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 | |
|---|---|---|---|---|---|---|
|
CTRL
2051
CALL
DELISTED
Control4 Corporation
CTRL
| $71K | ﹤0.01% |
217
-36
| -14% | -$482 |
|
|
EGN
2052
PUT
DELISTED
Energen
EGN
| $71K | ﹤0.01% |
201
+16
| +9% | +$865 |
|
|
ATW
2053
PUT
DELISTED
Atwood Oceanics
ATW
| $71K | ﹤0.01% |
211
+186
| +744% | +$2.08K |
|
|
RAI
2054
CALL
DELISTED
Reynolds American Inc
RAI
| $71K | ﹤0.01% |
203
-25
| -11% | -$1.5K |
|
|
REN
2055
CALL
DELISTED
Resolute Energy Corporaton
REN
| $71K | ﹤0.01% |
287
+103
| +56% | +$4.44K |
|
2056
CALL
Alcoa
AA
$11.7B
| $70K | ﹤0.01% |
664
+538
| +427% | +$18.8K |
|
2057
PUT
Air Products & Chemicals
APD
$66.3B
| $70K | ﹤0.01% |
272
+28
| +11% | +$3.95K |
|
2058
CALL
BJ's Restaurants
BJRI
$1.41B
| $70K | ﹤0.01% |
627
+90
| +17% | +$3.33K |
|
2059
CALL
3D Systems Corp
DDD
$420M
| $70K | ﹤0.01% |
904
-494
| -35% | -$7.75K |
|
2060
Factset
FDS
$9.05B
| $70K | ﹤0.01% |
429
-3,993
| -90% | -$698K |
|
2061
PUT
Karyopharm Therapeutics
KPTI
$168M
| $70K | ﹤0.01% |
34
+33
| +3,300% | +$5.3K |
|
|
MOMO
2062
PUT
Hello Group
MOMO
$869M
| $70K | ﹤0.01% |
590
+21
| +4% | +$560 |
|
2063
CALL
Petrobras
PBR
$121B
| $70K | ﹤0.01% |
919
-2,339
| -72% | -$24K |
|
2064
PUT
US Bancorp Series B Preferred Stock
USB.PRH
$746M
| $70K | ﹤0.01% |
345
+75
| +28% | +$1.74K |
|
2065
PUT
Applied Optoelectronics
AAOI
$8.04B
| $69K | ﹤0.01% |
576
+520
| +929% | +$20.5K |
|
2066
Autoliv
ALV
$8.6B
| $69K | ﹤0.01% |
947
-8,428
| -90% | -$652K |
|
2067
CALL
Columbia Sportswear
COLM
$3.19B
| $69K | ﹤0.01% |
184
+150
| +441% | +$8.42K |
|
2068
PUT
Fortinet
FTNT
$112B
| $69K | ﹤0.01% |
2,035
+600
| +42% | +$4.24K |
|
2069
CALL
Papa John's
PZZA
$999M
| $69K | ﹤0.01% |
257
+201
| +359% | +$16.3K |
|
2070
CALL
Synopsys
SNPS
$71.5B
| $69K | ﹤0.01% |
124
-385
| -76% | -$25.8K |
|
2071
CALL
Trinity Industries
TRN
$2.97B
| $69K | ﹤0.01% |
232
+133
| +134% | +$2.62K |
|
2072
PUT
YPF
YPF
$20.2B
| $69K | ﹤0.01% |
3,579
+1,353
| +61% | +$29.1K |
|
|
MACK
2073
PUT
DELISTED
Merrimack Pharmaceuticals, Inc.
MACK
| $69K | ﹤0.01% |
193
+157
| +436% | +$3.93K |
|
2074
CALL
Cigna
CI
$76.6B
| $68K | ﹤0.01% |
248
-215
| -46% | -$31.7K |
|
2075
CALL
Editas Medicine
EDIT
$399M
| $68K | ﹤0.01% |
429
+340
| +382% | +$7.05K |
|
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.