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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
IEP icon
5801
Icahn Enterprises
IEP
$4.85B
– –
-737
Closed -$55.5K
IEX icon
5802
IDEX
IEX
$16.5B
– –
-192
Closed -$14.1K
IEZ icon
5803
iShares US Oil Equipment & Services ETF
IEZ
$391M
– –
-304
Closed -$14K
IGSB icon
5804
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
$23.4B
– –
-2,350
Closed -$123K
IHF icon
5805
iShares US Healthcare Providers ETF
IHF
$1.31B
– –
-305
Closed -$8K
IIIN icon
5806
Insteel Industries
IIIN
$605M
– –
-40
Closed –
ILMN icon
5807
Illumina
ILMN
$33B
– –
-4,171
Closed -$843K
IMAX icon
5808
IMAX
IMAX
$2.83B
– –
-189
Closed -$6.55K
IMO icon
5809
Imperial Oil
IMO
$62.2B
– –
-18
Closed -$624
INDL icon
5810
Direxion Daily MSCI India Bull 2X ETF
INDL
$56.8M
– –
-1,081
Closed -$85K
ING icon
5811
CALL
ING
ING
$106B
– –
-427
Closed -$82K
INGN icon
5812
Inogen
INGN
$144M
$0 ﹤0.01%
16
-255
-94% -$12.1K
INGN icon
5813
PUT
Inogen
INGN
$144M
– –
-5
Closed -$2K
INVE icon
5814
Identive
INVE
$68.1M
– –
-78
Closed -$345
IP icon
5815
International Paper
IP
$19.7B
– –
-12,094
Closed -$512K
IPI icon
5816
CALL
Intrepid Potash
IPI
$545M
– –
-1
Closed -$1K
IQV icon
5817
PUT
IQVIA
IQV
$44.1B
– –
-50
Closed -$3K
IRDM icon
5818
Iridium Communications
IRDM
$5B
– –
-148
Closed -$1.07K
IRWD icon
5819
PUT
Ironwood Pharmaceuticals
IRWD
$704M
– –
-30
Closed -$3K
ISRG icon
5820
Intuitive Surgical
ISRG
$130B
– –
-16,056
Closed -$909K
IT icon
5821
Gartner
IT
$11.8B
– –
-112
Closed -$9.76K
IT icon
5822
PUT
Gartner
IT
$11.8B
– –
-10
Closed -$2K
ITUB icon
5823
PUT
Itaú Unibanco
ITUB
$89.8B
– –
-40
Closed -$3K
IVR icon
5824
Invesco Mortgage Capital
IVR
$775M
– –
-207
Closed -$28.8K
IWD icon
5825
iShares Russell 1000 Value ETF
IWD
$84.1B
– –
-49
Closed -$5K
231 232
233
234 235

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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.