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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
SCHL icon
6151
PUT
Scholastic
SCHL
$857M
– –
-36
Closed -$5K
SCL icon
6152
Stepan Co
SCL
$1.31B
– –
-127
Closed -$6K
SHOE
6153
CALL
Shoe Station Group
SHOE
$388M
– –
-20
Closed -$3K
SDY icon
6154
State Street SPDR S&P Dividend ETF
SDY
$21.6B
– –
-612
Closed -$45K
SEE
6155
DELISTED
Sealed Air
SEE
– –
-2,036
Closed -$89.1K
SF
6156
CALL
Stifel
SF
$12.1B
– –
-439
Closed -$3K
SF
6157
Stifel
SF
$12.1B
– –
-4,887
Closed -$69.4K
SFL icon
6158
SFL Corp
SFL
$1.58B
– –
-3,505
Closed -$47.1K
SFM icon
6159
Sprouts Farmers Market
SFM
$6.91B
– –
-5,972
Closed -$154K
SGMO
6160
DELISTED
SANGAMO THERAPEUTICS INC
SGMO
– –
-12,368
Closed -$74.3K
SHAK icon
6161
Shake Shack
SHAK
$2.26B
– –
-2,824
Closed -$102K
SHEN icon
6162
Shenandoah Telecom
SHEN
$635M
– –
-340
Closed -$7.81K
SHO icon
6163
PUT
Sunstone Hotel Investors
SHO
$2.17B
– –
-13
Closed -$2K
SID icon
6164
Companhia Siderúrgica Nacional
SID
$1.41B
– –
-765
Closed –
SID icon
6165
PUT
Companhia Siderúrgica Nacional
SID
$1.41B
– –
-284
Closed -$29K
SIGI icon
6166
CALL
Selective Insurance
SIGI
$5.85B
– –
-48
Closed -$12K
SIRI icon
6167
SiriusXM
SIRI
$10.1B
– –
-772
Closed -$28.8K
SJM icon
6168
PUT
J.M. Smucker
SJM
$12.4B
– –
-19
Closed -$3K
SKF icon
6169
ProShares UltraShort Financials
SKF
$10.7M
– –
-804
Closed -$589K
SKM icon
6170
PUT
SK Telecom
SKM
$13.5B
– –
-6
Closed -$3K
SKYY icon
6171
First Trust Cloud Computing ETF
SKYY
$2.69B
– –
-548
Closed -$16K
SLB icon
6172
SLB Ltd
SLB
$70.6B
– –
-10,737
Closed -$755K
SLF icon
6173
CALL
Sun Life Financial
SLF
$45.1B
– –
-20
Closed -$1K
SLGN icon
6174
CALL
Silgan Holdings
SLGN
$4.8B
– –
-44
Closed -$1K
SLV icon
6175
iShares Silver Trust
SLV
$27.8B
– –
-41,350
Closed -$587K
245 246
247
248 249

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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.