
Closed -$1K
NTRA icon
6308
Natera
NTRA
$37.9B
– –
-1,023
Closed -$11.3K
NTRS icon
6309
PUT
Northern Trust
NTRS
$21.9B
– –
-29
Closed -$4K
NTWK icon
6310
NetSol Technologies
NTWK
$51.8M
– –
-1,428
Closed -$8.39K
NTWK icon
6311
PUT
NetSol Technologies
NTWK
$51.8M
– –
-15
Closed -$1K
NVCR icon
6312
PUT
NovoCure
NVCR
$2.32B
– –
-234
Closed -$6K
NVGS icon
6313
Navigator Holdings
NVGS
$1.34B
– –
-6,245
Closed -$51.6K
NVS icon
6314
Novartis
NVS
$297B
– –
-3,311
Closed -$215K
NWG icon
6315
NatWest
NWG
$71B
– –
-6,681
Closed -$33K
NYT icon
6316
New York Times
NYT
$11.4B
– –
-51
Closed -$630
OC icon
6317
Owens Corning
OC
$11.2B
– –
-121
Closed -$6.27K
ODP
6318
DELISTED
ODP
ODP
– –
-2,520
Closed -$104K
OEF icon
6319
iShares S&P 100 ETF
OEF
$19.8B
– –
-4,861
Closed -$472K
OFG icon
6320
OFG Bancorp
OFG
$2.22B
– –
-20,843
Closed -$250K
OII icon
6321
Oceaneering
OII
$4.79B
– –
-73
Closed -$1.97K
OLED icon
6322
Universal Display
OLED
$3.71B
– –
-2,834
Closed -$156K
OLN icon
6323
Olin
OLN
$2.69B
– –
-3,505
Closed -$83.1K
OMER icon
6324
Omeros
OMER
$744M
– –
-10,580
Closed -$108K
OMEX icon
6325
CALL
Odyssey Marine Exploration
OMEX
$42.8M
– –
-45
Closed -$10K
251 252
253
254 255

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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.