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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
VVX icon
6601
CALL
V2X
VVX
$2.33B
– –
-5
Closed -$1K
VXUS icon
6602
CALL
Vanguard Total International Stock ETF
VXUS
$167B
– –
-103
Closed -$8K
W icon
6603
CALL
Wayfair
W
$13.6B
– –
-131
Closed -$19K
WB icon
6604
Weibo
WB
$1.65B
– –
-2,867
Closed -$137K
WBS
6605
DELISTED
Webster Financial
WBS
– –
-1,458
Closed -$67K
WCC
6606
PUT
WESCO International
WCC
$17.1B
– –
-49
Closed -$1K
WCN
6607
Waste Connections
WCN
$41.5B
– –
-17,514
Closed -$885K
WEC icon
6608
PUT
WEC Energy
WEC
$34.5B
– –
-33
Closed -$2K
WERN icon
6609
Werner Enterprises
WERN
$2.4B
– –
-639
Closed -$16.5K
WERN icon
6610
PUT
Werner Enterprises
WERN
$2.4B
– –
-16
Closed -$1K
WES icon
6611
Western Midstream Partners
WES
$20.5B
– –
-369
Closed -$15.8K
WES icon
6612
PUT
Western Midstream Partners
WES
$20.5B
– –
-12
Closed -$1K
WEX icon
6613
WEX
WEX
$6.61B
– –
-3,926
Closed -$425K
WEX icon
6614
PUT
WEX
WEX
$6.61B
– –
-21
Closed -$3K
WFC icon
6615
Wells Fargo
WFC
$272B
– –
-269,446
Closed -$13.5M
WIX icon
6616
PUT
WIX.com
WIX
$3.19B
– –
-23
Closed -$1K
WIT icon
6617
Wipro
WIT
$17.9B
– –
-11,019
Closed -$19.8K
WIT icon
6618
PUT
Wipro
WIT
$17.9B
– –
-160
Closed -$7K
WK icon
6619
CALL
Workiva
WK
$4.17B
– –
-50
Closed -$16K
WK icon
6620
Workiva
WK
$4.17B
– –
-315
Closed -$4.83K
WKC icon
6621
PUT
World Kinect Corp
WKC
$1.81B
– –
-38
Closed -$5K
WNC icon
6622
Wabash National
WNC
$583M
– –
-3,449
Closed -$47K
WPC icon
6623
CALL
W.P. Carey
WPC
$16B
– –
-49
Closed -$2K
WPM icon
6624
Wheaton Precious Metals
WPM
$70.4B
– –
-18,062
Closed -$377K
WPRT
6625
Westport Fuel Systems
WPRT
$36.3M
– –
-1,041
Closed -$14.5K
263 264
265
266 267

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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.