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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
PSMT icon
6101
CALL
Pricesmart
PSMT
$5.76B
– –
-8
Closed -$3K
PST icon
6102
ProShares Trust UltraShort Lehman 7-10 Year Treasury
PST
$10.6M
– –
-25
Closed –
PSX icon
6103
Phillips 66
PSX
$83B
– –
-36,302
Closed -$2.95M
PTCT icon
6104
PTC Therapeutics
PTCT
$6.51B
– –
-3,263
Closed -$56.6K
BCIC
6105
BCP Investment Corp
BCIC
$86M
– –
-420
Closed -$13.4K
BCIC
6106
PUT
BCP Investment Corp
BCIC
$86M
– –
-4
Closed -$8K
PUK icon
6107
CALL
Prudential
PUK
$36.2B
– –
-89
Closed -$2K
PXJ icon
6108
Invesco Oil & Gas Services ETF
PXJ
$66.7M
– –
-19
Closed -$1K
PYPL icon
6109
PayPal
PYPL
$49.4B
– –
-33,678
Closed -$1.22M
QCOM icon
6110
Qualcomm
QCOM
$180B
– –
-11,586
Closed -$565K
QQQ icon
6111
Invesco QQQ Trust
QQQ
$460B
– –
-4,941
Closed -$513K
QRVO icon
6112
Qorvo
QRVO
$7.65B
– –
-4,251
Closed -$185K
QSR icon
6113
Restaurant Brands International
QSR
$25.1B
– –
-5,914
Closed -$206K
R icon
6114
PUT
Ryder
R
$10.4B
– –
-16
Closed -$33K
RBBN icon
6115
CALL
Ribbon Communications
RBBN
$356M
– –
-37
Closed -$8K
RCKT icon
6116
CALL
Rocket Pharmaceuticals
RCKT
$358M
– –
-14
Closed -$3K
RCL icon
6117
Royal Caribbean
RCL
$76B
– –
-5,920
Closed -$462K
RDI icon
6118
CALL
Reading International Class A
RDI
$32.5M
– –
-50
Closed -$6K
RDNT icon
6119
CALL
RadNet
RDNT
$4.8B
– –
-35
Closed -$1K
RDNT icon
6120
RadNet
RDNT
$4.8B
– –
-6,726
Closed -$37.4K
RDNT icon
6121
PUT
RadNet
RDNT
$4.8B
– –
-206
Closed -$4K
RDUS
6122
DELISTED
Radius Recycling
RDUS
– –
-2,713
Closed -$40.1K
RDUS
6123
PUT
DELISTED
Radius Recycling
RDUS
– –
-105
Closed -$11K
RGS icon
6124
PUT
Regis Corp
RGS
$68.8M
– –
-1
Closed -$3K
RITM icon
6125
CALL
Rithm Capital
RITM
$5.01B
– –
-66
Closed -$1K
243 244
245
246 247

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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.