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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
VXUS icon
6326
Vanguard Total International Stock ETF
VXUS
$153B
– –
-62
Closed -$2.64K
VYX icon
6327
NCR Voyix
VYX
$1.05B
– –
-2,051
Closed -$29.4K
WAB icon
6328
Wabtec
WAB
$50.1B
– –
-9,598
Closed -$665K
WAB icon
6329
PUT
Wabtec
WAB
$50.1B
– –
-152
Closed -$122K
WAFD icon
6330
WaFd
WAFD
$2.71B
– –
-414
Closed -$8.96K
WAL icon
6331
Western Alliance Bancorporation
WAL
$9B
– –
-436
Closed -$13.6K
WAT icon
6332
PUT
Waters Corp
WAT
$37.7B
– –
-9
Closed -$1K
WD icon
6333
Walker & Dunlop
WD
$1.6B
– –
-37
Closed -$875
WCN
6334
Waste Connections
WCN
$42.5B
– –
-417
Closed -$16.8K
WEC icon
6335
WEC Energy
WEC
$37.4B
– –
-1,118
Closed -$62.6K
WGO icon
6336
PUT
Winnebago Industries
WGO
$847M
– –
-32
Closed -$1K
WHR icon
6337
Whirlpool
WHR
$2.31B
– –
-4,326
Closed -$645K
WING icon
6338
CALL
Wingstop
WING
$3.67B
– –
-119
Closed -$2K
WIT icon
6339
Wipro
WIT
$17.5B
– –
-1,461
Closed -$3.19K
WK icon
6340
CALL
Workiva
WK
$2.84B
– –
-3
Closed -$1K
WLKP icon
6341
Westlake Chemical Partners
WLKP
$776M
– –
-14,099
Closed -$262K
WLKP icon
6342
PUT
Westlake Chemical Partners
WLKP
$776M
– –
-44
Closed -$2K
WMT icon
6343
Walmart Inc
WMT
$860B
– –
-15,051
Closed -$330K
WOR icon
6344
PUT
Worthington Enterprises
WOR
$2.7B
– –
-18
Closed -$2K
WRLD icon
6345
World Acceptance Corp
WRLD
$836M
– –
-9,597
Closed -$338K
WTRG icon
6346
Essential Utilities
WTRG
$11.2B
– –
-8,410
Closed -$250K
WWD icon
6347
PUT
Woodward
WWD
$24.6B
– –
-10
Closed -$2K
WWW icon
6348
Wolverine World Wide
WWW
$1.5B
– –
-1,381
Closed -$24.1K
WWW icon
6349
PUT
Wolverine World Wide
WWW
$1.5B
– –
-18
Closed -$2K
WY icon
6350
Weyerhaeuser
WY
$17B
– –
-5,571
Closed -$149K
252 253
254
255 256

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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.