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Simplex Trading

Simplex Trading Portfolio holdings

AUM $171B
1-Year Est. Return 85%
 

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
+85%
3 Year Est. Return
+183.25%
5 Year Est. Return
+145.21%
10 Year Est. Return
+1,056.84%
AUM
$1.48B
AUM Growth
-$21.1M
Cap. Flow
-$51.7M
Cap. Flow %
-3.5%
Top 10 Hldgs %
17.83%
Holding
7,235
New
1,460
Increased
2,220
Reduced
1,938
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 Miscellaneous 53.25%
2 Healthcare 8.96%
3 Communication Services 8.51%
4 Consumer Discretionary 7.07%
5 Technology 6.63%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PPL
6326
PPL Corp
PPL
$26.4B
– –
-7,792
Closed -$280K
PRAA icon
6327
PRA Group
PRAA
$716M
– –
-4,424
Closed -$130K
PRDO icon
6328
Perdoceo Education
PRDO
$2.08B
– –
-448
Closed -$3.05K
PRI icon
6329
Primerica
PRI
$9.1B
– –
-80
Closed -$4K
PRI icon
6330
PUT
Primerica
PRI
$9.1B
– –
-25
Closed -$1K
PRU icon
6331
Prudential Financial
PRU
$42.1B
– –
-5,926
Closed -$455K
PSEC icon
6332
Prospect Capital
PSEC
$1.14B
– –
-5,587
Closed -$46.1K
PSO icon
6333
CALL
Pearson
PSO
$9.6B
– –
-37
Closed -$3K
PTEN icon
6334
PUT
Patterson-UTI
PTEN
$4.74B
– –
-214
Closed -$10K
BCIC
6335
CALL
BCP Investment Corp
BCIC
$90.9M
– –
-2
Closed -$2K
PVH icon
6336
PVH
PVH
$3.43B
– –
-6,041
Closed -$625K
PYPL icon
6337
PayPal
PYPL
$47B
– –
-138,328
Closed -$5.32M
QLYS icon
6338
Qualys
QLYS
$5.94B
– –
-5,880
Closed -$197K
QTWO icon
6339
PUT
Q2 Holdings
QTWO
$3.87B
– –
-47
Closed -$3K
QUAD icon
6340
Quad
QUAD
$551M
– –
-34,484
Closed -$915K
R icon
6341
Ryder
R
$9.53B
– –
-346
Closed -$22.7K
RAMP icon
6342
LiveRamp
RAMP
$2.3B
– –
-4,068
Closed -$101K
RBA icon
6343
RB Global
RBA
$15.5B
– –
-3,511
Closed -$115K
RBBN icon
6344
Ribbon Communications
RBBN
$356M
– –
-1,615
Closed -$14.1K
RBC icon
6345
RBC Bearings
RBC
$15.5B
– –
-85
Closed -$6K
RBC icon
6346
PUT
RBC Bearings
RBC
$15.5B
– –
-4
Closed -$1K
RDI icon
6347
CALL
Reading International Class A
RDI
$53.6M
– –
-124
Closed -$1K
RDN icon
6348
Radian Group
RDN
$4.85B
– –
-5,113
Closed -$65.9K
RDY icon
6349
PUT
Dr. Reddy's Laboratories
RDY
$9.97B
– –
-125
Closed -$6K
REI icon
6350
Ring Energy
REI
$391M
– –
-226
Closed -$2.12K
252 253
254
255 256

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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 $51.7M in Q3 2016, closing 1,479 positions and reducing 1,938 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 Miscellaneous at 53% of assets, down from 58% a quarter earlier, followed by Healthcare and Communication Services.

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.