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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
CAF
5601
CALL
Morgan Stanley China A Share Fund
CAF
$334M
– –
-10
Closed -$3K
CAG icon
5602
Conagra Brands
CAG
$7.07B
– –
-5,078
Closed -$165K
CAKE icon
5603
PUT
Cheesecake Factory
CAKE
$4.21B
– –
-5
Closed -$2K
CALX icon
5604
Calix
CALX
$2.27B
$0 ﹤0.01%
104
+75
+259% +$530
CAPL icon
5605
CALL
CrossAmerica Partners
CAPL
$830M
– –
-33
Closed -$5K
CAPL icon
5606
PUT
CrossAmerica Partners
CAPL
$830M
– –
-27
Closed -$1K
CAT icon
5607
Caterpillar
CAT
$409B
– –
-34,818
Closed -$2.34M
CATO icon
5608
CALL
Cato Corp
CATO
$65.9M
– –
-12
Closed -$1K
CBZ icon
5609
CBIZ
CBZ
$2.29B
– –
-1,501
Closed -$14K
CCI icon
5610
Crown Castle
CCI
$32.7B
– –
-10,820
Closed -$917K
CCOI icon
5611
Cogent Communications
CCOI
$594M
– –
-1,109
Closed -$38.4K
CCOI icon
5612
PUT
Cogent Communications
CCOI
$594M
– –
-11
Closed -$10K
CCRN
5613
CALL
DELISTED
Cross Country Healthcare
CCRN
– –
-250
Closed -$4K
CDNS icon
5614
Cadence Design Systems
CDNS
$90B
– –
-6,793
Closed -$142K
CDZI icon
5615
Cadiz
CDZI
$266M
– –
-1,874
Closed -$9.67K
CECO icon
5616
Ceco Environmental
CECO
$4.42B
– –
-3,558
Closed -$24.1K
CECO icon
5617
PUT
Ceco Environmental
CECO
$4.42B
– –
-46
Closed -$10K
CENTA icon
5618
PUT
Central Garden & Pet Co Class A
CENTA
$2.41B
– –
-8
Closed -$2K
CEVA icon
5619
CALL
CEVA Inc
CEVA
$1.01B
– –
-5
Closed -$6K
CFG icon
5620
Citizens Financial Group
CFG
$30.4B
– –
-8,770
Closed -$186K
CG icon
5621
Carlyle Group
CG
$16.3B
– –
-422
Closed -$6.18K
CGNX icon
5622
PUT
Cognex
CGNX
$10.3B
– –
-74
Closed -$4K
CHD icon
5623
Church & Dwight Co
CHD
$23.1B
– –
-3,440
Closed -$150K
CHIQ icon
5624
Global X MSCI China Consumer Discretionary ETF
CHIQ
$124M
– –
-2,693
Closed -$32K
CHRS icon
5625
PUT
Coherus Oncology
CHRS
$217M
– –
-5
Closed -$3K
223 224
225
226 227

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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.