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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
CW icon
5501
PUT
Curtiss-Wright
CW
$27.7B
– –
-4
Closed -$1K
CWB icon
5502
State Street SPDR Bloomberg Convertible Securities ETF
CWB
$5.64B
$0 ﹤0.01%
+13
New +$595
CWT icon
5503
CALL
California Water Service
CWT
$3.04B
– –
-2
Closed -$1K
CYD icon
5504
PUT
China Yuchai International
CYD
$1.69B
– –
-25
Closed -$11K
BGMS
5505
Bio Green Med Solution Inc
BGMS
$5.05M
– –
0
– –
CYTK icon
5506
Cytokinetics
CYTK
$11B
– –
-1,639
Closed -$16.1K
DBE icon
5507
Invesco DB Energy Fund
DBE
$93.4M
– –
-5,761
Closed -$78K
DCO icon
5508
Ducommun
DCO
$2.68B
– –
-3,916
Closed -$71.7K
DCO icon
5509
PUT
Ducommun
DCO
$2.68B
– –
-129
Closed -$12K
DD icon
5510
DuPont de Nemours
DD
$18.6B
– –
-16,516
Closed -$2.12M
DDD icon
5511
3D Systems Corp
DDD
$420M
– –
-7,601
Closed -$78.5K
DDM icon
5512
ProShares Ultra Dow30
DDM
$531M
– –
-954
Closed -$8K
DDS icon
5513
Dillards
DDS
$8.87B
– –
-478
Closed -$38.5K
DENN
5514
DELISTED
Denny's
DENN
– –
-914
Closed -$9.38K
DEM icon
5515
WisdomTree Emerging Markets High Dividend Fund
DEM
$3.88B
– –
-2,678
Closed -$89K
DGII icon
5516
CALL
Digi International
DGII
$2.52B
– –
-5
Closed -$1K
DLB icon
5517
Dolby
DLB
$4.72B
– –
-1,695
Closed -$58.2K
DLB icon
5518
PUT
Dolby
DLB
$4.72B
– –
-25
Closed -$25K
DLX icon
5519
Deluxe
DLX
$1.19B
– –
-2,877
Closed -$166K
DLX icon
5520
PUT
Deluxe
DLX
$1.19B
– –
-44
Closed -$21K
DNOW icon
5521
PUT
DNOW Inc
DNOW
$2.63B
– –
-77
Closed -$42K
DORM icon
5522
Dorman Products
DORM
$4.01B
– –
-1,792
Closed -$87.4K
DORM icon
5523
PUT
Dorman Products
DORM
$4.01B
– –
-50
Closed -$4K
DOV icon
5524
Dover
DOV
$27.2B
– –
-1,829
Closed -$92.7K
DOX icon
5525
PUT
Amdocs
DOX
$5.53B
– –
-19
Closed -$1K
219 220
221
222 223

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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.