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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
HNI icon
5776
PUT
HNI Corp
HNI
$3.58B
– –
-50
Closed -$2K
HOLX
5777
DELISTED
Hologic
HOLX
– –
-5,666
Closed -$225K
HON icon
5778
Honeywell
HON
$66.4B
– –
-4,941
Closed -$450K
HOV icon
5779
Hovnanian Enterprises
HOV
$732M
– –
-120
Closed -$5.89K
HOV icon
5780
PUT
Hovnanian Enterprises
HOV
$732M
– –
-1
Closed -$2K
HQY icon
5781
PUT
HealthEquity
HQY
$7.95B
– –
-6
Closed -$1K
HRB icon
5782
H&R Block
HRB
$6.05B
– –
-6,576
Closed -$223K
HSBC icon
5783
HSBC
HSBC
$367B
– –
-815
Closed -$30.5K
HST icon
5784
CALL
Host Hotels & Resorts
HST
$15.1B
– –
-52
Closed -$1K
HSTM icon
5785
HealthStream
HSTM
$854M
– –
-375
Closed -$11K
HSY icon
5786
Hershey
HSY
$34.8B
– –
-1,585
Closed -$144K
HTGC icon
5787
Hercules Capital
HTGC
$3.3B
– –
-800
Closed -$9K
HUBG icon
5788
HUB Group
HUBG
$2.24B
– –
-278
Closed -$5K
HUM icon
5789
Humana
HUM
$48.2B
– –
-600
Closed -$111K
HY icon
5790
Hyster-Yale Materials Handling
HY
$641M
– –
-1,354
Closed -$93K
IAU icon
5791
iShares Gold Trust
IAU
$65.8B
– –
-969
Closed -$21.1K
IBKR icon
5792
Interactive Brokers
IBKR
$42B
– –
-5,120
Closed -$52.7K
IBM icon
5793
IBM
IBM
$221B
– –
-85,948
Closed -$12.7M
ICE icon
5794
Intercontinental Exchange
ICE
$90.5B
– –
-300
Closed -$13.9K
ICLR icon
5795
Icon
ICLR
$12.7B
– –
-436
Closed -$32.8K
IDA icon
5796
Idacorp
IDA
$7.85B
– –
-68
Closed -$4.1K
IDCC icon
5797
InterDigital
IDCC
$8.72B
– –
-4,318
Closed -$223K
IDCC icon
5798
PUT
InterDigital
IDCC
$8.72B
– –
-15
Closed -$2K
IEF icon
5799
iShares 7-10 Year Treasury Bond ETF
IEF
$42.1B
– –
-2,342
Closed -$245K
IEP icon
5800
CALL
Icahn Enterprises
IEP
$4.85B
– –
-9
Closed -$12K
230 231
232
233 234

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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.