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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
STLD icon
6426
Steel Dynamics
STLD
$34.7B
– –
-16,829
Closed -$430K
STM icon
6427
STMicroelectronics
STM
$46.6B
– –
-2,878
Closed -$20.7K
STM icon
6428
PUT
STMicroelectronics
STM
$46.6B
– –
-9
Closed -$1K
STNG icon
6429
Scorpio Tankers
STNG
$4.12B
– –
-761
Closed -$36.6K
STRA icon
6430
PUT
Strategic Education
STRA
$1.81B
– –
-29
Closed -$1K
STX icon
6431
Seagate
STX
$192B
– –
-63,656
Closed -$2.07M
SU icon
6432
Suncor Energy
SU
$78.8B
– –
-29,791
Closed -$814K
SUPN icon
6433
Supernus Pharmaceuticals
SUPN
$2.53B
– –
-1,472
Closed -$33.3K
SWK icon
6434
Stanley Black & Decker
SWK
$14.7B
– –
-5,663
Closed -$684K
SWBI icon
6435
Smith & Wesson
SWBI
$578M
– –
-683
Closed -$14.9K
SXC icon
6436
CALL
SunCoke Energy
SXC
$877M
– –
-57
Closed -$1K
SXC icon
6437
SunCoke Energy
SXC
$877M
$0 ﹤0.01%
5
-897
-99% -$6.29K
SXC icon
6438
PUT
SunCoke Energy
SXC
$877M
– –
-50
Closed -$2K
TCPC icon
6439
CALL
BlackRock TCP Capital
TCPC
$341M
– –
-163
Closed -$11K
TD icon
6440
Toronto Dominion Bank
TD
$199B
– –
-15,365
Closed -$673K
TDG icon
6441
PUT
TransDigm Group
TDG
$64.2B
– –
-68
Closed -$14K
TECS icon
6442
Direxion Daily Technology Bear 3x ETF
TECS
$73.9M
– –
0
– -$50K
TEF
6443
CALL
DELISTED
Telefonica
TEF
– –
-228
Closed -$28K
TEL icon
6444
PUT
TE Connectivity
TEL
$60.4B
– –
-3
Closed -$2K
TER icon
6445
CALL
Teradyne
TER
$55.8B
– –
-129
Closed -$5K
TILE icon
6446
Interface
TILE
$2.15B
– –
-645
Closed -$9K
TIMB icon
6447
TIM SA
TIMB
$8.76B
– –
-3,086
Closed -$32K
TIMB icon
6448
PUT
TIM SA
TIMB
$8.76B
– –
-70
Closed -$2K
TITN icon
6449
CALL
Titan Machinery
TITN
$617M
– –
-99
Closed -$4K
TLK icon
6450
CALL
Telkom Indonesia
TLK
$14.6B
– –
-6
Closed -$3K
256 257
258
259 260

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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.