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Simplex Trading

Simplex Trading Portfolio holdings

AUM $171B
1-Year Est. Return 85%
 

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
+85%
3 Year Est. Return
+183.25%
5 Year Est. Return
+145.21%
10 Year Est. Return
+1,056.84%
AUM
$1.36B
AUM Growth
+$171M
Cap. Flow
-$47.8M
Cap. Flow %
-3.51%
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 Miscellaneous 65.37%
2 Healthcare 6.71%
3 Communication Services 4.77%
4 Technology 4.7%
5 Consumer Discretionary 4.67%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EWY icon
5676
iShares MSCI South Korea ETF
EWY
$28.8B
– –
-1,047
Closed -$57K
EWZ icon
5677
iShares MSCI Brazil ETF
EWZ
$8.62B
– –
-35,521
Closed -$1.16M
EXC icon
5678
Exelon
EXC
$45B
– –
-1,307
Closed -$29.4K
EXK
5679
Endeavour Silver
EXK
$3.29B
$0 ﹤0.01%
+75
New +$119
EXPO icon
5680
Exponent
EXPO
$3.25B
– –
-6,258
Closed -$138K
EXR icon
5681
Extra Space Storage
EXR
$29.4B
– –
-893
Closed -$65.4K
EYPT icon
5682
EyePoint Inc
EYPT
$395M
$0 ﹤0.01%
+10
New +$392
FANG icon
5683
Diamondback Energy
FANG
$55.8B
– –
-1,056
Closed -$71.7K
FBIO icon
5684
CALL
Fortress Biotech
FBIO
$90.7M
– –
-5
Closed -$6K
FBT icon
5685
First Trust NYSE Arca Biotechnology Index Fund
FBT
$2.95B
– –
-1,109
Closed -$137K
FCEL icon
5686
FuelCell Energy
FCEL
$1.2B
– –
-3
Closed -$10.9K
FCF icon
5687
First Commonwealth Financial
FCF
$2.16B
$0 ﹤0.01%
+16
New +$146
FDN icon
5688
First Trust Dow Jones Internet Index Fund ETF
FDN
$5.35B
– –
-51
Closed -$3K
DMC
5689
Del Monte Corp
DMC
$1.51B
– –
-26
Closed -$1K
FDS icon
5690
CALL
Factset
FDS
$10.7B
– –
-32
Closed -$12K
FENG
5691
CALL
Phoenix New Media
FENG
$17.8M
– –
-13
Closed -$23K
FHI icon
5692
Federated Hermes
FHI
$4.66B
$0 ﹤0.01%
9
-151
-94% -$4.84K
FICO icon
5693
CALL
Fair Isaac
FICO
$20.1B
– –
-7
Closed -$1K
FIS icon
5694
PUT
Fidelity National Information Services
FIS
$21.6B
– –
-27
Closed -$4K
FLEX icon
5695
Flex
FLEX
$40.5B
– –
-31
Closed -$252
FLO icon
5696
Flowers Foods
FLO
$1.33B
– –
-4,881
Closed -$111K
FLO icon
5697
PUT
Flowers Foods
FLO
$1.33B
– –
-49
Closed -$6K
FLWS icon
5698
1-800-Flowers.com
FLWS
$239M
– –
-213
Closed -$2K
FMC icon
5699
FMC
FMC
$1.62B
– –
-3,977
Closed -$154K
FNF icon
5700
Fidelity National Financial
FNF
$12.3B
– –
-282
Closed -$7K
226 227
228
229 230

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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 withdrew a net $47.8M in Q3 2015, closing 1,420 positions and reducing 1,391 holdings. Its most notable exit was IBM, an estimated $12.7M position sold in full.

By sector, the portfolio is most concentrated in Miscellaneous at 65% of assets, up from 42% a quarter earlier, followed by Healthcare and Communication Services.

Against the trend, Simplex Trading opened a new position in iShares Russell 2000 ETF worth $27.5M.

  • 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.