Simplex Trading Portfolio holdings
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.
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
State Street SPDR S&P 500 ETF Trust
SPY
|
+$49.8M |
| 2 |
Apple
AAPL
|
+$24.5M |
| 3 |
Citigroup
C
|
+$23.5M |
| 4 |
Amazon
AMZN
|
+$22.7M |
| 5 |
Alphabet (Google) Class C
GOOG
|
+$18.5M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
LNKD
LinkedIn Corporation
LNKD
|
+$17.4M |
| 2 |
Wells Fargo
WFC
|
+$13.5M |
| 3 |
MDVN
MEDIVATION, INC.
MDVN
|
+$8.62M |
| 4 |
Goldman Sachs
GS
|
+$8.5M |
| 5 |
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
|
+$8.15M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Communication Services | 8.76% |
| 2 | Technology | 7.19% |
| 3 | Healthcare | 6.91% |
| 4 | Consumer Discretionary | 6.53% |
| 5 | Financials | 5.37% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
826
CALL
Johnson Controls International
JCI
$87.4B
| $287K | 0.02% |
862
-127
| -13% | -$5.56K |
|
827
CALL
Macy's
M
$6.14B
| $287K | 0.02% |
1,709
-467
| -21% | -$18.2K |
|
|
CEO
828
DELISTED
CNOOC Limited
CEO
| $287K | 0.02% |
+2,317
| New | +$300K |
|
829
Nektar Therapeutics
NKTR
$2.34B
| $286K | 0.02% |
1,554
+1,372
| +754% | +$279K |
|
|
EGAS
830
DELISTED
Gas Natural Inc.
EGAS
| $284K | 0.02% |
22,670
+22,170
| +4,434% | +$269K |
|
|
DISH
831
CALL
DELISTED
DISH Network Corp.
DISH
| $284K | 0.02% |
618
+346
| +127% | +$19.8K |
|
832
Ameren
AEE
$31.3B
| $283K | 0.02% |
5,401
+5,297
| +5,093% | +$263K |
|
|
SFS
833
DELISTED
Smart & Final Stores, Inc.
SFS
| $283K | 0.02% |
+20,101
| New | +$264K |
|
834
Akebia Therapeutics
AKBA
$327M
| $282K | 0.02% |
27,132
+4,560
| +20% | +$39.3K |
|
835
CALL
Lockheed Martin
LMT
$131B
| $282K | 0.02% |
573
-206
| -26% | -$51.5K |
|
836
CALL
Sarepta Therapeutics
SRPT
$1.68B
| $282K | 0.02% |
2,708
-375
| -12% | -$15.1K |
|
|
TFCF
837
CALL
DELISTED
Twenty-First Century Fox, Inc. Class B
TFCF
| $282K | 0.02% |
1,887
+1,402
| +289% | +$37.6K |
|
|
JUNO
838
PUT
DELISTED
Juno Therapeutics, Inc.
JUNO
| $282K | 0.02% |
440
-118
| -21% | -$2.89K |
|
839
PUT
Lands' End
LE
$358M
| $281K | 0.02% |
451
+111
| +33% | +$1.81K |
|
840
W.P. Carey
WPC
$16.7B
| $281K | 0.02% |
4,859
+1,448
| +42% | +$84.7K |
|
841
GoDaddy
GDDY
$11.6B
| $280K | 0.02% |
8,029
+6,535
| +437% | +$229K |
|
|
BHI
842
CALL
DELISTED
Baker Hughes
BHI
| $279K | 0.02% |
313
-247
| -44% | -$14.7K |
|
843
PUT
American Airlines Group
AAL
$8.96B
| $278K | 0.02% |
3,255
+1,005
| +45% | +$43.8K |
|
844
CALL
Regions Financial
RF
$26.2B
| $278K | 0.02% |
1,504
+841
| +127% | +$10.4K |
|
|
ITCI
845
DELISTED
Intra-Cellular Therapies Inc.
ITCI
| $278K | 0.02% |
18,475
-84,988
| -82% | -$1.2M |
|
846
CALL
Analog Devices
ADI
$185B
| $277K | 0.02% |
380
-767
| -67% | -$52.1K |
|
847
CALL
Conagra Brands
CAG
$6.88B
| $277K | 0.02% |
922
+369
| +67% | +$13.8K |
|
848
PUT
United Parcel Service
UPS
$97B
| $277K | 0.02% |
3,146
+668
| +27% | +$75.3K |
|
|
CHL
849
PUT
DELISTED
China Mobile Limited
CHL
| $277K | 0.02% |
946
+923
| +4,013% | +$51.9K |
|
850
Cintas
CTAS
$81.3B
| $276K | 0.02% |
9,580
+2,792
| +41% | +$78.4K |
|
Similar funds
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 $181M 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 Communication Services at 8.8% of assets, up from 8.4% a quarter earlier, followed by Technology and Healthcare.
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.