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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
GOGO icon
5826
CALL
Gogo Inc
GOGO
$515M
– –
-40
Closed -$5K
GORO icon
5827
Goldgroup Mining Inc.
GORO
$151M
$0 ﹤0.01%
348
-3,358
-91% -$6.03K
GPI icon
5828
CALL
Group 1 Automotive
GPI
$3.94B
– –
-40
Closed -$1K
GPI icon
5829
Group 1 Automotive
GPI
$3.94B
– –
-1,377
Closed -$78.6K
GPK icon
5830
Graphic Packaging
GPK
$3.26B
– –
-6,293
Closed -$76.5K
GPRE icon
5831
PUT
Green Plains
GPRE
$1.19B
– –
-57
Closed -$6K
GRFS
5832
Grifois
GRFS
$5.16B
– –
-2,252
Closed -$36K
GRFS
5833
PUT
Grifois
GRFS
$5.16B
– –
-140
Closed -$3K
GRMN
5834
Garmin
GRMN
$46.9B
– –
-5,444
Closed -$202K
GSAT icon
5835
Globalstar
GSAT
$10.2B
– –
-256
Closed -$4.87K
GSG icon
5836
CALL
iShares S&P GSCI Commodity-Indexed Trust
GSG
$1.02B
– –
-91
Closed -$1K
GURE
5837
Gulf Resources
GURE
$5.23M
$0 ﹤0.01%
+2
New +$162
GVA icon
5838
Granite Construction
GVA
$5.45B
– –
-836
Closed -$34K
GWRE icon
5839
Guidewire Software
GWRE
$11.5B
– –
-6,380
Closed -$333K
HACK icon
5840
Amplify Cybersecurity ETF
HACK
$2.63B
– –
-5,397
Closed -$139K
HAL icon
5841
Halliburton
HAL
$27.9B
– –
-42,210
Closed -$1.38M
HBIO icon
5842
CALL
Harvard Bioscience
HBIO
$27.1M
– –
0
– -$1K
HCA icon
5843
HCA Healthcare
HCA
$84.8B
– –
-36,503
Closed -$2.55M
HDB icon
5844
HDFC Bank
HDB
$119B
– –
-6,820
Closed -$97.4K
HEI icon
5845
HEICO Corp
HEI
$48.9B
– –
-977
Closed -$21K
HEI.A icon
5846
PUT
HEICO Corp Class A
HEI.A
$35.4B
– –
-8
Closed -$2K
HES
5847
DELISTED
Hess
HES
– –
-1,075
Closed -$47.5K
HHH icon
5848
CALL
Howard Hughes
HHH
$3.93B
– –
-68
Closed -$2K
HI
5849
DELISTED
Hillenbrand
HI
– –
-2,831
Closed -$78.1K
HI
5850
PUT
DELISTED
Hillenbrand
HI
– –
-12
Closed -$1K
232 233
234
235 236

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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.