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 | Miscellaneous | 51.27% |
| 2 | Communication Services | 9.05% |
| 3 | Technology | 7.51% |
| 4 | Healthcare | 7.24% |
| 5 | Consumer Discretionary | 6.66% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | Held Since | |
|---|---|---|---|---|---|---|---|
|
1
State Street SPDR S&P 500 ETF Trust
SPY
$815B
| $50.9M | 3.04% |
+227,870
| New | +$49.8M |
2016 Q4
0 quarters
|
|
2
Meta Platforms (Facebook)
META
$1.65T
| $49.2M | 2.94% |
427,662
+140,244
| +49% | +$17.2M |
2014 Q4
8 quarters
|
|
|
3
Apple
AAPL
$5.08T
| $44.6M | 2.66% |
1,539,156
+865,508
| +128% | +$24.5M |
2016 Q2
2 quarters
|
|
|
4
CALL
Amazon
AMZN
$2.7T
| $41.3M | 2.47% |
122,840
+20,720
| +20% | +$812K |
2015 Q1
7 quarters
|
|
|
5
Alphabet (Google) Class C
GOOG
$3.92T
| $28.5M | 1.7% |
739,300
+474,500
| +179% | +$18.5M |
2016 Q3
1 quarter
|
|
|
6
CALL
Meta Platforms (Facebook)
META
$1.65T
| $27.5M | 1.64% |
18,213
+1,085
| +6% | +$133K |
2014 Q4
8 quarters
|
|
|
7
Amazon
AMZN
$2.7T
| $26.7M | 1.6% |
712,860
+579,260
| +434% | +$22.7M |
2016 Q3
1 quarter
|
|
|
8
Citigroup
C
$206B
| $25.9M | 1.55% |
+436,206
| New | +$23.5M |
2016 Q4
0 quarters
|
|
9
Gilead Sciences
GILD
$195B
| $22.1M | 1.32% |
308,364
+52,059
| +20% | +$3.87M |
2015 Q3
5 quarters
|
|
|
10
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$815B
| $18.1M | 1.08% |
32,125
-13,504
| -30% | -$2.95M |
2015 Q1
7 quarters
|
|
11
Alphabet (Google) Class A
GOOGL
$3.97T
| $17.6M | 1.05% |
444,560
-55,880
| -11% | -$2.23M |
2015 Q4
4 quarters
|
|
12
Netflix
NFLX
$279B
| $17.2M | 1.03% |
1,386,430
+1,333,690
| +2,529% | +$15.8M |
2016 Q3
1 quarter
|
|
|
13
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$815B
| $17.1M | 1.02% |
22,545
+3,561
| +19% | +$778K |
2015 Q1
7 quarters
|
|
14
PUT
iShares S&P 100 ETF
OEF
$20.3B
| $15.9M | 0.95% |
69,718
+4,053
| +6% | +$393K |
2014 Q4
8 quarters
|
|
15
Invesco QQQ Trust
QQQ
$475B
| $13.3M | 0.8% |
+112,451
| New | +$13.3M |
2016 Q4
0 quarters
|
|
|
16
PUT
Amazon
AMZN
$2.7T
| $12.3M | 0.73% |
125,760
+17,300
| +16% | +$678K |
2015 Q1
7 quarters
|
|
|
17
CALL
iShares S&P 100 ETF
OEF
$20.3B
| $11.8M | 0.71% |
47,847
+11,511
| +32% | +$1.12M |
2014 Q4
8 quarters
|
|
18
General Motors
GM
$67.7B
| $10.1M | 0.6% |
289,733
+229,275
| +379% | +$7.71M |
2016 Q3
1 quarter
|
|
19
Booking.com
BKNG
$121B
| $10M | 0.6% |
171,175
-93,050
| -35% | -$5.56M |
2016 Q3
1 quarter
|
|
|
20
CALL
Goldman Sachs
GS
$260B
| $9.8M | 0.59% |
4,369
+1,946
| +80% | +$395K |
2014 Q4
8 quarters
|
|
21
Eli Lilly
LLY
$1.16T
| $9.7M | 0.58% |
131,715
+88,040
| +202% | +$6.56M |
2016 Q3
1 quarter
|
|
22
Mastercard
MA
$555B
| $9.6M | 0.57% |
92,725
+48,905
| +112% | +$5.06M |
2016 Q1
3 quarters
|
|
23
Palo Alto Networks
PANW
$290B
| $9.41M | 0.56% |
+451,464
| New | +$10.8M |
2016 Q4
0 quarters
|
|
24
CALL
Berkshire Hathaway Class B
BRK.B
$1.17T
| $9.12M | 0.55% |
2,887
+1,149
| +66% | +$177K |
2015 Q1
7 quarters
|
|
25
JPMorgan Chase
JPM
$894B
| $8.92M | 0.53% |
+103,409
| New | +$7.89M |
2016 Q4
0 quarters
|
|
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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 $187M of net new capital in Q4 2016, opening 1,543 new positions and adding to 2,136 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 Miscellaneous at 51% of assets, down from 53% a quarter earlier, followed by Communication Services and Technology.
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.