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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
CHRS icon
5551
CALL
Coherus Oncology
CHRS
$217M
– –
-10
Closed -$1K
CHRW icon
5552
C.H. Robinson
CHRW
$22B
– –
-2,639
Closed -$177K
CIEN icon
5553
Ciena
CIEN
$55.3B
– –
-2,154
Closed -$50.1K
CIVI
5554
CALL
DELISTED
Civitas Resources
CIVI
– –
-3
Closed -$40K
CL icon
5555
Colgate-Palmolive
CL
$72.6B
– –
-11,678
Closed -$763K
CLDT
5556
CALL
Chatham Lodging
CLDT
$630M
– –
-49
Closed -$2K
CLDT
5557
Chatham Lodging
CLDT
$630M
– –
-79
Closed -$2K
CLFD icon
5558
Clearfield
CLFD
$421M
– –
-2,031
Closed -$34.4K
CLH icon
5559
Clean Harbors
CLH
$16.1B
– –
-103
Closed -$5.11K
CLMT icon
5560
PUT
Calumet Specialty Products
CLMT
$3.63B
– –
-52
Closed -$20K
CLNE icon
5561
Clean Energy Fuels
CLNE
$447M
– –
-3,887
Closed -$20.2K
CLW icon
5562
CALL
Clearwater Paper
CLW
$271M
– –
-9
Closed -$1K
CMG icon
5563
Chipotle Mexican Grill
CMG
$40.8B
– –
-538,050
Closed -$7.65M
CMS icon
5564
CALL
CMS Energy
CMS
$23.1B
– –
-450
Closed -$7K
CNC icon
5565
Centene
CNC
$31.3B
– –
-2,602
Closed -$87.1K
CNI icon
5566
Canadian National Railway
CNI
$78.3B
– –
-4,742
Closed -$276K
CNK icon
5567
CALL
Cinemark Holdings
CNK
$3.82B
– –
-10
Closed -$3K
CNO icon
5568
CNO Financial Group
CNO
$4.97B
– –
-59
Closed -$1.07K
CNQ icon
5569
Canadian Natural Resources
CNQ
$96.9B
– –
-3,144
Closed -$34.6K
COHR icon
5570
CALL
Coherent
COHR
$55.2B
– –
-6
Closed -$3K
COHU icon
5571
CALL
Cohu
COHU
$2.39B
– –
-13
Closed -$1K
COHU icon
5572
Cohu
COHU
$2.39B
– –
-2,556
Closed -$26.9K
COHU icon
5573
PUT
Cohu
COHU
$2.39B
– –
-30
Closed -$7K
COLB icon
5574
CALL
Columbia Banking Systems
COLB
$8.81B
– –
-20
Closed -$6K
COLM icon
5575
Columbia Sportswear
COLM
$3.19B
– –
-290
Closed -$18.1K
221 222
223
224 225

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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.