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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
CINF icon
4426
CALL
Cincinnati Financial
CINF
$28.3B
$3K ﹤0.01%
+26
New +$1.58K
CORT icon
4427
Corcept Therapeutics
CORT
$10.1B
$3K ﹤0.01%
+785
New +$3.06K
CRL icon
4428
PUT
Charles River Laboratories
CRL
$11.6B
$3K ﹤0.01%
+10
New +$740
CUK
4429
CALL
DELISTED
Carnival PLC
CUK
$3K ﹤0.01%
+5
New +$251
CVE icon
4430
PUT
Cenovus Energy
CVE
$51.6B
$3K ﹤0.01%
26
+9
+53% +$108
CWST icon
4431
Casella Waste Systems
CWST
$5.79B
$3K ﹤0.01%
+587
New +$3.54K
DAN icon
4432
CALL
Dana Inc
DAN
$2.95B
$3K ﹤0.01%
+91
New +$1.14K
DHX icon
4433
CALL
DHI Group
DHX
$178M
$3K ﹤0.01%
+65
New +$534
DIN icon
4434
PUT
Dine Brands
DIN
$458M
$3K ﹤0.01%
63
-138
-69% -$12.1K
DNN icon
4435
Denison Mines
DNN
$2.49B
$3K ﹤0.01%
5,600
+2,600
+87% +$1.21K
DSX icon
4436
PUT
Diana Shipping
DSX
$270M
$3K ﹤0.01%
+76
New +$140
ENPH icon
4437
Enphase Energy
ENPH
$4.79B
$3K ﹤0.01%
1,455
-9,254
-86% -$22.8K
EPAC icon
4438
PUT
Enerpac Tool Group
EPAC
$1.9B
$3K ﹤0.01%
+147
New +$3.38K
EPAM icon
4439
PUT
EPAM Systems
EPAM
$5.25B
$3K ﹤0.01%
73
+25
+52% +$1.73K
EPR icon
4440
PUT
EPR Properties
EPR
$4.92B
$3K ﹤0.01%
189
+117
+163% +$7.13K
EVTC icon
4441
Evertec
EVTC
$1.94B
$3K ﹤0.01%
+247
New +$3.34K
FARO
4442
PUT
DELISTED
Faro Technologies
FARO
$3K ﹤0.01%
+71
New +$1.98K
FE icon
4443
PUT
FirstEnergy
FE
$28.7B
$3K ﹤0.01%
55
+36
+189% +$1.21K
FF icon
4444
PUT
Future Fuel
FF
$202M
$3K ﹤0.01%
+10
New +$122
FLNT
4445
CALL
Fluent
FLNT
$103M
$3K ﹤0.01%
+8
New +$246
FLO icon
4446
PUT
Flowers Foods
FLO
$1.6B
$3K ﹤0.01%
63
-243
-79% -$4.61K
FLWS icon
4447
PUT
1-800-Flowers.com
FLWS
$254M
$3K ﹤0.01%
+59
New +$442
FMC icon
4448
CALL
FMC
FMC
$1.37B
$3K ﹤0.01%
+25
New +$811
FOR icon
4449
PUT
Forestar Group
FOR
$1.5B
$3K ﹤0.01%
+92
New +$928
FRO icon
4450
CALL
Frontline
FRO
$8.63B
$3K ﹤0.01%
63
+54
+600% +$521
176 177
178
179 180

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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.