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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
WHR icon
5676
Whirlpool
WHR
$2.32B
– –
-5,193
Closed -$1.05M
WKC icon
5677
PUT
World Kinect Corp
WKC
$1.87B
– –
-19
Closed -$3K
WMB icon
5678
Williams Companies
WMB
$91.7B
– –
-52,821
Closed -$2.45M
WM icon
5679
Waste Management
WM
$95.2B
– –
-11,238
Closed -$598K
WM icon
5680
PUT
Waste Management
WM
$95.2B
– –
-119
Closed -$1K
WNC icon
5681
CALL
Wabash National
WNC
$545M
– –
-13
Closed -$1K
WPC icon
5682
CALL
W.P. Carey
WPC
$16.7B
– –
-11
Closed -$3K
WPP icon
5683
CALL
WPP
WPP
$3.92B
– –
-10
Closed -$3K
WSM icon
5684
Williams-Sonoma
WSM
$25.6B
– –
-22,648
Closed -$898K
WY icon
5685
CALL
Weyerhaeuser
WY
$17B
– –
-73
Closed -$28K
X
5686
DELISTED
US Steel
X
– –
-13,193
Closed -$313K
XEL icon
5687
Xcel Energy
XEL
$50.3B
– –
-1,356
Closed -$48.5K
XES icon
5688
State Street SPDR S&P Oil & Gas Equipment & Services ETF
XES
$385M
– –
-1,218
Closed -$344K
XPO icon
5689
XPO
XPO
$25.2B
– –
-3,640
Closed -$52.7K
XRAY icon
5690
CALL
Dentsply Sirona
XRAY
$2.5B
– –
-23
Closed -$3K
XRX icon
5691
CALL
Xerox
XRX
$335M
– –
-2
Closed -$2K
XXII
5692
22nd Century Group
XXII
$1.42M
– –
0
– –
XXII
5693
PUT
22nd Century Group
XXII
$1.42M
– –
0
– -$7K
XYL icon
5694
Xylem
XYL
$27.7B
– –
-352
Closed -$12.4K
YINN icon
5695
Direxion Daily FTSE China Bull 3X ETF
YINN
$654M
– –
-78
Closed -$56K
YPF icon
5696
YPF
YPF
$20.7B
– –
-7,984
Closed -$206K
ZBRA icon
5697
Zebra Technologies
ZBRA
$12.2B
– –
-1,709
Closed -$148K
ZD icon
5698
CALL
Ziff Davis
ZD
$1.89B
– –
-17
Closed -$6K
ZD icon
5699
Ziff Davis
ZD
$1.89B
– –
-200
Closed -$11K
ZD icon
5700
PUT
Ziff Davis
ZD
$1.89B
– –
-1
Closed -$1K
226 227
228
229 230

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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.