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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
HIG icon
5851
Hartford Financial Services
HIG
$38.5B
– –
-24,378
Closed -$1.02M
HLIT icon
5852
Harmonic Inc
HLIT
$1.21B
$0 ﹤0.01%
+40
New +$131
HLT icon
5853
Hilton Worldwide
HLT
$74B
– –
-3,330
Closed -$198K
HLX icon
5854
Helix Energy Solutions
HLX
$1.46B
– –
-1,971
Closed -$8.32K
HMC icon
5855
CALL
Honda
HMC
$36.5B
– –
-45
Closed -$1K
HOG icon
5856
Harley-Davidson
HOG
$2.68B
– –
-14,089
Closed -$615K
HOLX
5857
CALL
DELISTED
Hologic
HOLX
– –
-298
Closed -$374K
HOV icon
5858
PUT
Hovnanian Enterprises
HOV
$785M
– –
-1
Closed -$2K
HQY icon
5859
HealthEquity
HQY
$7.91B
– –
-6,199
Closed -$133K
HQY icon
5860
PUT
HealthEquity
HQY
$7.91B
– –
-21
Closed -$1K
HRI icon
5861
Herc Holdings
HRI
$5.43B
– –
-4,173
Closed -$123K
HRB icon
5862
CALL
H&R Block
HRB
$5.18B
– –
-605
Closed -$15K
HSIC icon
5863
PUT
Henry Schein
HSIC
$9.74B
– –
-122
Closed -$23K
HSY icon
5864
Hershey
HSY
$35.4B
– –
-9,794
Closed -$874K
HUBG icon
5865
HUB Group
HUBG
$3.01B
– –
-2,178
Closed -$37.7K
HUBG icon
5866
PUT
HUB Group
HUBG
$3.01B
– –
-40
Closed -$4K
IAT icon
5867
iShares US Regional Banks ETF
IAT
$685M
– –
-990
Closed -$34K
IAU icon
5868
PUT
iShares Gold Trust
IAU
$63B
– –
-5
Closed -$2K
IBOC icon
5869
International Bancshares
IBOC
$4.77B
– –
-456
Closed -$10.7K
IBOC icon
5870
PUT
International Bancshares
IBOC
$4.77B
– –
-21
Closed -$1K
IBP icon
5871
Installed Building Products
IBP
$6.13B
– –
-618
Closed -$15K
IDA icon
5872
CALL
Idacorp
IDA
$8.23B
– –
-3
Closed -$1K
IDCC icon
5873
PUT
InterDigital
IDCC
$6.68B
– –
-8
Closed -$1K
IEX icon
5874
PUT
IDEX
IEX
$16.5B
– –
-18
Closed -$4K
BRSL
5875
Brightstar Lottery PLC
BRSL
$1.91B
– –
-15,827
Closed -$241K
233 234
235
236 237

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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.