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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
NUE icon
6026
Nucor
NUE
$59.2B
– –
-5,984
Closed -$244K
NUS icon
6027
Nu Skin
NUS
$236M
– –
-2,597
Closed -$85.9K
NUWE icon
6028
Nuwellis
NUWE
$2.48M
– –
0
– –
NVDA icon
6029
NVIDIA
NVDA
$5.56T
– –
-280,360
Closed -$214K
NVO
6030
Novo Nordisk
NVO
$206B
– –
-15,250
Closed -$409K
NWS icon
6031
News Corp Class B
NWS
$18.2B
– –
-134
Closed -$1.66K
NWS icon
6032
PUT
News Corp Class B
NWS
$18.2B
– –
-9
Closed -$6K
NXPI icon
6033
NXP Semiconductors
NXPI
$57.5B
– –
-104,172
Closed -$7.77M
NXST icon
6034
CALL
Nexstar Media Group
NXST
$5.45B
– –
-11
Closed -$5K
ADAM
6035
Adamas Trust
ADAM
$876M
– –
-1,350
Closed -$28K
OCUL icon
6036
Ocular Therapeutix
OCUL
$2.34B
– –
-4,810
Closed -$36.4K
OESX icon
6037
Orion Energy Systems
OESX
$102M
$0 ﹤0.01%
13
-127
-91% -$2.08K
OESX icon
6038
PUT
Orion Energy Systems
OESX
$102M
– –
-1
Closed -$3K
OFG icon
6039
PUT
OFG Bancorp
OFG
$2.25B
– –
-941
Closed -$64K
OFIX icon
6040
Orthofix Medical
OFIX
$378M
– –
-100
Closed -$3.92K
OGS icon
6041
ONE Gas
OGS
$5.02B
– –
-1,248
Closed -$70.4K
OKE icon
6042
Oneok
OKE
$60.2B
– –
-12,144
Closed -$299K
OLLI icon
6043
Ollie's Bargain Outlet
OLLI
$4.55B
– –
-1,699
Closed -$34.9K
OMCL icon
6044
Omnicell
OMCL
$1.57B
– –
-36
Closed -$1K
OMEX icon
6045
Odyssey Marine Exploration
OMEX
$47.9M
$0 ﹤0.01%
16
– –
ONB icon
6046
Old National Bancorp
ONB
$9.96B
– –
-392
Closed -$5K
ON icon
6047
ON Semiconductor
ON
$29B
– –
-1,531
Closed -$13.1K
ORCL icon
6048
Oracle
ORCL
$457B
– –
-45,284
Closed -$1.68M
ORMP icon
6049
CALL
Oramed Pharmaceuticals
ORMP
$208M
– –
-12
Closed -$2K
ORN icon
6050
Orion Group Holdings
ORN
$376M
– –
-89
Closed -$350
240 241
242
243 244

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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.