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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
OSPN icon
4501
PUT
OneSpan
OSPN
$572M
$3K ﹤0.01%
14
-56
-80% -$831
PBPB
4502
PUT
DELISTED
Potbelly
PBPB
$3K ﹤0.01%
5
-15
-75% -$180
PDM
4503
CALL
Piedmont Realty Trust
PDM
$1.2B
$3K ﹤0.01%
+26
New +$484
PGR icon
4504
CALL
Progressive
PGR
$128B
$3K ﹤0.01%
35
+16
+84% +$511
PLUG icon
4505
Plug Power
PLUG
$2.73B
$3K ﹤0.01%
1,810
-3,765
-68% -$7.07K
PLUR icon
4506
PUT
Pluri
PLUR
$18.1M
$3K ﹤0.01%
+1
New +$94
PNR icon
4507
PUT
Pentair
PNR
$10.8B
$3K ﹤0.01%
161
-67
-29% -$2.17K
PPL
4508
PUT
PPL Corp
PPL
$27.3B
$3K ﹤0.01%
134
+66
+97% +$2.35K
PRDO icon
4509
Perdoceo Education
PRDO
$2.06B
$3K ﹤0.01%
+746
New +$2.48K
PXLW icon
4510
PUT
Pixelworks
PXLW
$37.2M
$3K ﹤0.01%
6
+5
+500% +$120
PZZA icon
4511
CALL
Papa John's
PZZA
$1.02B
$3K ﹤0.01%
+21
New +$1.1K
QLYS icon
4512
PUT
Qualys
QLYS
$4.78B
$3K ﹤0.01%
39
+29
+290% +$752
SAGE
4513
CALL
DELISTED
Sage Therapeutics
SAGE
$3K ﹤0.01%
+10
New +$352
SBRA icon
4514
PUT
Sabra Healthcare REIT
SBRA
$5.61B
$3K ﹤0.01%
+24
New +$460
SCHG icon
4515
Schwab US Large-Cap Growth ETF
SCHG
$59.1B
$3K ﹤0.01%
+520
New +$3.22K
SFM icon
4516
PUT
Sprouts Farmers Market
SFM
$7.31B
$3K ﹤0.01%
+69
New +$1.78K
SJT
4517
San Juan Basin Royalty Trust
SJT
$117M
$3K ﹤0.01%
693
+536
+341% +$2.6K
SLM icon
4518
PUT
SLM Corp
SLM
$4.74B
$3K ﹤0.01%
12
-39
-76% -$236
SM icon
4519
PUT
SM Energy
SM
$7.11B
$3K ﹤0.01%
35
-55
-61% -$759
SOCL icon
4520
Global X Social Media ETF
SOCL
$91.8M
$3K ﹤0.01%
+185
New +$3.27K
SOHU
4521
CALL
Sohu.com
SOHU
$346M
$3K ﹤0.01%
32
-66
-67% -$3.19K
SSL icon
4522
CALL
Sasol
SSL
$7.03B
$3K ﹤0.01%
67
+43
+179% +$1.17K
STE icon
4523
CALL
Steris
STE
$22.4B
$3K ﹤0.01%
10
– –
STE icon
4524
PUT
Steris
STE
$22.4B
$3K ﹤0.01%
+13
New +$879
TDS icon
4525
CALL
Telephone and Data Systems
TDS
$3.87B
$3K ﹤0.01%
+18
New +$454
179 180
181
182 183

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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.