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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
FNF icon
5126
CALL
Fidelity National Financial
FNF
$13.9B
– –
-12
Closed -$4K
FNF icon
5127
PUT
Fidelity National Financial
FNF
$13.9B
– –
-32
Closed -$3K
FSK icon
5128
FS KKR Capital
FSK
$2.98B
$0 ﹤0.01%
10
-240
-96% -$9.35K
FSM icon
5129
CALL
Fortuna Silver Mines
FSM
$2.59B
– –
-38
Closed -$2K
FSS icon
5130
CALL
Federal Signal
FSS
$7.25B
– –
-2
Closed -$1K
FSS icon
5131
Federal Signal
FSS
$7.25B
$0 ﹤0.01%
31
-51
-62% -$794
FSTR icon
5132
Foster
FSTR
$443M
– –
-771
Closed -$36.6K
FSTR icon
5133
PUT
Foster
FSTR
$443M
– –
-12
Closed -$3K
FTCS icon
5134
CALL
First Trust Capital Strength ETF
FTCS
$7.88B
– –
-18
Closed -$1K
FTI icon
5135
TechnipFMC
FTI
$30.6B
– –
-986
Closed -$28.9K
FUN icon
5136
PUT
Cedar Fair
FUN
$1.78B
– –
-14
Closed -$1K
FWONA icon
5137
CALL
Liberty Media Series A
FWONA
$22.3B
– –
-46
Closed -$8K
FWONA icon
5138
Liberty Media Series A
FWONA
$22.3B
– –
-13,386
Closed -$335K
FWONA icon
5139
PUT
Liberty Media Series A
FWONA
$22.3B
– –
-94
Closed -$18K
FWONK icon
5140
Liberty Media Series C
FWONK
$24.3B
– –
-12,715
Closed -$315K
FWRD icon
5141
Forward Air
FWRD
$482M
– –
-396
Closed -$20.2K
FXD icon
5142
PUT
First Trust Consumer Discretionary AlphaDEX Fund
FXD
$263M
– –
-21
Closed -$1K
GAIN icon
5143
Gladstone Investment Corp
GAIN
$635M
– –
-2,700
Closed -$19K
GAIN icon
5144
PUT
Gladstone Investment Corp
GAIN
$635M
– –
-27
Closed -$2K
GALT icon
5145
PUT
Galectin Therapeutics
GALT
$229M
– –
-97
Closed -$89K
GASS icon
5146
StealthGas
GASS
$328M
– –
-4,116
Closed -$26K
GATX icon
5147
PUT
GATX Corp
GATX
$6.55B
– –
-3
Closed -$1K
GDOT icon
5148
CALL
Green Dot
GDOT
$753M
– –
-17
Closed -$1K
GEF icon
5149
CALL
Greif
GEF
$4.47B
– –
-12
Closed -$1K
GEL icon
5150
PUT
Genesis Energy
GEL
$1.84B
– –
-15
Closed -$5K
204 205
206
207 208

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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.