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Simplex Trading

Simplex Trading Portfolio holdings

AUM $149B
1-Year Est. Return 62.07%
 

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.

This Fund
S&P 500
This Quarter Est. Return
-0.41%
1 Year Est. Return
+62.07%
3 Year Est. Return
+116.86%
5 Year Est. Return
+116.02%
10 Year Est. Return
+774.44%
AUM
$1.25B
AUM Growth
-$22.5M
Cap. Flow
-$16M
Cap. Flow %
-1.28%
Top 10 Hldgs %
17.26%
Holding
7,084
New
1,678
Increased
2,214
Reduced
1,528
Closed
1,505

Top Buys

Rank Stock Value
1
AVGO icon
Broadcom
AVGO
+$33.7M
2
GLD icon
SPDR Gold Trust
GLD
+$17.8M
3
EEM icon
iShares MSCI Emerging Markets ETF
EEM
+$14.3M
4
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$11.9M
5
C icon
Citigroup
C
+$8.7M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$34.2M
2
GMCR
KEURIG GREEN MTN INC
GMCR
+$17.9M
3
CMG icon
Chipotle Mexican Grill
CMG
+$14.7M
4
DIS icon
Walt Disney
DIS
+$13.3M
5
BKNG icon
Booking.com
BKNG
+$12.1M

Sector Composition

Rank Sector Weight
1 Technology 7.64%
2 Communication Services 6.85%
3 Consumer Discretionary 4.92%
4 Healthcare 4.57%
5 Financials 4.22%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GWRE icon
4076
CALL
Guidewire Software
GWRE
$13.9B
$5K ﹤0.01%
15
+3
+25% +$157
H icon
4077
PUT
Hyatt Hotels
H
$17.5B
$5K ﹤0.01%
12
+3
+33% +$130
HHH icon
4078
PUT
Howard Hughes
HHH
$3.94B
$5K ﹤0.01%
1
-21
-95% -$1.93K
IMAX icon
4079
PUT
IMAX
IMAX
$2.67B
$5K ﹤0.01%
30
-1
-3% -$31
IMKTA icon
4080
PUT
Ingles Markets
IMKTA
$1.72B
$5K ﹤0.01%
4
+1
+33% +$36
IMOS
4081
CALL
ChipMOS TECHNOLOGIES
IMOS
$1.59B
$5K ﹤0.01%
125
+64
+105% +$1.23K
INO icon
4082
Inovio Pharmaceuticals
INO
$85.6M
$5K ﹤0.01%
+48
New +$3.71K
INVA icon
4083
CALL
Innoviva
INVA
$1.6B
$5K ﹤0.01%
+45
New +$494
IPG
4084
CALL
DELISTED
Interpublic Group of Companies
IPG
$5K ﹤0.01%
27
-5
-16% -$108
IPGP icon
4085
PUT
IPG Photonics
IPGP
$3.4B
$5K ﹤0.01%
51
+4
+9% +$339
IPI icon
4086
PUT
Intrepid Potash
IPI
$476M
$5K ﹤0.01%
1
– –
IRWD icon
4087
CALL
Ironwood Pharmaceuticals
IRWD
$586M
$5K ﹤0.01%
+110
New +$907
LXRX icon
4088
PUT
Lexicon Pharmaceuticals
LXRX
$1.03B
$5K ﹤0.01%
+10
New +$105
LXU icon
4089
PUT
LSB Industries
LXU
$824M
$5K ﹤0.01%
150
+119
+384% +$690
MAIN icon
4090
PUT
Main Street Capital
MAIN
$5.05B
$5K ﹤0.01%
+101
New +$2.93K
MMLP icon
4091
CALL
Martin Midstream Partners
MMLP
$93.5M
$5K ﹤0.01%
+66
New +$1.14K
MRC
4092
PUT
DELISTED
MRC Global
MRC
$5K ﹤0.01%
+162
New +$1.86K
MSB
4093
CALL
Mesabi Trust
MSB
$296M
$5K ﹤0.01%
+22
New +$108
NVRI icon
4094
Enviri
NVRI
$624M
$5K ﹤0.01%
+933
New +$5.39K
NWSA icon
4095
News Corp Class A
NWSA
$15.6B
$5K ﹤0.01%
460
+135
+42% +$1.6K
OCUL icon
4096
CALL
Ocular Therapeutix
OCUL
$1.83B
$5K ﹤0.01%
+65
New +$492
OHI icon
4097
PUT
Omega Healthcare
OHI
$15.3B
$5K ﹤0.01%
65
-100
-61% -$3.27K
OLED icon
4098
PUT
Universal Display
OLED
$3.75B
$5K ﹤0.01%
55
-103
-65% -$5.03K
ACH
4099
PUT
Accendra Health
ACH
$254M
$5K ﹤0.01%
31
+21
+210% +$782
ORMP icon
4100
Oramed Pharmaceuticals
ORMP
$162M
$5K ﹤0.01%
752
-2,425
-76% -$16.2K
162 163
164
165 166

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Simplex Trading's Q1 2016 Portfolio in Review

As of Q1 2016, Simplex Trading held 7,084 positions worth $1.25B, down 1.8% from $1.28B the previous quarter. Its ten largest holdings account for 17% of the portfolio.

Simplex Trading's Q1 2016 filing shows 1,678 new, 2,214 increased, 1,528 reduced and 1,505 closed positions. Its largest new stake was Broadcom: 2,493,400 shares worth $38.5M. The largest sale was Apple, an estimated $34.2M.

By sector, the portfolio is most concentrated in Technology at 7.6% of assets, up from 7% a quarter earlier, followed by Communication Services and Consumer Discretionary.

  • Simplex Trading's largest Q1 2016 buy was Broadcom: 2,493,400 shares worth $38.5M.
  • Simplex Trading added most to Citigroup in Q1 2016, an estimated $8.7M increase.
  • Simplex Trading's biggest Q1 2016 reduction was Booking.com, cutting an estimated $12.1M.
  • Simplex Trading fully exited Apple in Q1 2016, selling an estimated $34.2M.
  • Simplex Trading's ten largest holdings make up 17% of its $1.25B portfolio in Q1 2016.
  • Simplex Trading opened 1,678 new positions and closed 1,505 in Q1 2016.
  • Simplex Trading's portfolio value fell 1.8% quarter-over-quarter to $1.25B.

Based on Simplex Trading's 13F filing for Q1 2016, filed 14 Apr 2016.