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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
GEVO icon
5726
Gevo
GEVO
$397M
– –
-1
Closed -$933
GEVO icon
5727
PUT
Gevo
GEVO
$397M
– –
0
– -$25K
GFF icon
5728
Griffon
GFF
$4.16B
– –
-49
Closed -$801
GGB icon
5729
CALL
Gerdau
GGB
$9.44B
– –
-126
Closed -$4K
GIB icon
5730
CALL
CGI
GIB
$13.9B
– –
-15
Closed -$11K
GIB icon
5731
CGI
GIB
$13.9B
– –
-25
Closed –
GIB icon
5732
PUT
CGI
GIB
$13.9B
– –
-7
Closed -$3K
GLAD icon
5733
Gladstone Capital
GLAD
$425M
$0 ﹤0.01%
+27
New +$452
GLDD
5734
DELISTED
Great Lakes Dredge & Dock
GLDD
$0 ﹤0.01%
34
-467
-93% -$2.56K
GLW icon
5735
Corning
GLW
$126B
– –
-3,763
Closed -$67.7K
GMED icon
5736
Globus Medical
GMED
$10.4B
– –
-2,335
Closed -$59.1K
GNTX icon
5737
Gentex
GNTX
$4.88B
– –
-456
Closed -$7.25K
GNW icon
5738
Genworth Financial
GNW
$3.8B
– –
-8,701
Closed -$51.2K
GOGL
5739
DELISTED
Golden Ocean Group
GOGL
$0 ﹤0.01%
+80
New +$1.37K
GOEX icon
5740
Global X Gold Explorers ETF NEW
GOEX
$106M
$0 ﹤0.01%
+23
New +$413
GOGO icon
5741
Gogo Inc
GOGO
$515M
– –
-8,363
Closed -$143K
GPI icon
5742
CALL
Group 1 Automotive
GPI
$3.94B
– –
-60
Closed -$64K
GPK icon
5743
Graphic Packaging
GPK
$3.26B
– –
-6,751
Closed -$96.3K
GPN icon
5744
Global Payments
GPN
$22.1B
– –
-3,524
Closed -$196K
GPRE icon
5745
CALL
Green Plains
GPRE
$1.19B
– –
-134
Closed -$7K
GSAT icon
5746
CALL
Globalstar
GSAT
$10.2B
– –
-4
Closed -$1K
GSAT icon
5747
Globalstar
GSAT
$10.2B
$0 ﹤0.01%
7
-41
-85% -$1.16K
GSG icon
5748
iShares S&P GSCI Commodity-Indexed Trust
GSG
$1.02B
– –
-740
Closed -$13.3K
GSM icon
5749
FerroAtlántica
GSM
$628M
– –
-47
Closed –
GTLS
5750
CALL
DELISTED
Chart Industries
GTLS
– –
-49
Closed -$4K
228 229
230
231 232

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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.