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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
NSLR
5551
PUT
Neostellar Capital Corp
NSLR
$272M
– –
-17
Closed -$2K
SSTK icon
5552
CALL
Shutterstock
SSTK
$212M
– –
-30
Closed -$1K
STAA icon
5553
STAAR Surgical
STAA
$1.2B
– –
-2,743
Closed -$20.1K
STAA icon
5554
PUT
STAAR Surgical
STAA
$1.2B
– –
-25
Closed -$5K
STNG icon
5555
Scorpio Tankers
STNG
$3.95B
– –
-15
Closed -$1.31K
STRA icon
5556
Strategic Education
STRA
$1.7B
– –
-5,377
Closed -$346K
STZ icon
5557
CALL
Constellation Brands
STZ
$22.1B
– –
-151
Closed -$290K
STZ icon
5558
PUT
Constellation Brands
STZ
$22.1B
– –
-70
Closed -$9K
SUPN icon
5559
PUT
Supernus Pharmaceuticals
SUPN
$2.74B
– –
-30
Closed -$6K
SXI icon
5560
CALL
Standex International
SXI
$3.74B
– –
-1
Closed -$4K
SXI icon
5561
PUT
Standex International
SXI
$3.74B
– –
-1
Closed -$2K
SYY icon
5562
PUT
Sysco
SYY
$39.1B
– –
-411
Closed -$3K
TAL icon
5563
CALL
TAL Education Group
TAL
$5.74B
– –
-114
Closed -$1K
TAOP icon
5564
Taoping
TAOP
$9.27M
– –
0
– –
TCBI icon
5565
Texas Capital Bancshares
TCBI
$4.31B
– –
-1,052
Closed -$49.6K
TCPC icon
5566
BlackRock TCP Capital
TCPC
$263M
– –
-1,002
Closed -$17K
TCPC icon
5567
PUT
BlackRock TCP Capital
TCPC
$263M
– –
-66
Closed -$1K
TCX icon
5568
CALL
Tucows
TCX
$101M
– –
-31
Closed -$20K
TD icon
5569
Toronto Dominion Bank
TD
$197B
– –
-211
Closed -$9.07K
TDS icon
5570
CALL
Telephone and Data Systems
TDS
$3.83B
– –
-8
Closed -$1K
TDS icon
5571
Telephone and Data Systems
TDS
$3.83B
$0 ﹤0.01%
+9
New +$225
TDW icon
5572
CALL
Tidewater
TDW
$3.85B
– –
-2
Closed -$1K
TEO icon
5573
CALL
Telecom Argentina
TEO
$5.87B
– –
-9
Closed -$2K
TER icon
5574
PUT
Teradyne
TER
$58.5B
– –
-24
Closed -$1K
TEVA icon
5575
Teva Pharmaceuticals
TEVA
$36.3B
– –
-36,656
Closed -$2.13M
221 222
223
224 225

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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.