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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
CGEN icon
5026
CALL
Compugen
CGEN
$216M
$1K ﹤0.01%
+9
New +$47
CGEN icon
5027
Compugen
CGEN
$216M
$1K ﹤0.01%
+189
New +$987
CHD icon
5028
PUT
Church & Dwight Co
CHD
$23.1B
$1K ﹤0.01%
+192
New +$8.38K
CHDN icon
5029
CALL
Churchill Downs
CHDN
$6.03B
$1K ﹤0.01%
+12
New +$274
CHEF icon
5030
PUT
Chefs' Warehouse
CHEF
$3.87B
$1K ﹤0.01%
+7
New +$115
CHRW icon
5031
PUT
C.H. Robinson
CHRW
$22B
$1K ﹤0.01%
26
-17
-40% -$1.17K
CIG icon
5032
CALL
CEMIG Preferred Shares
CIG
$6.09B
$1K ﹤0.01%
+75
New +$61
CINF icon
5033
PUT
Cincinnati Financial
CINF
$28.3B
$1K ﹤0.01%
20
+9
+82% +$548
CLFD icon
5034
PUT
Clearfield
CLFD
$421M
$1K ﹤0.01%
+100
New +$1.41K
CNS icon
5035
CALL
Cohen & Steers
CNS
$4.18B
$1K ﹤0.01%
+1
New +$31
COHR icon
5036
CALL
Coherent
COHR
$55.2B
$1K ﹤0.01%
+8
New +$159
COO icon
5037
PUT
Cooper Companies
COO
$13.7B
$1K ﹤0.01%
56
-256
-82% -$8.84K
CRIS icon
5038
Curis
CRIS
$9.53M
– –
-3
Closed -$10.1K
CRK icon
5039
CALL
Comstock Resources
CRK
$3.97B
$1K ﹤0.01%
+14
New +$78
CRS icon
5040
PUT
Carpenter Technology
CRS
$30B
$1K ﹤0.01%
12
+5
+71% +$147
CRTO icon
5041
CALL
Criteo
CRTO
$1.03B
$1K ﹤0.01%
15
-76
-84% -$2.65K
CSGP icon
5042
CoStar Group
CSGP
$11.3B
$1K ﹤0.01%
+70
New +$1.24K
CSL icon
5043
PUT
Carlisle Companies
CSL
$13.6B
$1K ﹤0.01%
+1
New +$88
CUK
5044
PUT
DELISTED
Carnival PLC
CUK
$1K ﹤0.01%
+9
New +$453
CVEO icon
5045
CALL
Civeo
CVEO
$379M
$1K ﹤0.01%
+3
New +$40
CVLT icon
5046
PUT
Commault Systems
CVLT
$5.89B
$1K ﹤0.01%
24
+12
+100% +$444
CWCO icon
5047
Consolidated Water Co
CWCO
$469M
$1K ﹤0.01%
+139
New +$1.56K
CWT icon
5048
CALL
California Water Service
CWT
$3.04B
$1K ﹤0.01%
+5
New +$124
CXW icon
5049
CALL
CoreCivic
CXW
$3.1B
$1K ﹤0.01%
6
-159
-96% -$4.64K
DBC icon
5050
CALL
Invesco DB Commodity Index Tracking Fund
DBC
$1.73B
$1K ﹤0.01%
69
+15
+28% +$192
200 201
202
203 204

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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.