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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
KTOS icon
5851
CALL
Kratos Defense & Security Solutions
KTOS
$8.98B
– –
-80
Closed -$10K
KWR icon
5852
Quaker Houghton
KWR
$2.78B
– –
-20
Closed -$1K
LBRDA
5853
PUT
DELISTED
Liberty Broadband Class A
LBRDA
– –
-5
Closed -$1K
LBTYA icon
5854
Liberty Global Class A
LBTYA
$3.62B
– –
-23,980
Closed -$1.07M
LBTYK icon
5855
CALL
Liberty Global Class C
LBTYK
$3.56B
– –
-334
Closed -$22K
LBTYK icon
5856
Liberty Global Class C
LBTYK
$3.56B
– –
-3,412
Closed -$139K
LBTYK icon
5857
PUT
Liberty Global Class C
LBTYK
$3.56B
– –
-284
Closed -$78K
HAPN
5858
Happen Inc
HAPN
$2.05B
– –
-1,058
Closed -$71.9K
LCTX icon
5859
Lineage Cell Therapeutics
LCTX
$273M
– –
-2,279
Closed -$5.9K
LCTX icon
5860
PUT
Lineage Cell Therapeutics
LCTX
$273M
– –
-36
Closed -$4K
LDOS icon
5861
Leidos
LDOS
$16.7B
– –
-1,003
Closed -$41.9K
LEA icon
5862
Lear
LEA
$6.64B
– –
-1,788
Closed -$186K
LGND icon
5863
CALL
Ligand Pharmaceuticals
LGND
$5.69B
– –
-13
Closed -$5K
LH icon
5864
Labcorp
LH
$26.5B
– –
-3,200
Closed -$331K
LKQ icon
5865
CALL
LKQ Corp
LKQ
$6.46B
– –
-4
Closed -$4K
LKQ icon
5866
LKQ Corp
LKQ
$6.46B
– –
-2,011
Closed -$61.3K
LNN icon
5867
CALL
Lindsay Corp
LNN
$1.25B
– –
-6
Closed -$2K
LNN icon
5868
Lindsay Corp
LNN
$1.25B
– –
-38
Closed -$3K
LNN icon
5869
PUT
Lindsay Corp
LNN
$1.25B
– –
-11
Closed -$1K
LNT icon
5870
Alliant Energy
LNT
$17.6B
– –
-1,558
Closed -$45.9K
LNT icon
5871
PUT
Alliant Energy
LNT
$17.6B
– –
-58
Closed -$2K
LOCO icon
5872
El Pollo Loco
LOCO
$468M
– –
-13,161
Closed -$206K
LPL icon
5873
LG Display
LPL
$3.3B
– –
-233
Closed -$2.34K
LPLA icon
5874
LPL Financial
LPLA
$28.3B
– –
-1,528
Closed -$65.7K
LQDT icon
5875
Liquidity Services
LQDT
$1.32B
– –
-242
Closed -$2K
233 234
235
236 237

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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.