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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
+5.95%
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
$1.28B
AUM Growth
-$87.1M
Cap. Flow
-$10.4M
Cap. Flow %
-0.82%
Top 10 Hldgs %
18.64%
Holding
7,008
New
1,417
Increased
1,993
Reduced
1,803
Closed
1,598

Top Buys

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$34.8M
2
BHC icon
Bausch Health
BHC
+$20.3M
3
CMG icon
Chipotle Mexican Grill
CMG
+$18.9M
4
GMCR
KEURIG GREEN MTN INC
GMCR
+$12.3M
5
AMZN icon
Amazon
AMZN
+$12.2M

Top Sells

Rank Stock Value
1
IWM icon
iShares Russell 2000 ETF
IWM
+$27.5M
2
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$13.8M
3
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$12.1M
4
NFLX icon
Netflix
NFLX
+$10.7M
5
EEM icon
iShares MSCI Emerging Markets ETF
EEM
+$10.7M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 9.5%
2 Healthcare 7.55%
3 Technology 7.01%
4 Communication Services 6.66%
5 Industrials 5.76%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AGNC icon
5301
CALL
AGNC Investment
AGNC
$12.3B
– –
-105
Closed -$1K
AGO icon
5302
Assured Guaranty
AGO
$3.78B
– –
-48,708
Closed -$1.31M
AGX icon
5303
CALL
Argan
AGX
$7.98B
– –
-18
Closed -$10K
AGYS icon
5304
Agilysys
AGYS
$2.78B
– –
-1
Closed –
AHT
5305
CALL
Ashford Hospitality Trust
AHT
$21M
– –
0
– -$9K
AIZ icon
5306
Assurant
AIZ
$13.7B
– –
-415
Closed -$34.2K
ALEX
5307
PUT
DELISTED
Alexander & Baldwin
ALEX
– –
-10
Closed -$2K
ALGN icon
5308
PUT
Align Technology
ALGN
$12B
– –
-11
Closed -$4K
ALGT icon
5309
CALL
Allegiant Air
ALGT
$2.64B
– –
-18
Closed -$13K
ALKS icon
5310
Alkermes
ALKS
$8.82B
– –
-15,314
Closed -$1.07M
ALLE icon
5311
CALL
Allegion
ALLE
$13B
– –
-28
Closed -$1K
ALLE icon
5312
Allegion
ALLE
$13B
– –
-3,050
Closed -$195K
ALLT icon
5313
Allot
ALLT
$374M
$0 ﹤0.01%
+36
New +$199
ALLY icon
5314
Ally Financial
ALLY
$13.1B
– –
-2,526
Closed -$50K
ALNY icon
5315
Alnylam Pharmaceuticals
ALNY
$36.3B
– –
-4,335
Closed -$402K
AMC icon
5316
AMC Entertainment Holdings
AMC
$2.03B
– –
-101
Closed -$25.8K
AMCX icon
5317
AMC Global Media
AMCX
$430M
– –
-4,031
Closed -$310K
AMD icon
5318
Advanced Micro Devices
AMD
$851B
– –
-135,059
Closed -$302K
AME icon
5319
PUT
Ametek
AME
$55.5B
– –
-2
Closed -$1K
AMGN icon
5320
Amgen
AMGN
$203B
– –
-43,906
Closed -$6.9M
AMLP icon
5321
Alerian MLP ETF
AMLP
$13B
– –
-2,653
Closed -$165K
AMP icon
5322
Ameriprise Financial
AMP
$46.8B
– –
-1,173
Closed -$131K
AMRN
5323
Amarin Corp
AMRN
$284M
– –
-896
Closed -$35.2K
AMSC icon
5324
PUT
American Superconductor
AMSC
$1.48B
– –
-32
Closed -$5K
AMT icon
5325
American Tower
AMT
$77.7B
– –
-7,898
Closed -$770K
211 212
213
214 215

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Simplex Trading's Q4 2015 Portfolio in Review

As of Q4 2015, Simplex Trading held 7,008 positions worth $1.28B, down 6.4% from $1.36B the previous quarter. Its ten largest holdings account for 19% of the portfolio.

Simplex Trading's Q4 2015 filing shows 1,417 new, 1,993 increased, 1,803 reduced and 1,598 closed positions. Its largest new stake was Chipotle Mexican Grill: 1,548,150 shares worth $14.9M. The largest sale was iShares Russell 2000 ETF, an estimated $27.5M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 9.5% of assets, up from 4.6% a quarter earlier, followed by Healthcare and Technology.

  • Simplex Trading's largest Q4 2015 buy was Chipotle Mexican Grill: 1,548,150 shares worth $14.9M.
  • Simplex Trading added most to Apple in Q4 2015, an estimated $34.8M increase.
  • Simplex Trading's biggest Q4 2015 reduction was State Street SPDR Dow Jones Industrial Average ETF Trust, cutting an estimated $13.8M.
  • Simplex Trading fully exited iShares Russell 2000 ETF in Q4 2015, selling an estimated $27.5M.
  • Simplex Trading's ten largest holdings make up 19% of its $1.28B portfolio in Q4 2015.
  • Simplex Trading opened 1,417 new positions and closed 1,598 in Q4 2015.
  • Simplex Trading's portfolio value fell 6.4% quarter-over-quarter to $1.28B.

Based on Simplex Trading's 13F filing for Q4 2015, filed 20 Jan 2016.