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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
PII icon
801
Polaris
PII
$3.56B
$230K 0.02%
2,342
-17,990
-88% -$1.56M
ICPT
802
PUT
DELISTED
Intercept Pharmaceuticals, Inc.
ICPT
$230K 0.02%
208
+124
+148% +$14.6K
CLR
803
CALL
DELISTED
CONTINENTAL RESOURCES INC.
CLR
$230K 0.02%
581
+414
+248% +$9.35K
AGCO icon
804
AGCO
AGCO
$9.34B
$229K 0.02%
+4,618
New +$222K
CPRI icon
805
PUT
Capri Holdings
CPRI
$1.54B
$229K 0.02%
432
-198
-31% -$9.78K
PACB icon
806
Pacific Biosciences
PACB
$420M
$229K 0.02%
26,994
-9,943
-27% -$97.8K
REGN icon
807
CALL
Regeneron Pharmaceuticals
REGN
$85.2B
$229K 0.02%
706
+434
+160% +$179K
NTI
808
PUT
DELISTED
NORTHERN TIER ENERGY LP CLASS A
NTI
$229K 0.02%
321
-275
-46% -$6.63K
HRTX icon
809
Heron Therapeutics
HRTX
$65.3M
$227K 0.02%
11,956
+9,331
+355% +$184K
HSIC icon
810
Henry Schein
HSIC
$10B
$227K 0.02%
+3,363
New +$210K
CMI icon
811
CALL
Cummins
CMI
$77.2B
$226K 0.02%
386
-149
-28% -$14.4K
EXPE icon
812
CALL
Expedia Group
EXPE
$35.8B
$226K 0.02%
1,010
+401
+66% +$42.8K
XONE
813
CALL
DELISTED
The ExOne Company
XONE
$225K 0.02%
460
+328
+248% +$3.13K
NE
814
PUT
DELISTED
Noble Corporation
NE
$225K 0.02%
1,323
+934
+240% +$8.48K
ALR
815
PUT
DELISTED
Alere Inc
ALR
$225K 0.02%
1,307
+1,284
+5,583% +$61.5K
AMBA icon
816
CALL
Ambarella
AMBA
$2.78B
$224K 0.02%
710
+122
+21% +$5.05K
PFF icon
817
iShares Preferred and Income Securities ETF
PFF
$12.9B
$224K 0.02%
5,740
+5,218
+1,000% +$199K
TMV icon
818
Direxion Daily 20+ Year Treasury Bear 3X ETF
TMV
$201M
$224K 0.02%
4,245
+3,469
+447% +$199K
BHI
819
PUT
DELISTED
Baker Hughes
BHI
$224K 0.02%
509
-129
-20% -$5.57K
EDZ icon
820
Direxion Daily MSCI Emerging Markets Bear 3X ETF
EDZ
$18.9M
$223K 0.02%
128
+100
+357% +$252K
LMT icon
821
CALL
Lockheed Martin
LMT
$121B
$223K 0.02%
246
-15
-6% -$3.23K
HD icon
822
PUT
Home Depot
HD
$320B
$222K 0.02%
2,928
+1,406
+92% +$175K
AMBA icon
823
Ambarella
AMBA
$2.78B
$220K 0.02%
+4,940
New +$204K
CHAU icon
824
Direxion Daily CSI 300 China A Share Bull 2X ETF
CHAU
$94.2M
$219K 0.02%
+11,884
New +$192K
CLDX icon
825
PUT
Celldex Therapeutics
CLDX
$3.12B
$219K 0.02%
31
+22
+244% +$2.48K
31 32
33
34 35

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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.