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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
-10.88%
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
$1.36B
AUM Growth
+$171M
Cap. Flow
+$1.3M
Cap. Flow %
0.1%
Top 10 Hldgs %
15.2%
Holding
7,014
New
1,810
Increased
2,203
Reduced
1,391
Closed
1,420

Top Buys

Rank Stock Value
1
IWM icon
iShares Russell 2000 ETF
IWM
+$29.8M
2
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$17.1M
3
DIS icon
Walt Disney
DIS
+$14.8M
4
GILD icon
Gilead Sciences
GILD
+$11.8M
5
EEM icon
iShares MSCI Emerging Markets ETF
EEM
+$11.2M

Top Sells

Rank Stock Value
1
GOOG icon
Alphabet (Google) Class C
GOOG
+$92.9M
2
AAPL icon
Apple
AAPL
+$22.5M
3
META icon
Meta Platforms (Facebook)
META
+$20.5M
4
IBM icon
IBM
IBM
+$12.7M
5
BIDU icon
Baidu
BIDU
+$10M

Sector Composition

Rank Sector Weight
1 Healthcare 6.46%
2 Communication Services 4.66%
3 Consumer Discretionary 4.6%
4 Technology 4.57%
5 Financials 4.49%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CAKE icon
5526
CALL
Cheesecake Factory
CAKE
$4.21B
– –
-27
Closed -$12K
CAL icon
5527
CALL
Caleres
CAL
$396M
– –
-75
Closed -$3K
CALM icon
5528
Cal-Maine
CALM
$4.28B
– –
-14,038
Closed -$753K
CALX icon
5529
CALL
Calix
CALX
$2.27B
– –
-220
Closed -$7K
CALX icon
5530
Calix
CALX
$2.27B
$0 ﹤0.01%
+101
New +$768
CATO icon
5531
Cato Corp
CATO
$65.9M
– –
-1,072
Closed -$39K
CATO icon
5532
PUT
Cato Corp
CATO
$65.9M
– –
-15
Closed -$2K
CBAT icon
5533
CBAK Energy Technology Ltd
CBAT
$46.3M
– –
-31
Closed –
CBOE icon
5534
Cboe Global Markets
CBOE
$29.8B
– –
-1,489
Closed -$93.9K
CBRL icon
5535
PUT
Cracker Barrel
CBRL
$1.2B
– –
-27
Closed -$1K
CBZ icon
5536
CALL
CBIZ
CBZ
$2.29B
– –
-25
Closed -$1K
CCJ icon
5537
Cameco
CCJ
$38.3B
– –
-1,257
Closed -$17K
CCM
5538
CALL
Concord Medical Services
CCM
$18.7M
– –
-2
Closed -$1K
CDE icon
5539
CALL
Coeur Mining
CDE
$15.6B
– –
-14
Closed -$1K
CDNS icon
5540
Cadence Design Systems
CDNS
$90B
$0 ﹤0.01%
32
-6,494
-100% -$132K
CENX icon
5541
Century Aluminum
CENX
$4.57B
– –
-2,212
Closed -$15.4K
CERS icon
5542
CALL
Cerus
CERS
$587M
– –
-24
Closed -$1K
CEVA icon
5543
CEVA Inc
CEVA
$1.01B
– –
-2,340
Closed -$45K
CF icon
5544
CF Industries
CF
$19.2B
– –
-49,199
Closed -$2.86M
CFR icon
5545
CALL
Cullen/Frost Bankers
CFR
$10.3B
– –
-104
Closed -$45K
CGEN icon
5546
PUT
Compugen
CGEN
$216M
– –
-22
Closed -$11K
CGNX icon
5547
CALL
Cognex
CGNX
$10.3B
– –
-126
Closed -$14K
CHDN icon
5548
Churchill Downs
CHDN
$6.03B
– –
-1,140
Closed -$23K
CHE icon
5549
Chemed
CHE
$6.78B
– –
-3,605
Closed -$472K
CHRD icon
5550
Chord Energy
CHRD
$7.79B
– –
-12,386
Closed -$130K
220 221
222
223 224

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Simplex Trading's Q3 2015 Portfolio in Review

As of Q3 2015, Simplex Trading held 7,014 positions worth $1.36B, up 14% from $1.19B the previous quarter. Its ten largest holdings account for 15% of the portfolio.

Simplex Trading's Q3 2015 filing shows 1,810 new, 2,203 increased, 1,391 reduced and 1,420 closed positions. Its largest new stake was iShares Russell 2000 ETF: 251,486 shares worth $27.5M. The largest sale was Alphabet (Google) Class C, an estimated $92.9M.

By sector, the portfolio is most concentrated in Healthcare at 6.5% of assets, down from 7.8% a quarter earlier, followed by Communication Services and Consumer Discretionary.

  • Simplex Trading's largest Q3 2015 buy was iShares Russell 2000 ETF: 251,486 shares worth $27.5M.
  • Simplex Trading added most to iShares MSCI Emerging Markets ETF in Q3 2015, an estimated $11.2M increase.
  • Simplex Trading's biggest Q3 2015 reduction was Alphabet (Google) Class C, cutting an estimated $92.9M.
  • Simplex Trading fully exited IBM in Q3 2015, selling an estimated $12.7M.
  • Simplex Trading's ten largest holdings make up 15% of its $1.36B portfolio in Q3 2015.
  • Simplex Trading opened 1,810 new positions and closed 1,420 in Q3 2015.
  • Simplex Trading's portfolio value rose 14% quarter-over-quarter to $1.36B.

Based on Simplex Trading's 13F filing for Q3 2015, filed 8 Oct 2015.