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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
NGL icon
5176
CALL
NGL Energy Partners
NGL
$1.94B
$1K ﹤0.01%
77
+72
+1,440% +$651
NMFC icon
5177
CALL
New Mountain Finance
NMFC
$646M
$1K ﹤0.01%
+19
New +$231
NMM icon
5178
CALL
Navios Maritime Partners
NMM
$2.25B
$1K ﹤0.01%
11
-11
-50% -$261
NNVC icon
5179
PUT
NanoViricides
NNVC
$34M
– –
0
– –
NTGR icon
5180
CALL
NETGEAR
NTGR
$669M
$1K ﹤0.01%
28
-4
-13% -$154
NWN icon
5181
PUT
Northwest Natural Holdings
NWN
$2.17B
$1K ﹤0.01%
+6
New +$309
NWS icon
5182
CALL
News Corp Class B
NWS
$16.4B
$1K ﹤0.01%
+14
New +$173
NX icon
5183
PUT
Quanex
NX
$854M
$1K ﹤0.01%
+33
New +$582
O icon
5184
PUT
Realty Income
O
$61.2B
$1K ﹤0.01%
+68
New +$3.79K
OCSL icon
5185
CALL
Oaktree Specialty Lending
OCSL
$1.03B
$1K ﹤0.01%
+19
New +$297
ODFL icon
5186
PUT
Old Dominion Freight Line
ODFL
$48.5B
$1K ﹤0.01%
+96
New +$1.97K
OFG icon
5187
CALL
OFG Bancorp
OFG
$2.21B
$1K ﹤0.01%
30
-845
-97% -$5.16K
OGE icon
5188
CALL
OGE Energy
OGE
$10.3B
$1K ﹤0.01%
+4
New +$105
OIS icon
5189
PUT
Oil States International
OIS
$522M
$1K ﹤0.01%
21
+11
+110% +$297
OPCH icon
5190
Option Care Health
OPCH
$3.4B
$1K ﹤0.01%
+217
New +$1.63K
ORMP icon
5191
PUT
Oramed Pharmaceuticals
ORMP
$165M
$1K ﹤0.01%
+9
New +$60
OSUR icon
5192
CALL
OraSure Technologies
OSUR
$273M
$1K ﹤0.01%
32
-41
-56% -$261
PALI icon
5193
CALL
Palisade Bio
PALI
$339M
– –
0
– –
PALI icon
5194
Palisade Bio
PALI
$339M
– –
0
– –
PAYC icon
5195
CALL
Paycom
PAYC
$6.78B
$1K ﹤0.01%
8
-64
-89% -$2K
PAYX icon
5196
PUT
Paychex
PAYX
$40.4B
$1K ﹤0.01%
136
-19
-12% -$957
PBPB
5197
CALL
DELISTED
Potbelly
PBPB
$1K ﹤0.01%
+30
New +$360
PENN icon
5198
PUT
PENN Entertainment
PENN
$2.74B
$1K ﹤0.01%
+29
New +$416
PH icon
5199
PUT
Parker-Hannifin
PH
$125B
$1K ﹤0.01%
61
+32
+110% +$3.21K
PHX
5200
CALL
DELISTED
PHX Minerals
PHX
$1K ﹤0.01%
64
+24
+60% +$369
206 207
208
209 210

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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.