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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
CX icon
5676
Cemex
CX
$17.4B
– –
-13,057
Closed -$64.3K
CXT icon
5677
PUT
Crane NXT
CXT
$3.04B
– –
-29
Closed -$1K
CYD icon
5678
China Yuchai International
CYD
$1.69B
– –
-3,239
Closed -$31.4K
BGMS
5679
Bio Green Med Solution Inc
BGMS
$5.05M
– –
0
– –
D icon
5680
Dominion Energy
D
$62.5B
– –
-2,299
Closed -$163K
DAKT icon
5681
CALL
Daktronics
DAKT
$941M
– –
-44
Closed -$1K
DAN icon
5682
Dana Inc
DAN
$2.91B
– –
-709
Closed -$8.86K
DAN icon
5683
PUT
Dana Inc
DAN
$2.91B
– –
-6
Closed -$2K
DAR icon
5684
PUT
Darling Ingredients
DAR
$9.93B
– –
-142
Closed -$35K
DB icon
5685
Deutsche Bank
DB
$66.3B
– –
-34,460
Closed -$577K
DBI icon
5686
Designer Brands
DBI
$277M
– –
-13,236
Closed -$331K
DBO icon
5687
Invesco DB Oil Fund
DBO
$425M
– –
-1,057
Closed -$9K
DEO icon
5688
Diageo
DEO
$46.2B
– –
-5,126
Closed -$542K
DFE icon
5689
WisdomTree Europe SmallCap Dividend Fund
DFE
$163M
– –
-801
Closed -$44K
DGII icon
5690
Digi International
DGII
$2.52B
– –
-120
Closed -$1K
DGX icon
5691
Quest Diagnostics
DGX
$25.1B
– –
-198
Closed -$13.3K
DHC
5692
PUT
Diversified Healthcare Trust
DHC
$2.26B
– –
-302
Closed -$34K
DHI icon
5693
D.R. Horton
DHI
$41B
– –
-2,076
Closed -$57K
DHR icon
5694
Danaher
DHR
$135B
– –
-4,288
Closed -$256K
DHT icon
5695
CALL
DHT Holdings
DHT
$2.97B
– –
-47
Closed -$4K
DIA icon
5696
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$45.8B
– –
-21,726
Closed -$3.62M
DIOD icon
5697
Diodes
DIOD
$4B
– –
-1,947
Closed -$37.3K
DIOD icon
5698
PUT
Diodes
DIOD
$4B
– –
-53
Closed -$2K
DIS icon
5699
Walt Disney
DIS
$165B
– –
-138,261
Closed -$13.3M
DK icon
5700
CALL
Delek US
DK
$3.87B
– –
-59
Closed -$1K
226 227
228
229 230

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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.