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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
MWA icon
6001
Mueller Water Products
MWA
$3.89B
– –
-63
Closed -$539
MX icon
6002
CALL
Magnachip Semiconductor
MX
$133M
– –
-192
Closed -$8K
MYE icon
6003
Myers Industries
MYE
$1.16B
– –
-381
Closed -$5K
NCLH icon
6004
PUT
Norwegian Cruise Line
NCLH
$8.59B
– –
-27
Closed -$5K
NCMI icon
6005
National CineMedia
NCMI
$350M
– –
-60
Closed -$8.98K
NDLS icon
6006
CALL
Noodles & Co
NDLS
$72.8M
– –
-2
Closed -$11K
NEM icon
6007
Newmont
NEM
$101B
– –
-7,214
Closed -$167K
NEON icon
6008
CALL
Neonode
NEON
$13.3M
– –
-7
Closed -$1K
NGD
6009
DELISTED
New Gold Inc
NGD
– –
-6,018
Closed -$17.9K
NGG icon
6010
National Grid
NGG
$82B
– –
-1,768
Closed -$118K
NMIH icon
6011
CALL
NMI Holdings
NMIH
$3.16B
– –
-38
Closed -$1K
NNN icon
6012
NNN REIT
NNN
$9.25B
$0 ﹤0.01%
+15
New +$652
NNN icon
6013
PUT
NNN REIT
NNN
$9.25B
– –
-58
Closed -$1K
NOAH
6014
Noah Holdings
NOAH
$593M
– –
-336
Closed -$8.21K
NOG icon
6015
CALL
Northern Oil and Gas
NOG
$2.37B
– –
-12
Closed -$1K
NOG icon
6016
PUT
Northern Oil and Gas
NOG
$2.37B
– –
-2
Closed -$3K
NRP icon
6017
Natural Resource Partners
NRP
$1.29B
– –
-1,230
Closed -$12.1K
NRT
6018
North European Oil Royalty Trust
NRT
$78.2M
– –
-100
Closed -$802
NRT
6019
PUT
North European Oil Royalty Trust
NRT
$78.2M
– –
-9
Closed -$1K
NSIT icon
6020
Insight Enterprises
NSIT
$3.49B
– –
-128
Closed -$3.22K
NTCT icon
6021
PUT
NETSCOUT
NTCT
$2.82B
– –
-45
Closed -$2K
NTGR icon
6022
NETGEAR
NTGR
$672M
– –
-5,151
Closed -$198K
NTRA icon
6023
Natera
NTRA
$37.9B
– –
-119
Closed -$1.01K
NTWK icon
6024
CALL
NetSol Technologies
NTWK
$51.8M
– –
-25
Closed -$2K
NTWK icon
6025
NetSol Technologies
NTWK
$51.8M
– –
-178
Closed -$1.24K
239 240
241
242 243

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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.