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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
VFH icon
6301
Vanguard Financials ETF
VFH
$13.6B
– –
-1,680
Closed -$81K
VIAV icon
6302
PUT
Viavi Solutions
VIAV
$8.6B
– –
-172
Closed -$19K
VIG icon
6303
Vanguard Dividend Appreciation ETF
VIG
$113B
– –
-1,372
Closed -$105K
VIRT icon
6304
CALL
Virtu Financial
VIRT
$5.69B
– –
-41
Closed -$3K
VIV icon
6305
Telefônica Brasil
VIV
$18.6B
– –
-11,838
Closed -$115K
VIXY icon
6306
ProShares VIX Short-Term Futures ETF
VIXY
$210M
– –
-2
Closed -$33K
VLY icon
6307
Valley National Bancorp
VLY
$7.75B
– –
-7,569
Closed -$68.8K
VMI icon
6308
Valmont Industries
VMI
$9.29B
– –
-39
Closed -$4.33K
VNCE icon
6309
Vince Holding Corp
VNCE
$82.2M
– –
-485
Closed -$27.2K
VNO icon
6310
CALL
Vornado Realty Trust
VNO
$6.83B
– –
-16
Closed -$3K
VOC icon
6311
VOC Energy
VOC
$55.9M
– –
-19,066
Closed -$52.1K
VOC icon
6312
PUT
VOC Energy
VOC
$55.9M
– –
-200
Closed -$50K
VOD icon
6313
Vodafone
VOD
$39.1B
– –
-410
Closed -$12.8K
VOO icon
6314
Vanguard S&P 500 ETF
VOO
$1.05T
– –
-3,335
Closed -$597K
VOT icon
6315
Vanguard Morningstar Mid-Cap Growth ETF
VOT
$19.5B
– –
-346
Closed -$34K
VPU
6316
Vanguard Utilities ETF
VPU
$8.33B
– –
-67
Closed -$6K
VSAT icon
6317
Viasat
VSAT
$10.4B
– –
-2,675
Closed -$178K
VTI icon
6318
Vanguard Morningstar Total Stock Market ETF
VTI
$693B
– –
-1,812
Closed -$188K
VTLE
6319
DELISTED
Vital Energy
VTLE
– –
-3
Closed -$408
VTOL icon
6320
Bristow Group
VTOL
$1.28B
– –
-343
Closed -$7K
VTOL icon
6321
PUT
Bristow Group
VTOL
$1.28B
– –
-5
Closed -$3K
VTR icon
6322
Ventas
VTR
$46.3B
– –
-900
Closed -$50.6K
VTRS icon
6323
Viatris
VTRS
$19.4B
– –
-147,919
Closed -$7.14M
VUZI icon
6324
CALL
Vuzix
VUZI
$206M
– –
-9
Closed -$2K
VXRT
6325
DELISTED
Vaxart
VXRT
– –
-182
Closed -$3.25K
251 252
253
254 255

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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.