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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
ALE
5501
PUT
DELISTED
Allete
ALE
– –
-66
Closed -$16K
ALEX
5502
DELISTED
Alexander & Baldwin
ALEX
– –
-75
Closed -$2K
ALGT icon
5503
Allegiant Air
ALGT
$2.64B
– –
-914
Closed -$149K
ALL icon
5504
Allstate
ALL
$66.9B
– –
-10,460
Closed -$657K
ALLT icon
5505
Allot
ALLT
$374M
– –
-36
Closed -$179
AMCX icon
5506
PUT
AMC Global Media
AMCX
$430M
– –
-24
Closed -$4K
AMED
5507
DELISTED
Amedisys
AMED
– –
-2,170
Closed -$83.7K
AMED
5508
PUT
DELISTED
Amedisys
AMED
– –
-179
Closed -$13K
AMG icon
5509
Affiliated Managers Group
AMG
$9.46B
– –
-1,929
Closed -$269K
AMN icon
5510
AMN Healthcare
AMN
$1.28B
– –
-9,029
Closed -$258K
AMPH icon
5511
CALL
Amphastar Pharmaceuticals
AMPH
$825M
– –
-20
Closed -$1K
AMSC icon
5512
American Superconductor
AMSC
$1.48B
– –
-2,564
Closed -$17.2K
AMWD
5513
PUT
DELISTED
American Woodmark
AMWD
– –
-40
Closed -$3K
AMZN icon
5514
Amazon
AMZN
$2.5T
– –
-385,500
Closed -$10.9M
ANDE icon
5515
CALL
Andersons Inc
ANDE
$2.65B
– –
-11
Closed -$2K
ANET icon
5516
Arista Networks
ANET
$219B
– –
-45,536
Closed -$178K
ANIP icon
5517
CALL
ANI Pharmaceuticals
ANIP
$1.77B
– –
-231
Closed -$51K
ANSS
5518
CALL
DELISTED
Ansys
ANSS
– –
-16
Closed -$2K
ANY icon
5519
CALL
Sphere 3D
ANY
$14.6M
– –
0
– -$1K
AON icon
5520
PUT
Aon
AON
$77.3B
– –
-1
Closed -$1K
AOS icon
5521
A.O. Smith
AOS
$8.38B
– –
-2,794
Closed -$97.7K
APA icon
5522
APA Corp
APA
$12.8B
– –
-4,469
Closed -$186K
APAM icon
5523
CALL
Artisan Partners
APAM
$2.79B
– –
-7
Closed -$1K
APD icon
5524
Air Products & Chemicals
APD
$66.3B
– –
-59
Closed -$7.13K
APH icon
5525
Amphenol
APH
$188B
– –
-11,488
Closed -$149K
219 220
221
222 223

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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.