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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
SMCI icon
6176
Super Micro Computer
SMCI
$20.2B
– –
-36,400
Closed -$109K
SMG icon
6177
ScottsMiracle-Gro
SMG
$3.93B
– –
-3,164
Closed -$215K
SMTC icon
6178
Semtech
SMTC
$12.9B
– –
-4,617
Closed -$88.9K
SNBR
6179
CALL
DELISTED
Sleep Number
SNBR
– –
-82
Closed -$1K
SNCR
6180
CALL
DELISTED
Synchronoss Technologies
SNCR
– –
-2
Closed -$1K
SNN icon
6181
CALL
Smith & Nephew
SNN
$12.5B
– –
-18
Closed -$1K
SNX icon
6182
TD Synnex
SNX
$19.8B
– –
-266
Closed -$11.9K
SO icon
6183
Southern Company
SO
$109B
– –
-3,558
Closed -$173K
SOL
6184
CALL
DELISTED
Emeren Group
SOL
– –
-7
Closed -$2K
SOL
6185
PUT
DELISTED
Emeren Group
SOL
– –
-1
Closed -$2K
SPEU icon
6186
PUT
State Street SPDR Portfolio Europe ETF
SPEU
$707M
– –
-33
Closed -$10K
SPG icon
6187
Simon Property Group
SPG
$73B
– –
-731
Closed -$140K
SPNT icon
6188
SiriusPoint
SPNT
$2.91B
– –
-4,993
Closed -$56.6K
SPTN
6189
PUT
DELISTED
SpartanNash
SPTN
– –
-3
Closed -$1K
SPTS icon
6190
CALL
State Street SPDR Portfolio Short Term Treasury ETF
SPTS
$6.06B
– –
-175
Closed -$21K
SPTS icon
6191
PUT
State Street SPDR Portfolio Short Term Treasury ETF
SPTS
$6.06B
– –
-30
Closed -$1K
SPXS icon
6192
Direxion Daily S&P 500 Bear 3x ETF
SPXS
$332M
– –
-45
Closed -$380K
SPXU icon
6193
ProShares UltraPro Short S&P 500
SPXU
$437M
– –
-68
Closed -$864K
SPY icon
6194
State Street SPDR S&P 500 ETF Trust
SPY
$777B
– –
-3,500
Closed -$683K
SQQQ icon
6195
ProShares UltraPro Short QQQ
SQQQ
$2.14B
– –
0
– -$44K
SR icon
6196
Spire
SR
$4.88B
$0 ﹤0.01%
9
-58
-87% -$3.7K
SRDX
6197
DELISTED
Surmodics
SRDX
– –
-1,946
Closed -$39K
SRDX
6198
PUT
DELISTED
Surmodics
SRDX
– –
-20
Closed -$19K
SRE icon
6199
Sempra
SRE
$61.1B
– –
-258
Closed -$12.4K
SSNC icon
6200
SS&C Technologies
SSNC
$16.1B
– –
-1,216
Closed -$41K
246 247
248
249 250

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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.