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 | |
|---|---|---|---|---|---|---|
2001
CALL
Allstate
ALL
$66.9B
| $58K | ﹤0.01% |
439
+43
| +11% | +$3.03K |
|
2002
Barclays
BCS
$94.1B
| $58K | ﹤0.01% |
5,604
-32,486
| -85% | -$306K |
|
2003
PUT
WisdomTree US Total Dividend Fund
DTD
$1.65B
| $58K | ﹤0.01% |
4,614
-396
| -8% | -$15.6K |
|
2004
Icon
ICLR
$12.8B
| $58K | ﹤0.01% |
+783
| New | +$60.8K |
|
2005
Kulicke & Soffa
KLIC
$5.3B
| $58K | ﹤0.01% |
3,637
-2,721
| -43% | -$39.7K |
|
2006
ProShares UltraShort Bloomberg Natural Gas
KOLD
$110M
| $58K | ﹤0.01% |
255
+117
| +85% | +$37.3K |
|
2007
PUT
MPLX
MPLX
$59.5B
| $58K | ﹤0.01% |
112
-36
| -24% | -$1.17K |
|
2008
CALL
Ovintiv
OVV
$17.5B
| $58K | ﹤0.01% |
68
+50
| +278% | +$2.85K |
|
2009
Shake Shack
SHAK
$2.3B
| $58K | ﹤0.01% |
+1,641
| New | +$57.6K |
|
2010
CALL
Ubiquiti
UI
$31.8B
| $58K | ﹤0.01% |
147
-173
| -54% | -$9.44K |
|
|
TUP
2011
PUT
DELISTED
Tupperware Brands Corporation
TUP
| $58K | ﹤0.01% |
477
+73
| +18% | +$4.28K |
|
|
NYMX
2012
PUT
DELISTED
Nymox Pharmaceutical Corp
NYMX
| $58K | ﹤0.01% |
914
+825
| +927% | +$2.56K |
|
|
VR
2013
DELISTED
Validus Hold Ltd
VR
| $58K | ﹤0.01% |
+1,071
| New | +$56.6K |
|
|
PSG
2014
DELISTED
Performance Sports Group Ltd.
PSG
| $58K | ﹤0.01% |
39,435
-16,991
| -30% | -$66.4K |
|
|
FLY
2015
DELISTED
Fly Leasing Limited
FLY
| $58K | ﹤0.01% |
+4,402
| New | +$57.1K |
|
|
AFAM
2016
CALL
DELISTED
Almost Family Inc
AFAM
| $58K | ﹤0.01% |
407
+27
| +7% | +$1.1K |
|
|
AM
2017
DELISTED
ANTERO MIDSTREAM PARTNERS LP
AM
| $58K | ﹤0.01% |
1,899
-1,328
| -41% | -$38.1K |
|
2018
PUT
Axos Financial
AX
$5.45B
| $57K | ﹤0.01% |
363
+149
| +70% | +$3.55K |
|
|
AXON
2019
CALL
Axon Enterprise
AXON
$40.5B
| $57K | ﹤0.01% |
1,064
+519
| +95% | +$12.8K |
|
|
SLAI
2020
CALL
DELISTED
SOLAI Ltd ADS
SLAI
| $57K | ﹤0.01% |
+2
| New | +$2.16K |
|
2021
PUT
Energizer
ENR
$1.44B
| $57K | ﹤0.01% |
108
-22
| -17% | -$1K |
|
2022
PUT
Intercontinental Exchange
ICE
$82.4B
| $57K | ﹤0.01% |
569
-496
| -47% | -$27.5K |
|
2023
CALL
Jabil
JBL
$32.8B
| $57K | ﹤0.01% |
424
+157
| +59% | +$3.42K |
|
2024
Nordson
NDSN
$16.5B
| $57K | ﹤0.01% |
+513
| New | +$53.7K |
|
2025
Ziff Davis
ZD
$1.9B
| $57K | ﹤0.01% |
+812
| New | +$51.6K |
|
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.