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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
+8.02%
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
$1.48B
AUM Growth
-$21.1M
Cap. Flow
-$87.1M
Cap. Flow %
-5.91%
Top 10 Hldgs %
17.83%
Holding
7,235
New
1,460
Increased
2,220
Reduced
1,939
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 Communication Services 8.39%
2 Healthcare 8.28%
3 Consumer Discretionary 6.84%
4 Technology 6.06%
5 Financials 4.39%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
UA icon
6476
Under Armour Class C
UA
$2.81B
– –
-9,225
Closed -$333K
UAN icon
6477
CALL
CVR Partners
UAN
$1.31B
– –
-74
Closed -$11K
UDR icon
6478
UDR
UDR
$12.8B
– –
-726
Closed -$26.5K
UEIC icon
6479
Universal Electronics
UEIC
$57.5M
– –
-739
Closed -$55.6K
UGA icon
6480
PUT
United States Gasoline Fund
UGA
$144M
– –
-88
Closed -$4K
UHS icon
6481
Universal Health Services
UHS
$9.16B
– –
-251
Closed -$31.8K
UIS icon
6482
CALL
Unisys
UIS
$238M
– –
-102
Closed -$1K
UI icon
6483
Ubiquiti
UI
$32B
– –
-1,730
Closed -$83K
ULE icon
6484
ProShares Ultra Euro
ULE
$4.29M
– –
-18,588
Closed -$294K
UMH
6485
CALL
UMH Properties
UMH
$1.31B
– –
-87
Closed -$11K
UNP icon
6486
Union Pacific
UNP
$181B
– –
-28,914
Closed -$2.7M
UPBD icon
6487
Upbound Group
UPBD
$1.23B
– –
-1,129
Closed -$14.1K
URA icon
6488
Global X Uranium ETF
URA
$5.69B
– –
-374
Closed -$5K
URE icon
6489
ProShares Ultra Real Estate
URE
$57.7M
– –
-26,674
Closed -$1.71M
URBN icon
6490
Urban Outfitters
URBN
$5.96B
– –
-7,407
Closed -$243K
USAC icon
6491
USA Compression Partners
USAC
$3.9B
– –
-9,138
Closed -$146K
USB icon
6492
US Bancorp
USB
$98.7B
– –
-33,205
Closed -$1.34M
USFD icon
6493
CALL
US Foods
USFD
$21B
– –
-5
Closed -$1K
AD
6494
Array Digital Infrastructure
AD
$2.95B
– –
-200
Closed -$7K
USMV icon
6495
iShares MSCI USA Min Vol Factor ETF
USMV
$23B
– –
-16,417
Closed -$758K
USO icon
6496
United States Oil Fund
USO
$2.5B
– –
-14,544
Closed -$1.22M
USPH icon
6497
US Physical Therapy
USPH
$1.11B
– –
-7
Closed -$432
VANI icon
6498
CALL
Vivani Medical
VANI
$120M
– –
-6
Closed -$3K
VBK icon
6499
Vanguard Small-Cap Growth ETF
VBK
$23.4B
– –
-260
Closed -$32K
VCEL icon
6500
Vericel Corp
VCEL
$2.3B
– –
-840
Closed -$1K
258 259
260
261 262

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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 $87.1M in Q3 2016, closing 1,479 positions and reducing 1,939 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 Communication Services at 8.4% of assets, up from 6.6% a quarter earlier, followed by Healthcare and Consumer Discretionary.

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.