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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
VLY icon
4626
PUT
Valley National Bancorp
VLY
$7.93B
$1K ﹤0.01%
+26
New +$246
VRSN icon
4627
PUT
VeriSign
VRSN
$25.3B
$1K ﹤0.01%
28
+13
+87% +$790
VTR icon
4628
CALL
Ventas
VTR
$48.9B
$1K ﹤0.01%
18
– –
WAB icon
4629
CALL
Wabtec
WAB
$51.1B
$1K ﹤0.01%
1
-14
-93% -$1.26K
WAB icon
4630
PUT
Wabtec
WAB
$51.1B
$1K ﹤0.01%
109
-17
-13% -$1.53K
WABC icon
4631
CALL
Westamerica Bancorp
WABC
$1.39B
$1K ﹤0.01%
10
– –
WEC icon
4632
PUT
WEC Energy
WEC
$37.7B
$1K ﹤0.01%
71
-2
-3% -$105
WELL icon
4633
PUT
Welltower
WELL
$178B
$1K ﹤0.01%
5
-69
-93% -$5.43K
WES icon
4634
CALL
Western Midstream Partners
WES
$19.6B
$1K ﹤0.01%
+3
New +$180
WK icon
4635
Workiva
WK
$2.94B
$1K ﹤0.01%
+77
New +$1.07K
WRLD icon
4636
CALL
World Acceptance Corp
WRLD
$950M
$1K ﹤0.01%
+8
New +$646
WSR
4637
CALL
DELISTED
Whitestone REIT
WSR
$1K ﹤0.01%
+9
New +$141
WWW icon
4638
PUT
Wolverine World Wide
WWW
$1.54B
$1K ﹤0.01%
+53
New +$1.57K
XEL icon
4639
CALL
Xcel Energy
XEL
$51B
$1K ﹤0.01%
+15
New +$536
XIN
4640
PUT
DELISTED
Xinyuan Real Estate
XIN
$1K ﹤0.01%
+10
New +$252
XYL icon
4641
CALL
Xylem
XYL
$28.5B
$1K ﹤0.01%
+20
New +$705
ZBH icon
4642
PUT
Zimmer Biomet
ZBH
$17.7B
$1K ﹤0.01%
28
-177
-86% -$20.2K
TRAW icon
4643
Traws Pharma
TRAW
$7.43M
– –
0
– –
TRAW icon
4644
PUT
Traws Pharma
TRAW
$7.43M
– –
0
– –
SMC
4645
PUT
Summit Midstream
SMC
$421M
– –
-2
Closed -$1.06K
XIFR
4646
XPLR Infrastructure LP
XIFR
$1.18B
$1K ﹤0.01%
42
-71
-63% -$2.82K
SGI
4647
PUT
Somnigroup International
SGI
$15.1B
$1K ﹤0.01%
24
– –
QVCGA
4648
PUT
DELISTED
QVC Group Inc Series A
QVCGA
– –
-2
Closed -$2.79K
EQC
4649
CALL
DELISTED
Equity Commonwealth
EQC
$1K ﹤0.01%
11
-3
-21% -$79
SEEL
4650
DELISTED
Seelos Therapeutics, Inc. Common Stock
SEEL
– –
0
– –
184 185
186
187 188

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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.