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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
UDR icon
6276
UDR
UDR
$12.8B
– –
-65
Closed -$2K
UFI icon
6277
UNIFI
UFI
$114M
– –
-114
Closed -$3K
UFPI icon
6278
CALL
UFP Industries
UFPI
$4.87B
– –
-3
Closed -$1K
UHS icon
6279
Universal Health Services
UHS
$9.16B
– –
-432
Closed -$48.6K
UIS icon
6280
Unisys
UIS
$238M
– –
-4,578
Closed -$43.6K
UL icon
6281
PUT
Unilever
UL
$130B
– –
-4
Closed -$1K
UMH
6282
CALL
UMH Properties
UMH
$1.31B
– –
-92
Closed -$3K
UNIT
6283
Uniti Group
UNIT
$2.68B
– –
-9,327
Closed -$180K
UNP icon
6284
Union Pacific
UNP
$181B
– –
-1,337
Closed -$103K
UPS icon
6285
United Parcel Service
UPS
$97B
– –
-4,281
Closed -$416K
URBN icon
6286
PUT
Urban Outfitters
URBN
$5.96B
– –
-15
Closed -$12K
USO icon
6287
United States Oil Fund
USO
$2.5B
– –
-15,169
Closed -$1.13M
UUUU icon
6288
Energy Fuels
UUUU
$3B
– –
-487
Closed -$1.13K
UYM icon
6289
ProShares Ultra Materials
UYM
$37.1M
– –
-9,792
Closed -$88K
V icon
6290
Visa
V
$669B
– –
-51,812
Closed -$3.76M
VAC icon
6291
Marriott Vacations Worldwide
VAC
$3.22B
– –
-767
Closed -$43.4K
VALE icon
6292
Vale
VALE
$63.1B
– –
-1,081
Closed -$3K
VATE icon
6293
INNOVATE Corp
VATE
$115M
– –
-10
Closed –
VBK icon
6294
Vanguard Small-Cap Growth ETF
VBK
$23.4B
– –
-502
Closed -$60K
VBR icon
6295
Vanguard Small-Cap Value ETF
VBR
$36.8B
– –
-88
Closed -$8K
VC icon
6296
CALL
Visteon
VC
$2.67B
– –
-12
Closed -$17K
VEA icon
6297
Vanguard FTSE Developed Markets ETF
VEA
$226B
– –
-7
Closed -$242
VEA icon
6298
PUT
Vanguard FTSE Developed Markets ETF
VEA
$226B
– –
-8
Closed -$1K
VECO icon
6299
PUT
Veeco
VECO
$3.33B
– –
-14
Closed -$14K
VERU icon
6300
Veru
VERU
$37.1M
– –
-10
Closed –
250 251
252
253 254

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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.