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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
+1.87%
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
$1.67B
AUM Growth
+$199M
Cap. Flow
+$187M
Cap. Flow %
11.18%
Top 10 Hldgs %
20.01%
Holding
7,301
New
1,543
Increased
2,137
Reduced
2,022
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 Miscellaneous 51.27%
2 Communication Services 9.05%
3 Technology 7.51%
4 Healthcare 7.24%
5 Consumer Discretionary 6.66%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RGA icon
6401
CALL
Reinsurance Group of America
RGA
$16.5B
– –
-56
Closed -$25K
RGLS
6402
DELISTED
Regulus Therapeutics
RGLS
– –
-7
Closed -$2K
RGR icon
6403
Sturm, Ruger & Co
RGR
$615M
– –
-885
Closed -$48.9K
RH icon
6404
RH
RH
$2.8B
– –
-10,345
Closed -$334K
RHI icon
6405
PUT
Robert Half
RHI
$4.36B
– –
-24
Closed -$5K
RIG icon
6406
Transocean
RIG
$6.53B
– –
-24,660
Closed -$292K
RIGL icon
6407
CALL
Rigel Pharmaceuticals
RIGL
$909M
– –
-28
Closed -$5K
RIGL icon
6408
Rigel Pharmaceuticals
RIGL
$909M
– –
-497
Closed -$14.2K
RITM icon
6409
CALL
Rithm Capital
RITM
$5.63B
– –
-632
Closed -$8K
RLI icon
6410
CALL
RLI Corp
RLI
$5.73B
– –
-74
Closed -$5K
RLJ icon
6411
RLJ Lodging Trust
RLJ
$1.67B
– –
-1,267
Closed -$26K
RLJ icon
6412
PUT
RLJ Lodging Trust
RLJ
$1.67B
– –
-20
Closed -$8K
RMD icon
6413
ResMed
RMD
$32.9B
– –
-2,510
Closed -$154K
ROG icon
6414
PUT
Rogers Corp
ROG
$2.28B
– –
-33
Closed -$1K
ROM icon
6415
ProShares Ultra Technology
ROM
$1.27B
– –
-17,184
Closed -$102K
RRC icon
6416
Range Resources
RRC
$9.81B
– –
-3,357
Closed -$120K
RRGB icon
6417
Red Robin
RRGB
$160M
– –
-3,584
Closed -$180K
RRR icon
6418
Red Rock Resorts
RRR
$3.38B
$0 ﹤0.01%
+9
New +$205
RWR icon
6419
State Street SPDR Dow Jones REIT ETF
RWR
$1.84B
$0 ﹤0.01%
+6
New +$549
RYAAY icon
6420
Ryanair
RYAAY
$28.7B
– –
-420
Closed -$13.2K
SA
6421
Seabridge Gold
SA
$3.43B
– –
-19,023
Closed -$187K
SABR icon
6422
Sabre
SABR
$860M
– –
-24,210
Closed -$621K
SAFE
6423
PUT
Safehold
SAFE
$1.07B
– –
-39
Closed -$42K
SAH icon
6424
CALL
Sonic Automotive
SAH
$2.56B
– –
-23
Closed -$1K
SAIC icon
6425
CALL
Saic
SAIC
$5.31B
– –
-49
Closed -$22K
255 256
257
258 259

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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 $187M 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 Miscellaneous at 51% of assets, down from 53% a quarter earlier, followed by Communication Services and Technology.

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.