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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
LII icon
5926
Lennox International
LII
$18.9B
– –
-6,578
Closed -$814K
LITB
5927
PUT
LightInTheBox
LITB
$59M
– –
-12
Closed -$15K
LLY icon
5928
Eli Lilly
LLY
$1.07T
– –
-5,366
Closed -$406K
LNN icon
5929
CALL
Lindsay Corp
LNN
$1.16B
– –
-20
Closed -$7K
LNT icon
5930
Alliant Energy
LNT
$19.3B
– –
-532
Closed -$17.9K
LNT icon
5931
PUT
Alliant Energy
LNT
$19.3B
– –
-10
Closed -$1K
LOCO icon
5932
El Pollo Loco
LOCO
$484M
– –
-11,972
Closed -$151K
LOGI icon
5933
CALL
Logitech
LOGI
$15.2B
– –
-80
Closed -$4K
LOGI icon
5934
PUT
Logitech
LOGI
$15.2B
– –
-59
Closed -$4K
LPCN icon
5935
CALL
Lipocine
LPCN
$18.1M
– –
-1
Closed -$2K
LPL icon
5936
LG Display
LPL
$3.23B
– –
-4,283
Closed -$41.5K
LPL icon
5937
PUT
LG Display
LPL
$3.23B
– –
-119
Closed -$6K
LPSN icon
5938
LivePerson
LPSN
$19.6M
– –
-7
Closed -$576
LPX icon
5939
Louisiana-Pacific
LPX
$5.17B
– –
-1,167
Closed -$18.4K
LPX icon
5940
PUT
Louisiana-Pacific
LPX
$5.17B
– –
-316
Closed -$14K
LSTA icon
5941
Lisata Therapeutics
LSTA
$16.2M
– –
-33
Closed -$5K
LSTA icon
5942
PUT
Lisata Therapeutics
LSTA
$16.2M
– –
0
– -$20K
LSTR icon
5943
Landstar System
LSTR
$6.85B
– –
-1,505
Closed -$88K
LSTR icon
5944
PUT
Landstar System
LSTR
$6.85B
– –
-24
Closed -$5K
LXP icon
5945
PUT
LXP Industrial Trust
LXP
$3.52B
– –
-9
Closed -$33K
MANU icon
5946
PUT
Manchester United
MANU
$3.93B
– –
-40
Closed -$1K
MATX icon
5947
CALL
Matsons
MATX
$6.48B
– –
-5
Closed -$1K
MATX icon
5948
PUT
Matsons
MATX
$6.48B
– –
-8
Closed -$1K
MBB icon
5949
iShares MBS ETF
MBB
$39.1B
– –
-543
Closed -$58K
MBI icon
5950
MBIA
MBI
$297M
– –
-13,225
Closed -$96.3K
236 237
238
239 240

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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.