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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
+5.95%
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
$1.28B
AUM Growth
-$87.1M
Cap. Flow
-$10.4M
Cap. Flow %
-0.82%
Top 10 Hldgs %
18.64%
Holding
7,008
New
1,417
Increased
1,993
Reduced
1,803
Closed
1,598

Top Buys

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$34.8M
2
BHC icon
Bausch Health
BHC
+$20.3M
3
CMG icon
Chipotle Mexican Grill
CMG
+$18.9M
4
GMCR
KEURIG GREEN MTN INC
GMCR
+$12.3M
5
AMZN icon
Amazon
AMZN
+$12.2M

Top Sells

Rank Stock Value
1
IWM icon
iShares Russell 2000 ETF
IWM
+$27.5M
2
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$13.8M
3
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$12.1M
4
NFLX icon
Netflix
NFLX
+$10.7M
5
EEM icon
iShares MSCI Emerging Markets ETF
EEM
+$10.7M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 9.5%
2 Healthcare 7.55%
3 Technology 7.01%
4 Communication Services 6.66%
5 Industrials 5.76%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NOW icon
5901
ServiceNow
NOW
$101B
– –
-21,615
Closed -$357K
NPO icon
5902
PUT
Enpro
NPO
$7.16B
– –
-2
Closed -$4K
NRT
5903
North European Oil Royalty Trust
NRT
$80.7M
$0 ﹤0.01%
+100
New +$880
NTCT icon
5904
CALL
NETSCOUT
NTCT
$2.87B
– –
-65
Closed -$4K
NTES icon
5905
NetEase
NTES
$76.9B
– –
-14,665
Closed -$457K
NTRS icon
5906
Northern Trust
NTRS
$22.2B
– –
-2,946
Closed -$212K
NTRS icon
5907
PUT
Northern Trust
NTRS
$22.2B
– –
-36
Closed -$23K
NUGT icon
5908
Direxion Daily Gold Miners Index Bull 2X ETF
NUGT
$882M
– –
-534
Closed -$61K
NUWE icon
5909
Nuwellis
NUWE
$195K
– –
0
– –
NVAX icon
5910
Novavax
NVAX
$1.24B
– –
-2,196
Closed -$338K
NWBI icon
5911
CALL
Northwest Bancshares
NWBI
$2.26B
– –
-10
Closed -$2K
NWN icon
5912
CALL
Northwest Natural Holdings
NWN
$2.17B
– –
-190
Closed -$19K
NWPX icon
5913
NWPX Infrastructure Inc
NWPX
$1.28B
– –
-2,967
Closed -$38K
NWPX icon
5914
PUT
NWPX Infrastructure Inc
NWPX
$1.28B
– –
-31
Closed -$22K
NX icon
5915
Quanex
NX
$869M
– –
-83
Closed -$1K
NYT icon
5916
New York Times
NYT
$11.6B
– –
-1
Closed -$13
O icon
5917
Realty Income
O
$60.8B
– –
-3,278
Closed -$157K
O icon
5918
PUT
Realty Income
O
$60.8B
– –
-46
Closed -$7K
OEF icon
5919
iShares S&P 100 ETF
OEF
$19.9B
– –
-3,916
Closed -$359K
OGE icon
5920
CALL
OGE Energy
OGE
$10.3B
– –
-7
Closed -$1K
OHI icon
5921
Omega Healthcare
OHI
$15.4B
– –
-5,756
Closed -$199K
OI icon
5922
CALL
O-I Glass
OI
$1.39B
– –
-56
Closed -$2K
OIH icon
5923
VanEck Oil Services ETF
OIH
$2.06B
– –
-1,556
Closed -$855K
OII icon
5924
Oceaneering
OII
$5.03B
– –
-2,544
Closed -$109K
OIS icon
5925
Oil States International
OIS
$526M
– –
-10,890
Closed -$324K
235 236
237
238 239

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Simplex Trading's Q4 2015 Portfolio in Review

As of Q4 2015, Simplex Trading held 7,008 positions worth $1.28B, down 6.4% from $1.36B the previous quarter. Its ten largest holdings account for 19% of the portfolio.

Simplex Trading's Q4 2015 filing shows 1,417 new, 1,993 increased, 1,803 reduced and 1,598 closed positions. Its largest new stake was Chipotle Mexican Grill: 1,548,150 shares worth $14.9M. The largest sale was iShares Russell 2000 ETF, an estimated $27.5M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 9.5% of assets, up from 4.6% a quarter earlier, followed by Healthcare and Technology.

  • Simplex Trading's largest Q4 2015 buy was Chipotle Mexican Grill: 1,548,150 shares worth $14.9M.
  • Simplex Trading added most to Apple in Q4 2015, an estimated $34.8M increase.
  • Simplex Trading's biggest Q4 2015 reduction was State Street SPDR Dow Jones Industrial Average ETF Trust, cutting an estimated $13.8M.
  • Simplex Trading fully exited iShares Russell 2000 ETF in Q4 2015, selling an estimated $27.5M.
  • Simplex Trading's ten largest holdings make up 19% of its $1.28B portfolio in Q4 2015.
  • Simplex Trading opened 1,417 new positions and closed 1,598 in Q4 2015.
  • Simplex Trading's portfolio value fell 6.4% quarter-over-quarter to $1.28B.

Based on Simplex Trading's 13F filing for Q4 2015, filed 20 Jan 2016.