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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
IJK icon
5876
iShares S&P Mid-Cap 400 Growth ETF
IJK
$10.9B
– –
-2,492
Closed -$100K
IJR icon
5877
iShares Core S&P Small-Cap ETF
IJR
$110B
– –
-4,760
Closed -$262K
IMNN icon
5878
CALL
Imunon
IMNN
$6.51M
– –
0
– -$2K
IMNN icon
5879
PUT
Imunon
IMNN
$6.51M
– –
0
– -$5K
IMO icon
5880
CALL
Imperial Oil
IMO
$61.9B
– –
-74
Closed -$4K
IMOS
5881
ChipMOS TECHNOLOGIES
IMOS
$1.96B
– –
-20,449
Closed -$393K
IMUX icon
5882
Immunic
IMUX
$187M
– –
-7
Closed -$24.3K
IMUX icon
5883
PUT
Immunic
IMUX
$187M
– –
0
– -$3K
INGN icon
5884
Inogen
INGN
$169M
– –
-564
Closed -$20.1K
INTC icon
5885
Intel
INTC
$484B
– –
-28,901
Closed -$887K
INVE icon
5886
CALL
Identive
INVE
$64.8M
– –
-48
Closed -$1K
IOVA icon
5887
CALL
Iovance Biotherapeutics
IOVA
$2.25B
– –
-332
Closed -$18K
IQV icon
5888
IQVIA
IQV
$34.9B
– –
-5,736
Closed -$363K
IRDM icon
5889
Iridium Communications
IRDM
$4.86B
– –
-27
Closed -$194
IRWD icon
5890
Ironwood Pharmaceuticals
IRWD
$627M
– –
-296
Closed -$2.44K
ITGR icon
5891
Integer Holdings
ITGR
$3.34B
– –
-1,938
Closed -$68.3K
IVZ icon
5892
Invesco
IVZ
$13.3B
– –
-153
Closed -$4.41K
IWC icon
5893
iShares Micro-Cap ETF
IWC
$1.45B
– –
-220
Closed -$15K
IWD icon
5894
iShares Russell 1000 Value ETF
IWD
$82.1B
– –
-986
Closed -$96K
IWO icon
5895
iShares Russell 2000 Growth ETF
IWO
$14.6B
– –
-118
Closed -$16K
IYT icon
5896
iShares US Transportation ETF
IYT
$2.35B
– –
-5,756
Closed -$193K
J icon
5897
PUT
Jacobs Solutions
J
$15.9B
– –
-207
Closed -$15K
JAKK icon
5898
Jakks Pacific
JAKK
$285M
– –
-56
Closed -$4.02K
JAZZ icon
5899
Jazz Pharmaceuticals
JAZZ
$16B
– –
-273
Closed -$34K
JEF icon
5900
Jefferies Financial Group
JEF
$12.9B
– –
-16,075
Closed -$226K
234 235
236
237 238

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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.