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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
COO icon
5576
CALL
Cooper Companies
COO
$13.7B
– –
-72
Closed -$10K
COR icon
5577
Cencora
COR
$60.3B
– –
-1,254
Closed -$132K
CORN icon
5578
Teucrium Corn Fund
CORN
$190M
– –
-1,679
Closed -$43K
CORT icon
5579
CALL
Corcept Therapeutics
CORT
$10.2B
– –
-50
Closed -$2K
COTY icon
5580
Coty
COTY
$2.33B
– –
-2,052
Closed -$58.4K
COST icon
5581
Costco
COST
$415B
– –
-782
Closed -$112K
CPF icon
5582
Central Pacific Financial
CPF
$1.01B
– –
-441
Closed -$10K
CPRX
5583
CALL
DELISTED
Catalyst Pharmaceutical
CPRX
– –
-164
Closed -$5K
CPRX
5584
DELISTED
Catalyst Pharmaceutical
CPRX
– –
-4,299
Closed -$18.6K
CPRI icon
5585
Capri Holdings
CPRI
$1.77B
– –
-17,466
Closed -$739K
CRH icon
5586
CRH
CRH
$66.7B
– –
-1,466
Closed -$42.4K
CRK icon
5587
CALL
Comstock Resources
CRK
$3.97B
– –
-4
Closed -$1K
CRK icon
5588
Comstock Resources
CRK
$3.97B
– –
-20
Closed -$222
CRK icon
5589
PUT
Comstock Resources
CRK
$3.97B
– –
-4
Closed -$3K
CRL icon
5590
CALL
Charles River Laboratories
CRL
$10.9B
– –
-14
Closed -$3K
CRM icon
5591
Salesforce
CRM
$134B
– –
-86,301
Closed -$6.12M
CRMD icon
5592
CALL
CorMedix
CRMD
$617M
– –
-6
Closed -$1K
CSCO icon
5593
Cisco
CSCO
$450B
– –
-25,931
Closed -$700K
CSGS
5594
CALL
DELISTED
CSG Systems International
CSGS
– –
-10
Closed -$2K
CSV icon
5595
CALL
Carriage Services
CSV
$618M
– –
-32
Closed -$2K
CTSH icon
5596
Cognizant
CTSH
$21.5B
– –
-845
Closed -$53K
CUBI icon
5597
CALL
Customers Bancorp
CUBI
$2.59B
– –
-12
Closed -$20K
CURE icon
5598
Direxion Daily Healthcare Bull 3X ETF
CURE
$178M
– –
-4,112
Closed -$161K
CVE icon
5599
Cenovus Energy
CVE
$54.6B
– –
-1,858
Closed -$26.2K
CVEO icon
5600
Civeo
CVEO
$379M
– –
-50
Closed -$1.19K
222 223
224
225 226

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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.