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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
AXDX
5551
PUT
DELISTED
Accelerate Diagnostics
AXDX
– –
-3
Closed -$1K
AXP icon
5552
American Express
AXP
$223B
– –
-500
Closed -$29.1K
AXTI icon
5553
AXT Inc
AXTI
$3.09B
$0 ﹤0.01%
+64
New +$166
AZTA icon
5554
Azenta
AZTA
$1.26B
– –
-3,560
Closed -$34K
BA icon
5555
Boeing
BA
$165B
– –
-29,422
Closed -$3.65M
BABA icon
5556
Alibaba
BABA
$269B
– –
-163,219
Closed -$11.5M
BALL icon
5557
Ball Corp
BALL
$17B
– –
-13,880
Closed -$473K
BAP icon
5558
Credicorp
BAP
$30.9B
– –
-1,490
Closed -$164K
BBDC icon
5559
CALL
Barings BDC
BBDC
$862M
– –
-101
Closed -$2K
BBW icon
5560
Build-A-Bear
BBW
$423M
– –
-7,148
Closed -$91.8K
BC icon
5561
Brunswick
BC
$5.19B
– –
-3,485
Closed -$151K
BCE icon
5562
BCE
BCE
$19.9B
– –
-2,775
Closed -$116K
BCE icon
5563
PUT
BCE
BCE
$19.9B
– –
-14
Closed -$3K
BCS icon
5564
Barclays
BCS
$94.1B
– –
-8,801
Closed -$82K
BDX icon
5565
Becton Dickinson
BDX
$43.1B
– –
-113
Closed -$16K
BEN icon
5566
CALL
Franklin Resources
BEN
$16.9B
– –
-47
Closed -$4K
BF.B icon
5567
CALL
Brown-Forman Class B
BF.B
$12B
– –
-409
Closed -$19K
BGC icon
5568
CALL
BGC Group
BGC
$5.58B
– –
-600
Closed -$16K
BGS icon
5569
B&G Foods
BGS
$285M
– –
-1,253
Closed -$44.2K
BBT
5570
Beacon Financial Corp
BBT
$2.53B
– –
-2,354
Closed -$68K
BHP icon
5571
BHP
BHP
$213B
– –
-28,709
Closed -$608K
BHR
5572
Braemar Hotels & Resorts
BHR
$153M
– –
-1,864
Closed -$26K
BIO icon
5573
PUT
Bio-Rad Laboratories Class A
BIO
$8.42B
– –
-1
Closed -$4K
BKE icon
5574
Buckle
BKE
$2.19B
– –
-2,320
Closed -$70.5K
BKE icon
5575
PUT
Buckle
BKE
$2.19B
– –
-107
Closed -$13K
221 222
223
224 225

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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.