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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
JEF icon
5126
CALL
Jefferies Financial Group
JEF
$12.9B
$1K ﹤0.01%
+17
New +$239
KBR icon
5127
PUT
KBR
KBR
$4.68B
$1K ﹤0.01%
+20
New +$283
KDP icon
5128
CALL
Keurig Dr Pepper
KDP
$40.4B
$1K ﹤0.01%
+18
New +$1.64K
KEYS icon
5129
CALL
Keysight
KEYS
$54.5B
$1K ﹤0.01%
+20
New +$502
KEYS icon
5130
Keysight
KEYS
$54.5B
$1K ﹤0.01%
+42
New +$1.05K
KGC icon
5131
PUT
Kinross Gold
KGC
$28.5B
$1K ﹤0.01%
128
-148
-54% -$367
KLAC icon
5132
PUT
KLA
KLAC
$275B
$1K ﹤0.01%
70
-1,660
-96% -$11.2K
KLIC icon
5133
CALL
Kulicke & Soffa
KLIC
$5.3B
$1K ﹤0.01%
54
+34
+170% +$370
KOPN icon
5134
CALL
Kopin
KOPN
$663M
$1K ﹤0.01%
+76
New +$145
KOPN icon
5135
Kopin
KOPN
$663M
$1K ﹤0.01%
+771
New +$1.47K
KPTI icon
5136
CALL
Karyopharm Therapeutics
KPTI
$168M
$1K ﹤0.01%
4
-1
-20% -$110
KPTI icon
5137
PUT
Karyopharm Therapeutics
KPTI
$168M
– –
0
– –
KTOS icon
5138
PUT
Kratos Defense & Security Solutions
KTOS
$8.88B
$1K ﹤0.01%
+40
New +$145
LAD icon
5139
PUT
Lithia Motors
LAD
$7.78B
$1K ﹤0.01%
+29
New +$2.49K
LDOS icon
5140
CALL
Leidos
LDOS
$14.1B
$1K ﹤0.01%
+1
New +$48
LEG icon
5141
CALL
Leggett & Platt
LEG
$1.52B
$1K ﹤0.01%
+14
New +$607
LGND icon
5142
PUT
Ligand Pharmaceuticals
LGND
$6.02B
$1K ﹤0.01%
+5
New +$304
LII icon
5143
PUT
Lennox International
LII
$18.8B
$1K ﹤0.01%
+38
New +$4.7K
LITB
5144
CALL
LightInTheBox
LITB
$59M
$1K ﹤0.01%
+21
New +$297
LITB
5145
LightInTheBox
LITB
$59M
$1K ﹤0.01%
133
-640
-83% -$9.04K
LIVE icon
5146
PUT
Live Ventures
LIVE
$29.8M
$1K ﹤0.01%
+3
New +$26
LOPE icon
5147
CALL
Grand Canyon Education
LOPE
$3.71B
$1K ﹤0.01%
+24
New +$925
LOPE icon
5148
PUT
Grand Canyon Education
LOPE
$3.71B
$1K ﹤0.01%
+85
New +$3.28K
LPLA icon
5149
PUT
LPL Financial
LPLA
$26.3B
$1K ﹤0.01%
+12
New +$324
LSCC icon
5150
CALL
Lattice Semiconductor
LSCC
$17.6B
$1K ﹤0.01%
+38
New +$205
204 205
206
207 208

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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.