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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
XEL icon
6351
CALL
Xcel Energy
XEL
$50.4B
– –
-80
Closed -$9K
XES icon
6352
State Street SPDR S&P Oil & Gas Equipment & Services ETF
XES
$382M
– –
-1,340
Closed -$235K
XLB icon
6353
State Street Materials Select Sector SPDR ETF
XLB
$8.33B
– –
-51,962
Closed -$1.08M
XLY icon
6354
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
$21.2B
– –
-4,414
Closed -$172K
XNCR icon
6355
Xencor
XNCR
$1.44B
– –
-1,718
Closed -$20.3K
XNCR icon
6356
PUT
Xencor
XNCR
$1.44B
– –
-20
Closed -$7K
XNET
6357
CALL
Xunlei
XNET
$353M
– –
-96
Closed -$3K
XOMA
6358
CALL
DELISTED
Xoma
XOMA
– –
-8
Closed -$3K
XOP icon
6359
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
$3.46B
– –
-22,152
Closed -$2.68M
XPRO icon
6360
Expro Ltd
XPRO
$1.77B
$0 ﹤0.01%
+4
New +$348
XPP icon
6361
ProShares Ultra FTSE China 50 of PROSHARES TRUST
XPP
$8.71M
– –
-942
Closed -$45K
XRAY icon
6362
Dentsply Sirona
XRAY
$2.51B
– –
-867
Closed -$51.1K
YCS icon
6363
ProShares UltraShort Yen
YCS
$34.5M
– –
-1,520
Closed -$33K
YPF icon
6364
YPF
YPF
$20.4B
– –
-2,873
Closed -$47.6K
ZBRA icon
6365
PUT
Zebra Technologies
ZBRA
$12.3B
– –
-2
Closed -$5K
ZG icon
6366
Zillow
ZG
$6.74B
– –
-11,134
Closed -$290K
ZION icon
6367
Zions Bancorporation
ZION
$10.1B
– –
-5,665
Closed -$130K
TRAW icon
6368
Traws Pharma
TRAW
$7.98M
– –
0
– –
VRN
6369
DELISTED
Veren
VRN
$0 ﹤0.01%
+32
New +$370
SMC
6370
Summit Midstream
SMC
$415M
– –
-54
Closed -$12.9K
SMC
6371
PUT
Summit Midstream
SMC
$415M
– –
-2
Closed -$5K
TXNM
6372
CALL
TXNM Energy Inc
TXNM
$6.45B
– –
-10
Closed -$1K
GAP
6373
The Gap Inc
GAP
$6.75B
– –
-9
Closed -$236
CCEC
6374
Capital Clean Energy Carriers
CCEC
$1.38B
– –
-567
Closed -$14.3K
AIFU
6375
CALL
AIFU Inc
AIFU
$202M
– –
0
– -$68K
253 254
255
256 257

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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.