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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
WAB icon
6526
PUT
Wabtec
WAB
$47.8B
– –
-84
Closed -$6K
WATT icon
6527
Energous
WATT
$59.3M
– –
-67
Closed -$598K
WBA
6528
DELISTED
Walgreens Boots Alliance
WBA
– –
-3,545
Closed -$289K
WCC
6529
WESCO International
WCC
$17.1B
– –
-2,720
Closed -$156K
WD icon
6530
Walker & Dunlop
WD
$1.46B
– –
-1,140
Closed -$25K
WD icon
6531
PUT
Walker & Dunlop
WD
$1.46B
– –
-64
Closed -$2K
WCN
6532
CALL
Waste Connections
WCN
$41.5B
– –
-252
Closed -$22K
WDFC icon
6533
CALL
WD-40
WDFC
$2.79B
– –
-9
Closed -$2K
WEN icon
6534
PUT
Wendy's
WEN
$1.53B
– –
-26
Closed -$1K
WES icon
6535
CALL
Western Midstream Partners
WES
$20.5B
– –
-4
Closed -$1K
WGO icon
6536
CALL
Winnebago Industries
WGO
$877M
– –
-49
Closed -$1K
WGO icon
6537
Winnebago Industries
WGO
$877M
– –
-930
Closed -$21.7K
WKC icon
6538
CALL
World Kinect Corp
WKC
$1.81B
– –
-43
Closed -$2K
WLK icon
6539
Westlake Corp
WLK
$9.56B
– –
-5,262
Closed -$254K
WLKP icon
6540
CALL
Westlake Chemical Partners
WLKP
$771M
– –
-13
Closed -$1K
WLKP icon
6541
PUT
Westlake Chemical Partners
WLKP
$771M
– –
-13
Closed -$3K
WPRT
6542
CALL
Westport Fuel Systems
WPRT
$36.3M
– –
-9
Closed -$9K
WSM icon
6543
Williams-Sonoma
WSM
$26.8B
– –
-14,850
Closed -$388K
WSO icon
6544
PUT
Watsco Inc
WSO
$13B
– –
-18
Closed -$2K
WST icon
6545
West Pharmaceutical
WST
$23.9B
– –
-228
Closed -$17K
WTFC icon
6546
Wintrust Financial
WTFC
$10.4B
$0 ﹤0.01%
+14
New +$753
WTRG icon
6547
CALL
Essential Utilities
WTRG
$11.8B
– –
-17
Closed -$2K
WU icon
6548
Western Union
WU
$2.24B
– –
-3,693
Closed -$75.9K
WY icon
6549
Weyerhaeuser
WY
$16.6B
– –
-1,713
Closed -$54.2K
XBI icon
6550
State Street SPDR S&P Biotech ETF
XBI
$11.4B
– –
-1,054
Closed -$57K
260 261
262
263 264

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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.