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Simplex Trading

Simplex Trading Portfolio holdings

AUM $171B
1-Year Est. Return 85%
 

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
+85%
3 Year Est. Return
+183.25%
5 Year Est. Return
+145.21%
10 Year Est. Return
+1,056.84%
AUM
$1.25B
AUM Growth
-$22.5M
Cap. Flow
-$34.7M
Cap. Flow %
-2.76%
Top 10 Hldgs %
17.26%
Holding
7,084
New
1,678
Increased
2,214
Reduced
1,528
Closed
1,503

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 Miscellaneous 60.01%
2 Technology 7.86%
3 Communication Services 7%
4 Consumer Discretionary 5.21%
5 Healthcare 4.94%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
JKHY icon
5901
Jack Henry & Associates
JKHY
$11.6B
– –
-103
Closed -$8.27K
JNPR
5902
DELISTED
Juniper Networks
JNPR
– –
-6,986
Closed -$175K
OPLN
5903
CALL
Openlane
OPLN
$4.33B
– –
-734
Closed -$2K
KEP icon
5904
Korea Electric Power
KEP
$15.3B
– –
-983
Closed -$22.4K
KEX icon
5905
Kirby Corp
KEX
$7.43B
– –
-61
Closed -$3.33K
KGC icon
5906
Kinross Gold
KGC
$36.6B
– –
-36,133
Closed -$89.7K
KHC icon
5907
Kraft Heinz
KHC
$29.5B
– –
-11,939
Closed -$893K
KIM icon
5908
CALL
Kimco Realty
KIM
$15.8B
– –
-15
Closed -$3K
TBHC
5909
PUT
DELISTED
The Brand House Collective
TBHC
– –
-3
Closed -$1K
KMT icon
5910
CALL
Kennametal
KMT
$2.36B
– –
-184
Closed -$6K
KN icon
5911
CALL
Knowles
KN
$3.03B
– –
-232
Closed -$2K
KN icon
5912
Knowles
KN
$3.03B
– –
-46,543
Closed -$573K
KN icon
5913
PUT
Knowles
KN
$3.03B
– –
-25
Closed -$3K
KOP icon
5914
Koppers
KOP
$904M
$0 ﹤0.01%
+19
New +$339
KW
5915
PUT
DELISTED
Kennedy-Wilson Holdings
KW
– –
-10
Closed -$1K
LAB icon
5916
Standard BioTools
LAB
$269M
– –
-1,781
Closed -$12.8K
LAB icon
5917
PUT
Standard BioTools
LAB
$269M
– –
-75
Closed -$8K
LAMR icon
5918
Lamar Advertising Co
LAMR
$15.3B
– –
-1,254
Closed -$71.6K
LBRDK
5919
CALL
DELISTED
Liberty Broadband Class C
LBRDK
– –
-14
Closed -$3K
HAPN
5920
Happen Inc
HAPN
$2.05B
– –
-7,305
Closed -$307K
LCTX icon
5921
CALL
Lineage Cell Therapeutics
LCTX
$273M
– –
-58
Closed -$1K
LEA icon
5922
CALL
Lear
LEA
$6.64B
– –
-44
Closed -$12K
LECO icon
5923
Lincoln Electric
LECO
$15.1B
– –
-42
Closed -$2.29K
LEG
5924
DELISTED
Leggett & Platt
LEG
– –
-7
Closed -$303
LH icon
5925
Labcorp
LH
$26.5B
– –
-126
Closed -$12.1K
235 236
237
238 239

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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 1,503 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 Miscellaneous at 60% of assets, up from 52% a quarter earlier, followed by Technology and Communication Services.

  • 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 1,503 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.