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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
FHN icon
4701
CALL
First Horizon
FHN
$12.1B
$2K ﹤0.01%
146
-347
-70% -$4.42K
FMC icon
4702
PUT
FMC
FMC
$1.39B
$2K ﹤0.01%
+306
New +$9.92K
FN icon
4703
CALL
Fabrinet
FN
$16.9B
$2K ﹤0.01%
+8
New +$215
FN icon
4704
PUT
Fabrinet
FN
$16.9B
$2K ﹤0.01%
+50
New +$1.34K
FSS icon
4705
CALL
Federal Signal
FSS
$7.22B
$2K ﹤0.01%
+56
New +$770
FTEK icon
4706
Fuel Tech
FTEK
$47.4M
$2K ﹤0.01%
1,536
-2,606
-63% -$4.47K
FTNT icon
4707
PUT
Fortinet
FTNT
$112B
$2K ﹤0.01%
80
-90
-53% -$497
FUN icon
4708
CALL
Cedar Fair
FUN
$1.8B
$2K ﹤0.01%
26
+13
+100% +$718
FXA icon
4709
CALL
Invesco CurrencyShares Australian Dollar Trust
FXA
$97M
$2K ﹤0.01%
6
-131
-96% -$9.48K
GES
4710
PUT
DELISTED
Guess Inc
GES
$2K ﹤0.01%
23
+15
+188% +$288
GLP icon
4711
CALL
Global Partners
GLP
$1.64B
$2K ﹤0.01%
+31
New +$462
GSG icon
4712
iShares S&P GSCI Commodity-Indexed Trust
GSG
$981M
$2K ﹤0.01%
+193
New +$2.57K
GURE
4713
CALL
Gulf Resources
GURE
$5.25M
$2K ﹤0.01%
+5
New +$405
HDB icon
4714
PUT
HDFC Bank
HDB
$119B
$2K ﹤0.01%
+200
New +$2.86K
HII icon
4715
CALL
Huntington Ingalls Industries
HII
$11.4B
$2K ﹤0.01%
9
-6
-40% -$781
HIW icon
4716
PUT
Highwoods Properties
HIW
$3.73B
$2K ﹤0.01%
+53
New +$2.31K
HLT icon
4717
PUT
Hilton Worldwide
HLT
$75.3B
$2K ﹤0.01%
46
-197
-81% -$11.7K
HTGC icon
4718
Hercules Capital
HTGC
$2.95B
$2K ﹤0.01%
+169
New +$1.88K
HUBS icon
4719
PUT
HubSpot
HUBS
$11.4B
$2K ﹤0.01%
+29
New +$1.25K
HURN icon
4720
CALL
Huron Consulting
HURN
$1.89B
$2K ﹤0.01%
+9
New +$497
IBRX icon
4721
CALL
ImmunityBio
IBRX
$7.32B
$2K ﹤0.01%
23
-14
-38% -$132
ICAD
4722
CALL
DELISTED
iCAD Inc
ICAD
$2K ﹤0.01%
+14
New +$62
ICLR icon
4723
CALL
Icon
ICLR
$13B
$2K ﹤0.01%
7
+4
+133% +$280
IDT icon
4724
CALL
IDT Corp
IDT
$1.63B
$2K ﹤0.01%
+13
New +$118
IHG icon
4725
InterContinental Hotels
IHG
$23.5B
$2K ﹤0.01%
+39
New +$1.87K
187 188
189
190 191

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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.