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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
PINC
5201
PUT
DELISTED
Premier
PINC
$1K ﹤0.01%
21
– –
PKOH icon
5202
CALL
Park-Ohio Holdings
PKOH
$554M
$1K ﹤0.01%
+7
New +$222
PLD icon
5203
PUT
Prologis
PLD
$138B
$1K ﹤0.01%
+59
New +$2.37K
PLNT icon
5204
PUT
Planet Fitness
PLNT
$4.23B
$1K ﹤0.01%
+10
New +$148
PLUR icon
5205
Pluri
PLUR
$19.2M
$1K ﹤0.01%
10
+6
+150% +$563
POR icon
5206
CALL
Portland General Electric
POR
$6.02B
$1K ﹤0.01%
+15
New +$574
BCIC
5207
CALL
BCP Investment Corp
BCIC
$86.9M
$1K ﹤0.01%
+2
New +$64
PWR icon
5208
PUT
Quanta Services
PWR
$93.9B
$1K ﹤0.01%
182
-17
-9% -$337
PXLW icon
5209
Pixelworks
PXLW
$38.8M
$1K ﹤0.01%
63
-312
-83% -$7.48K
RAIL icon
5210
CALL
FreightCar America
RAIL
$275M
$1K ﹤0.01%
+44
New +$760
RARE icon
5211
CALL
Ultragenyx Pharmaceutical
RARE
$2.65B
$1K ﹤0.01%
29
+4
+16% +$262
RBBN icon
5212
Ribbon Communications
RBBN
$354M
$1K ﹤0.01%
+238
New +$1.59K
RDY icon
5213
CALL
Dr. Reddy's Laboratories
RDY
$9.82B
$1K ﹤0.01%
50
-25
-33% -$223
RES icon
5214
PUT
RPC Inc
RES
$1.24B
$1K ﹤0.01%
+43
New +$545
RGLS
5215
CALL
DELISTED
Regulus Therapeutics
RGLS
$1K ﹤0.01%
1
-1
-50% -$796
RICK icon
5216
PUT
RCI Hospitality Holdings
RICK
$199M
$1K ﹤0.01%
14
– –
ROCK icon
5217
CALL
Gibraltar Industries
ROCK
$1.34B
$1K ﹤0.01%
+3
New +$70
ROG icon
5218
CALL
Rogers Corp
ROG
$2.33B
$1K ﹤0.01%
+2
New +$101
ROST icon
5219
PUT
Ross Stores
ROST
$76.6B
$1K ﹤0.01%
38
-32
-46% -$1.78K
RRGB icon
5220
PUT
Red Robin
RRGB
$134M
$1K ﹤0.01%
22
+21
+2,100% +$1.31K
SAGE
5221
PUT
DELISTED
Sage Therapeutics
SAGE
$1K ﹤0.01%
+4
New +$141
SAN icon
5222
CALL
Banco Santander
SAN
$194B
$1K ﹤0.01%
196
-258
-57% -$1.06K
SAND
5223
CALL
DELISTED
Sandstorm Gold
SAND
$1K ﹤0.01%
+12
New +$33
SBAC icon
5224
CALL
SBA Communications
SBAC
$18.4B
$1K ﹤0.01%
+6
New +$573
SCS
5225
CALL
DELISTED
Steelcase
SCS
$1K ﹤0.01%
39
+33
+550% +$439
207 208
209
210 211

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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.