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 |
Goldman Sachs
GS
|
+$40.4M |
| 2 |
NVIDIA
NVDA
|
+$23.1M |
| 3 |
iShares 20+ Year Treasury Bond ETF
TLT
|
+$21.5M |
| 4 |
Wells Fargo
WFC
|
+$20.8M |
| 5 |
Micron Technology
MU
|
+$20M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
Citigroup
C
|
+$21.4M |
| 2 |
Apple
AAPL
|
+$15.7M |
| 3 |
Invesco QQQ Trust
QQQ
|
+$14.4M |
| 4 |
Eli Lilly
LLY
|
+$10.5M |
| 5 |
iShares Biotechnology ETF
IBB
|
+$8.06M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Technology | 9.73% |
| 2 | Communication Services | 9.25% |
| 3 | Consumer Discretionary | 8.76% |
| 4 | Healthcare | 8.53% |
| 5 | Financials | 7.38% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
101
DuPont de Nemours
DD
$18.3B
| $4.36M | 0.19% |
27,085
-5,943
| -18% | -$923K |
|
|
UCD
102
PUT
DELISTED
PROSHARES ULTRA BLOOMBERG COMMODITY
UCD
| $4.27M | 0.18% |
11,756
+1,341
| +13% | +$487K |
|
|
CIT
103
DELISTED
CIT Group Inc.
CIT
| $4.22M | 0.18% |
+98,311
| New | +$4.16M |
|
104
State Street SPDR S&P Regional Banking ETF
KRE
$4.87B
| $4.18M | 0.18% |
+76,549
| New | +$4.28M |
|
105
Teva Pharmaceuticals
TEVA
$36.5B
| $4.17M | 0.18% |
129,942
+55,381
| +74% | +$1.89M |
|
106
CALL
Microsoft
MSFT
$2.95T
| $4.09M | 0.18% |
8,191
+1,233
| +18% | +$79K |
|
107
Boeing
BA
$161B
| $4.08M | 0.18% |
+23,070
| New | +$3.93M |
|
|
ANDV
108
DELISTED
Andeavor
ANDV
| $3.99M | 0.17% |
+49,269
| New | +$4.13M |
|
109
Devon Energy
DVN
$50.9B
| $3.95M | 0.17% |
+94,590
| New | +$4.16M |
|
110
Signet Jewelers
SIG
$3.51B
| $3.93M | 0.17% |
56,784
+54,575
| +2,471% | +$4.08M |
|
|
TSRO
111
DELISTED
TESARO, Inc.
TSRO
| $3.85M | 0.17% |
+25,043
| New | +$4.08M |
|
|
GG
112
DELISTED
Goldcorp Inc
GG
| $3.72M | 0.16% |
254,947
+195,891
| +332% | +$3.06M |
|
113
Kimberly-Clark
KMB
$36B
| $3.66M | 0.16% |
+27,803
| New | +$3.51M |
|
114
Alcoa
AA
$11.7B
| $3.63M | 0.16% |
+105,613
| New | +$3.7M |
|
115
SLB Ltd
SLB
$69.7B
| $3.58M | 0.16% |
45,908
+44,807
| +4,070% | +$3.66M |
|
|
VXZ
116
PUT
DELISTED
iPath S&P 500 VIX Mid-Term Futures ETN due 1/30/2019
VXZ
| $3.56M | 0.15% |
10,518
-2,154
| -17% | -$64.1K |
|
117
Bausch Health
BHC
$1.75B
| $3.51M | 0.15% |
317,899
+68,464
| +27% | +$942K |
|
118
VanEck Gold Miners ETF
GDX
$22.7B
| $3.47M | 0.15% |
151,969
-172,555
| -53% | -$4.01M |
|
119
CALL
State Street Materials Select Sector SPDR ETF
XLB
$8.31B
| $3.46M | 0.15% |
44,976
+1,004
| +2% | +$26.1K |
|
120
CALL
Bank of America
BAC
$430B
| $3.42M | 0.15% |
12,049
-12,042
| -50% | -$286K |
|
121
JD.com
JD
$41.1B
| $3.37M | 0.15% |
+108,344
| New | +$3.19M |
|
122
Lumentum
LITE
$65.2B
| $3.37M | 0.15% |
63,098
+59,832
| +1,832% | +$2.64M |
|
123
Vale
VALE
$60B
| $3.36M | 0.15% |
+354,136
| New | +$3.52M |
|
124
PUT
Booking.com
BKNG
$139B
| $3.3M | 0.14% |
33,950
+7,525
| +28% | +$496K |
|
125
Intuit
INTU
$79.3B
| $3.28M | 0.14% |
+28,279
| New | +$3.39M |
|
Similar funds
Simplex Trading's Q1 2017 Portfolio in Review
As of Q1 2017, Simplex Trading held 7,485 positions worth $2.31B, up 38% from $1.67B the previous quarter. Its ten largest holdings account for 18% of the portfolio.
Simplex Trading deployed $551M of net new capital in Q1 2017, opening 1,662 new positions and adding to 2,374 existing holdings. Its largest new stake was iShares 20+ Year Treasury Bond ETF: 179,511 shares worth $21.7M.
By sector, the portfolio is most concentrated in Technology at 9.7% of assets, up from 7.2% a quarter earlier, followed by Communication Services and Consumer Discretionary.
On the sell side, the largest reduction was Citigroup, an estimated $21.4M trimmed.
- Simplex Trading's largest Q1 2017 buy was iShares 20+ Year Treasury Bond ETF: 179,511 shares worth $21.7M.
- Simplex Trading added most to Goldman Sachs in Q1 2017, an estimated $40.4M increase.
- Simplex Trading's biggest Q1 2017 reduction was Citigroup, cutting an estimated $21.4M.
- Simplex Trading fully exited Invesco QQQ Trust in Q1 2017, selling an estimated $14.4M.
- Simplex Trading's ten largest holdings make up 18% of its $2.31B portfolio in Q1 2017.
- Simplex Trading opened 1,662 new positions and closed 1,369 in Q1 2017.
- Simplex Trading's portfolio value rose 38% quarter-over-quarter to $2.31B.
Based on Simplex Trading's 13F filing for Q1 2017, filed 21 Apr 2017.