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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
GTE icon
5101
PUT
Gran Tierra Energy
GTE
$260M
$1K ﹤0.01%
+5
New +$116
GWRE icon
5102
PUT
Guidewire Software
GWRE
$11.5B
$1K ﹤0.01%
+10
New +$522
HAS icon
5103
PUT
Hasbro
HAS
$12.6B
$1K ﹤0.01%
132
+55
+71% +$4.09K
HI
5104
CALL
DELISTED
Hillenbrand
HI
$1K ﹤0.01%
+26
New +$717
HII icon
5105
PUT
Huntington Ingalls Industries
HII
$11.3B
$1K ﹤0.01%
21
+8
+62% +$1.04K
HOLX
5106
DELISTED
Hologic
HOLX
$1K ﹤0.01%
+57
New +$1.99K
HSTM icon
5107
PUT
HealthStream
HSTM
$793M
$1K ﹤0.01%
+18
New +$370
HUN icon
5108
PUT
Huntsman Corp
HUN
$2.24B
$1K ﹤0.01%
535
+348
+186% +$3.59K
HWC icon
5109
CALL
Hancock Whitney
HWC
$6.13B
$1K ﹤0.01%
+8
New +$188
HXL icon
5110
CALL
Hexcel
HXL
$8.32B
$1K ﹤0.01%
+8
New +$336
HXL icon
5111
PUT
Hexcel
HXL
$8.32B
$1K ﹤0.01%
+34
New +$1.43K
IAG icon
5112
CALL
IAMGOLD
IAG
$8.47B
$1K ﹤0.01%
46
-81
-64% -$158
ICMB icon
5113
PUT
Investcorp Credit Management BDC
ICMB
$11.3M
$1K ﹤0.01%
+6
New +$50
IDT icon
5114
PUT
IDT Corp
IDT
$1.6B
$1K ﹤0.01%
31
+27
+675% +$244
BRSL
5115
PUT
Brightstar Lottery PLC
BRSL
$1.91B
$1K ﹤0.01%
37
-48
-56% -$731
IMO icon
5116
PUT
Imperial Oil
IMO
$62.1B
$1K ﹤0.01%
+52
New +$1.62K
IOSP icon
5117
Innospec
IOSP
$2.09B
$1K ﹤0.01%
+26
New +$1.2K
IRM icon
5118
PUT
Iron Mountain
IRM
$38.2B
$1K ﹤0.01%
22
-3
-12% -$86
ITT icon
5119
CALL
ITT
ITT
$17.5B
$1K ﹤0.01%
+21
New +$716
ITRI icon
5120
CALL
Itron
ITRI
$3.73B
$1K ﹤0.01%
+4
New +$148
ITW icon
5121
PUT
Illinois Tool Works
ITW
$81.4B
$1K ﹤0.01%
28
-2
-7% -$185
IVZ icon
5122
PUT
Invesco
IVZ
$13.3B
$1K ﹤0.01%
+28
New +$808
JACK icon
5123
CALL
Jack in the Box
JACK
$278M
$1K ﹤0.01%
19
-67
-78% -$4.71K
JBHT icon
5124
CALL
JB Hunt Transport Services
JBHT
$27.1B
$1K ﹤0.01%
+4
New +$303
JBL icon
5125
CALL
Jabil
JBL
$32.8B
$1K ﹤0.01%
46
-8
-15% -$161
203 204
205
206 207

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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.