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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
OSK icon
6051
PUT
Oshkosh
OSK
$9.7B
– –
-7
Closed -$2K
OSIS icon
6052
OSI Systems
OSIS
$3.25B
– –
-4,814
Closed -$319K
OUSA icon
6053
ALPS O'Shares U.S. Quality Dividend ETF
OUSA
$742M
– –
-700
Closed -$17K
PAA icon
6054
Plains All American Pipeline
PAA
$18.1B
– –
-49,961
Closed -$1.05M
PAG icon
6055
Penske Automotive Group
PAG
$14.4B
– –
-429
Closed -$15.3K
PARR icon
6056
CALL
Par Pacific Holdings
PARR
$4.07B
– –
-4
Closed -$1K
PARR icon
6057
Par Pacific Holdings
PARR
$4.07B
– –
-47
Closed -$1K
PAYX icon
6058
Paychex
PAYX
$43.3B
– –
-17,438
Closed -$878K
PBPB
6059
DELISTED
Potbelly
PBPB
– –
-879
Closed -$10.5K
PBR.A icon
6060
Petrobras Class A
PBR.A
$118B
– –
-9,700
Closed -$32K
PCAR icon
6061
PACCAR
PCAR
$65.6B
– –
-7,313
Closed -$245K
PCTY icon
6062
CALL
Paylocity
PCTY
$8.08B
– –
-12
Closed -$2K
PCTY icon
6063
Paylocity
PCTY
$8.08B
– –
-1,724
Closed -$53.7K
PCYO icon
6064
Pure Cycle
PCYO
$270M
– –
-1,430
Closed -$6K
PCYO icon
6065
PUT
Pure Cycle
PCYO
$270M
– –
-30
Closed -$1K
PDFS icon
6066
PDF Solutions
PDFS
$1.93B
– –
-400
Closed -$4.38K
PEGA icon
6067
Pegasystems
PEGA
$6.14B
– –
-414
Closed -$4.97K
PENN icon
6068
CALL
PENN Entertainment
PENN
$2.29B
– –
-89
Closed -$3K
PEO
6069
CALL
Adams Natural Resources Fund
PEO
$810M
– –
-10
Closed -$2K
PETS icon
6070
PUT
PetMed Express
PETS
$39.2M
– –
-44
Closed -$2K
PGR icon
6071
Progressive
PGR
$127B
– –
-2,179
Closed -$69.6K
IFLN
6072
Invesco Bloomberg Enhanced Fallen Angels ETF
IFLN
$301M
– –
-109
Closed -$1K
PHG icon
6073
PUT
Philips
PHG
$25.3B
– –
-545
Closed -$7K
PHIO icon
6074
Phio Pharmaceuticals
PHIO
$12.5M
– –
0
– –
PHM icon
6075
Pultegroup
PHM
$23.7B
– –
-2,809
Closed -$47.9K
241 242
243
244 245

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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.