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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
SKM icon
6451
CALL
SK Telecom
SKM
$13.5B
– –
-188
Closed -$25K
SLAB icon
6452
PUT
Silicon Laboratories
SLAB
$7.15B
– –
-29
Closed -$1K
SLF icon
6453
Sun Life Financial
SLF
$45.1B
– –
-424
Closed -$15.4K
SLF icon
6454
PUT
Sun Life Financial
SLF
$45.1B
– –
-10
Closed -$2K
SLG icon
6455
CALL
SL Green Realty
SLG
$3.81B
– –
-25
Closed -$2K
SLG icon
6456
SL Green Realty
SLG
$3.81B
– –
-4,342
Closed -$440K
SLG icon
6457
PUT
SL Green Realty
SLG
$3.81B
– –
-127
Closed -$30K
SLGN icon
6458
Silgan Holdings
SLGN
$4.8B
– –
-358
Closed -$9K
SLQD icon
6459
CALL
iShares 0-5 Year Investment Grade Corporate Bond ETF
SLQD
$2.36B
– –
-70
Closed -$7K
SLQD icon
6460
PUT
iShares 0-5 Year Investment Grade Corporate Bond ETF
SLQD
$2.36B
– –
-996
Closed -$36K
SMCI icon
6461
PUT
Super Micro Computer
SMCI
$20.2B
– –
-400
Closed -$17K
SNBR
6462
DELISTED
Sleep Number
SNBR
– –
-10,470
Closed -$226K
SNV
6463
PUT
DELISTED
Synovus
SNV
– –
-24
Closed -$1K
SNX icon
6464
CALL
TD Synnex
SNX
$19.8B
– –
-12
Closed -$4K
SON icon
6465
CALL
Sonoco
SON
$5.57B
– –
-10
Closed -$2K
SOXX icon
6466
iShares Semiconductor ETF
SOXX
$46.2B
– –
-31,197
Closed -$1.17M
SPB icon
6467
CALL
Spectrum Brands
SPB
$2.01B
– –
-44
Closed -$134K
SPNT icon
6468
CALL
SiriusPoint
SPNT
$2.91B
– –
-100
Closed -$2K
SPOK icon
6469
Spok Holdings
SPOK
$220M
– –
-67
Closed -$1K
SPR
6470
PUT
DELISTED
Spirit AeroSystems
SPR
– –
-38
Closed -$1K
SPSC icon
6471
SPS Commerce
SPSC
$2.17B
– –
-5,440
Closed -$186K
SPSC icon
6472
PUT
SPS Commerce
SPSC
$2.17B
– –
-64
Closed -$19K
SPWH icon
6473
Sportsman's Warehouse
SPWH
$44.9M
$0 ﹤0.01%
73
-3,091
-98% -$29.3K
SPXC icon
6474
CALL
SPX Corp
SPXC
$11B
– –
-33
Closed -$4K
SRE icon
6475
PUT
Sempra
SRE
$61.1B
– –
-68
Closed -$2K
257 258
259
260 261

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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.