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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
CLNE icon
4676
CALL
Clean Energy Fuels
CLNE
$432M
$2K ﹤0.01%
+79
New +$222
CMP icon
4677
CALL
Compass Minerals
CMP
$1.25B
$2K ﹤0.01%
29
-3
-9% -$215
CRIS icon
4678
PUT
Curis
CRIS
$9.14M
– –
0
– –
CROX icon
4679
CALL
Crocs
CROX
$6.69B
$2K ﹤0.01%
48
+22
+85% +$205
CTAS icon
4680
PUT
Cintas
CTAS
$84.4B
$2K ﹤0.01%
196
-176
-47% -$3.78K
CTRA
4681
PUT
DELISTED
Coterra Energy
CTRA
$2K ﹤0.01%
217
+26
+14% +$521
CVLG icon
4682
CALL
Covenant Logistics
CVLG
$1.13B
$2K ﹤0.01%
+20
New +$202
CW icon
4683
PUT
Curtiss-Wright
CW
$27.5B
$2K ﹤0.01%
+52
New +$3.61K
CYTK icon
4684
PUT
Cytokinetics
CYTK
$10.9B
$2K ﹤0.01%
65
+55
+550% +$402
DAKT icon
4685
Daktronics
DAKT
$956M
$2K ﹤0.01%
+301
New +$2.31K
DCO icon
4686
CALL
Ducommun
DCO
$2.77B
$2K ﹤0.01%
+11
New +$159
DLR icon
4687
PUT
Digital Realty Trust
DLR
$72.4B
$2K ﹤0.01%
37
+17
+85% +$1.38K
DMLP icon
4688
PUT
Dorchester Minerals
DMLP
$1.31B
$2K ﹤0.01%
+8
New +$82
DNN icon
4689
PUT
Denison Mines
DNN
$2.64B
$2K ﹤0.01%
57
-29
-34% -$13
DOX icon
4690
CALL
Amdocs
DOX
$5.64B
$2K ﹤0.01%
54
-11
-17% -$616
DQ
4691
Daqo New Energy
DQ
$815M
$2K ﹤0.01%
+740
New +$2.42K
DRD
4692
CALL
DRDGold
DRD
$1.82B
$2K ﹤0.01%
+28
New +$90
DVA icon
4693
PUT
DaVita
DVA
$15.2B
$2K ﹤0.01%
29
-68
-70% -$4.59K
ECL icon
4694
CALL
Ecolab
ECL
$76.4B
$2K ﹤0.01%
62
-200
-76% -$21.2K
ENPH icon
4695
CALL
Enphase Energy
ENPH
$5.01B
$2K ﹤0.01%
74
-2
-3% -$5
ENTA icon
4696
CALL
Enanta Pharmaceuticals
ENTA
$370M
$2K ﹤0.01%
31
+9
+41% +$251
ENTA icon
4697
PUT
Enanta Pharmaceuticals
ENTA
$370M
$2K ﹤0.01%
40
– –
ERIC icon
4698
CALL
Ericsson
ERIC
$31.8B
$2K ﹤0.01%
43
-134
-76% -$1.23K
ETR icon
4699
PUT
Entergy
ETR
$53.1B
$2K ﹤0.01%
96
-138
-59% -$5.01K
EXEL icon
4700
CALL
Exelixis
EXEL
$14B
$2K ﹤0.01%
237
-431
-65% -$1.82K
186 187
188
189 190

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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.