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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
+2.14%
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
$860M
AUM Growth
+$34.4M
Cap. Flow
-$17.8M
Cap. Flow %
-2.07%
Top 10 Hldgs %
14.96%
Holding
6,670
New
1,973
Increased
1,386
Reduced
1,513
Closed
1,643

Top Buys

Rank Stock Value
1
GOOG icon
Alphabet (Google) Class C
GOOG
+$40.1M
2
BRK.B icon
Berkshire Hathaway Class B
BRK.B
+$12.5M
3
BABA icon
Alibaba
BABA
+$10.5M
4
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$9.89M
5
INTC icon
Intel
INTC
+$9.83M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$35.7M
2
GILD icon
Gilead Sciences
GILD
+$32.3M
3
AMZN icon
Amazon
AMZN
+$29M
4
BKNG icon
Booking.com
BKNG
+$28.4M
5
BIDU icon
Baidu
BIDU
+$13.3M

Sector Composition

Rank Sector Weight
1 Communication Services 7.76%
2 Consumer Discretionary 7.62%
3 Healthcare 7.24%
4 Technology 6.95%
5 Financials 4.83%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MWA icon
4526
Mueller Water Products
MWA
$3.92B
$1K ﹤0.01%
+122
New +$1.17K
NDLS icon
4527
CALL
Noodles & Co
NDLS
$90.5M
$1K ﹤0.01%
4
– –
NG icon
4528
CALL
NovaGold Resources
NG
$2.6B
$1K ﹤0.01%
35
+21
+150% +$74
NKTR icon
4529
CALL
Nektar Therapeutics
NKTR
$2.39B
$1K ﹤0.01%
5
– –
NNN icon
4530
PUT
NNN REIT
NNN
$9.39B
$1K ﹤0.01%
+9
New +$373
NOG icon
4531
PUT
Northern Oil and Gas
NOG
$2.3B
$1K ﹤0.01%
1
-1
-50% -$72
NOK icon
4532
CALL
Nokia
NOK
$50.8B
$1K ﹤0.01%
16
-59
-79% -$460
NSIT icon
4533
PUT
Insight Enterprises
NSIT
$3.55B
$1K ﹤0.01%
+58
New +$1.49K
NTAP icon
4534
CALL
NetApp
NTAP
$32.9B
$1K ﹤0.01%
47
-48
-51% -$1.83K
NWG icon
4535
NatWest
NWG
$71.5B
$1K ﹤0.01%
+131
New +$1.59K
NWL icon
4536
PUT
Newell Brands
NWL
$2.16B
$1K ﹤0.01%
+12
New +$462
ORMP icon
4537
CALL
Oramed Pharmaceuticals
ORMP
$165M
$1K ﹤0.01%
+19
New +$92
OSK icon
4538
CALL
Oshkosh
OSK
$9.67B
$1K ﹤0.01%
2
-5
-71% -$229
OTEX icon
4539
CALL
Open Text
OTEX
$5.43B
$1K ﹤0.01%
28
+20
+250% +$572
OUT icon
4540
CALL
Outfront Media
OUT
$5.64B
$1K ﹤0.01%
+17
New +$483
OXM icon
4541
PUT
Oxford Industries
OXM
$577M
$1K ﹤0.01%
+28
New +$1.58K
PAA icon
4542
CALL
Plains All American Pipeline
PAA
$17.4B
$1K ﹤0.01%
46
-6
-12% -$298
PAGP icon
4543
Plains GP Holdings
PAGP
$5.23B
$1K ﹤0.01%
+14
New +$1.02K
PALI icon
4544
CALL
Palisade Bio
PALI
$339M
– –
0
– –
PDFS icon
4545
PDF Solutions
PDFS
$2.13B
$1K ﹤0.01%
+89
New +$1.55K
PETS icon
4546
CALL
PetMed Express
PETS
$42.5M
$1K ﹤0.01%
+17
New +$263
PHX
4547
DELISTED
PHX Minerals
PHX
$1K ﹤0.01%
+69
New +$1.44K
PKE icon
4548
CALL
Park Aerospace
PKE
$745M
$1K ﹤0.01%
+25
New +$544
PKX icon
4549
CALL
POSCO
PKX
$15.8B
$1K ﹤0.01%
+39
New +$2.37K
PLD icon
4550
CALL
Prologis
PLD
$138B
$1K ﹤0.01%
10
-94
-90% -$4.12K
180 181
182
183 184

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Simplex Trading's Q1 2015 Portfolio in Review

As of Q1 2015, Simplex Trading held 6,670 positions worth $860M, up 4.2% from $826M the previous quarter. Its ten largest holdings account for 15% of the portfolio.

Simplex Trading's Q1 2015 filing shows 1,973 new, 1,386 increased, 1,513 reduced and 1,643 closed positions. Its largest new stake was Alphabet (Google) Class C: 1,497,580 shares worth $41.4M. The largest sale was Apple, an estimated $35.7M.

By sector, the portfolio is most concentrated in Communication Services at 7.8% of assets, up from 4.8% a quarter earlier, followed by Consumer Discretionary and Healthcare.

  • Simplex Trading's largest Q1 2015 buy was Alphabet (Google) Class C: 1,497,580 shares worth $41.4M.
  • Simplex Trading added most to Alibaba in Q1 2015, an estimated $10.5M increase.
  • Simplex Trading's biggest Q1 2015 reduction was Apple, cutting an estimated $35.7M.
  • Simplex Trading fully exited Amazon in Q1 2015, selling an estimated $29M.
  • Simplex Trading's ten largest holdings make up 15% of its $860M portfolio in Q1 2015.
  • Simplex Trading opened 1,973 new positions and closed 1,643 in Q1 2015.
  • Simplex Trading's portfolio value rose 4.2% quarter-over-quarter to $860M.

Based on Simplex Trading's 13F filing for Q1 2015, filed 21 Apr 2015.