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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
P
801
CALL
DELISTED
Pandora Media Inc
P
$289K 0.02%
2,582
+1,718
+199% +$23.2K
FMSA
802
DELISTED
Fairmount Santrol Holdings Inc.
FMSA
$289K 0.02%
34,181
-1,508
-4% -$11.2K
BAH icon
803
Booz Allen Hamilton
BAH
$7.93B
$288K 0.02%
+9,140
New +$279K
RCL icon
804
CALL
Royal Caribbean
RCL
$76.7B
$285K 0.02%
674
+429
+175% +$30.2K
CNP icon
805
CenterPoint Energy
CNP
$28.6B
$284K 0.02%
+12,236
New +$286K
DDS icon
806
Dillards
DDS
$9.2B
$284K 0.02%
4,521
-1,972
-30% -$123K
FCRD
807
DELISTED
First Eagle Alternative Capital BDC, Inc. Common Stock
FCRD
$284K 0.02%
29,887
+29,056
+3,497% +$307K
NE
808
PUT
DELISTED
Noble Corporation
NE
$284K 0.02%
393
-1,027
-72% -$6.9K
ILCV icon
809
PUT
iShares Morningstar Value ETF
ILCV
$1.3B
$283K 0.02%
5,722
-3,716
-39% -$164K
SPWR
810
PUT
DELISTED
SunPower Corporation Common Stock
SPWR
$283K 0.02%
1,029
-51
-5% -$396
SNP
811
DELISTED
CHINA PETROLEUM & CHEMICAL CORPORATION ADS (REP 100 ORDINARY H SHARES)
SNP
$283K 0.02%
3,845
-20,933
-84% -$1.5M
INXN
812
DELISTED
Interxion Holding N.V.
INXN
$283K 0.02%
7,837
-1,379
-15% -$51.4K
TSS
813
DELISTED
Total System Services, Inc.
TSS
$282K 0.02%
+5,988
New +$301K
OMED
814
DELISTED
OncoMed Pharmaceuticals, Inc.
OMED
$282K 0.02%
24,677
+21,489
+674% +$250K
COST icon
815
CALL
Costco
COST
$411B
$281K 0.02%
1,383
+257
+23% +$41.5K
SNN icon
816
Smith & Nephew
SNN
$12.6B
$281K 0.02%
+8,578
New +$288K
RUTH
817
DELISTED
Ruth's Hospitality Group, Inc.
RUTH
$279K 0.02%
+19,828
New +$303K
AET
818
CALL
DELISTED
Aetna Inc
AET
$279K 0.02%
788
-454
-37% -$53.2K
URTY icon
819
ProShares UltraPro Russell2000
URTY
$333M
$278K 0.02%
5,950
-5,348
-47% -$235K
WHR icon
820
PUT
Whirlpool
WHR
$2.41B
$278K 0.02%
572
+60
+12% +$10.6K
AMPH icon
821
Amphastar Pharmaceuticals
AMPH
$851M
$277K 0.02%
+14,629
New +$266K
DUK icon
822
PUT
Duke Energy
DUK
$99.7B
$276K 0.02%
519
+428
+470% +$35.4K
COL
823
DELISTED
Rockwell Collins
COL
$274K 0.02%
3,250
+3,227
+14,030% +$272K
RAD
824
PUT
DELISTED
Rite Aid Corporation
RAD
$273K 0.02%
166
+35
+27% +$5.22K
MO icon
825
CALL
Altria Group
MO
$121B
$272K 0.02%
2,670
-79
-3% -$5.25K
31 32
33
34 35

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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.