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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
APH icon
5526
PUT
Amphenol
APH
$188B
– –
-540
Closed -$2K
APOG icon
5527
CALL
Apogee Enterprises
APOG
$850M
– –
-29
Closed -$1K
APT icon
5528
CALL
Alpha Pro Tech
APT
$50.4M
– –
-47
Closed -$1K
APTV icon
5529
PUT
Aptiv
APTV
$12B
– –
-66
Closed -$2K
ARCB icon
5530
ArcBest
ARCB
$3.44B
– –
-900
Closed -$18.3K
ARCB icon
5531
PUT
ArcBest
ARCB
$3.44B
– –
-1
Closed -$1K
ARCT icon
5532
CALL
Arcturus Therapeutics
ARCT
$157M
– –
-2
Closed -$3K
ARES icon
5533
PUT
Ares Management
ARES
$28.5B
– –
-4
Closed -$2K
ARI
5534
CALL
Apollo Commercial Real Estate
ARI
$887M
– –
-24
Closed -$1K
ARI
5535
Apollo Commercial Real Estate
ARI
$887M
– –
-404
Closed -$6.49K
ARMK icon
5536
Aramark
ARMK
$15B
– –
-10,180
Closed -$233K
ARMK icon
5537
PUT
Aramark
ARMK
$15B
– –
-47
Closed -$1K
AROC icon
5538
CALL
Archrock
AROC
$6.33B
– –
-10
Closed -$2K
EFOR
5539
Everforth Inc
EFOR
$845M
– –
-2,497
Closed -$88.2K
ASHR icon
5540
Xtrackers Harvest CSI 300 China A-Shares ETF
ASHR
$1.35B
– –
-13,037
Closed -$364K
ASHS icon
5541
Xtrackers Harvest CSI 500 China A-Shares Small Cap ETF
ASHS
$32.6M
– –
-2,634
Closed -$109K
ASML icon
5542
ASML
ASML
$675B
– –
-3,138
Closed -$283K
ATHE
5543
Alterity Therapeutics
ATHE
$82.3M
$0 ﹤0.01%
23
-10
-30% -$334
ATNM icon
5544
CALL
Actinium Pharmaceuticals
ATNM
$27M
– –
-4
Closed -$9K
AU icon
5545
AngloGold Ashanti
AU
$40.3B
– –
-4,698
Closed -$50.9K
AVB icon
5546
AvalonBay Communities
AVB
$27.1B
– –
-2,229
Closed -$394K
AVNT icon
5547
CALL
Avient
AVNT
$3.45B
– –
-16
Closed -$3K
AVT icon
5548
Avnet
AVT
$7.33B
– –
-2,386
Closed -$98K
AWRE icon
5549
Aware
AWRE
$23.6M
– –
-400
Closed -$1K
AXDX
5550
CALL
DELISTED
Accelerate Diagnostics
AXDX
– –
-25
Closed -$50K
220 221
222
223 224

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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.