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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
ATVI
676
DELISTED
Activision Blizzard
ATVI
$361K 0.02%
+8,151
New +$341K
BLUE
677
CALL
DELISTED
bluebird bio
BLUE
$360K 0.02%
32
+21
+191% +$15.2K
RH icon
678
RH
RH
$3.31B
$357K 0.02%
+10,345
New +$329K
KITE
679
DELISTED
Kite Pharma, Inc.
KITE
$357K 0.02%
+6,394
New +$356K
VEON icon
680
VEON
VEON
$3.68B
$356K 0.02%
4,099
+3,305
+416% +$332K
ISEE
681
PUT
DELISTED
IVERIC bio, Inc. Common Stock
ISEE
$356K 0.02%
380
+40
+12% +$2.26K
COR
682
DELISTED
Coresite Realty Corporation
COR
$355K 0.02%
+4,803
New +$390K
N
683
CALL
DELISTED
Netsuite Inc
N
$355K 0.02%
803
+606
+308% +$61.1K
ET icon
684
PUT
Energy Transfer Partners
ET
$70.1B
$354K 0.02%
2,271
-2,171
-49% -$36.7K
LITE icon
685
Lumentum
LITE
$64.6B
$354K 0.02%
8,476
-11,264
-57% -$371K
FTD
686
DELISTED
FTD Companies, Inc. Common Stock
FTD
$354K 0.02%
+17,213
New +$413K
GNW icon
687
CALL
Genworth Financial
GNW
$3.83B
$353K 0.02%
2,496
+2,099
+529% +$8.06K
RIG icon
688
PUT
Transocean
RIG
$5.87B
$353K 0.02%
2,954
-2,131
-42% -$22.5K
LGF
689
DELISTED
Lions Gate Entertainment
LGF
$351K 0.02%
17,579
+9,112
+108% +$187K
HTZ
690
DELISTED
Hertz Global Holdings, Inc.
HTZ
$350K 0.02%
+10,040
New +$420K
VMW
691
CALL
DELISTED
VMware, Inc
VMW
$349K 0.02%
2,322
+1,154
+99% +$81.2K
DE icon
692
CALL
Deere & Co
DE
$164B
$348K 0.02%
942
-371
-28% -$30.4K
UPS icon
693
PUT
United Parcel Service
UPS
$98.5B
$348K 0.02%
2,478
+1,004
+68% +$110K
UAL icon
694
CALL
United Airlines
UAL
$38.1B
$347K 0.02%
1,509
-364
-19% -$17.5K
DATA
695
PUT
DELISTED
Tableau Software, Inc.
DATA
$346K 0.02%
256
+64
+33% +$3.52K
HCR
696
CALL
DELISTED
Hi-Crush Inc. Common Stock
HCR
$345K 0.02%
612
+348
+132% +$4.71K
LABD icon
697
Direxion Daily S&P Biotech Bear 3X ETF
LABD
$63.3M
$343K 0.02%
10
+6
+150% +$281K
ET icon
698
CALL
Energy Transfer Partners
ET
$70.1B
$342K 0.02%
2,831
-1,573
-36% -$26.6K
VNET
699
PUT
VNET Group
VNET
$2.23B
$342K 0.02%
1,444
+1,099
+319% +$10.1K
BLCM
700
DELISTED
Bellicum Pharmaceuticals, Inc.
BLCM
$342K 0.02%
1,721
+1,434
+500% +$247K
26 27
28
29 30

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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.