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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
NVDA icon
5976
NVIDIA
NVDA
$5.56T
– –
-177,000
Closed -$95.7K
NVGS icon
5977
CALL
Navigator Holdings
NVGS
$1.41B
– –
-18
Closed -$3K
NVO
5978
Novo Nordisk
NVO
$206B
– –
-3,838
Closed -$109K
NWL icon
5979
CALL
Newell Brands
NWL
$2.6B
– –
-20
Closed -$2K
NWL icon
5980
PUT
Newell Brands
NWL
$2.6B
– –
-28
Closed -$1K
NYT icon
5981
New York Times
NYT
$10.9B
$0 ﹤0.01%
1
-87
-99% -$1.1K
OCSL icon
5982
CALL
Oaktree Specialty Lending
OCSL
$1.15B
– –
-13
Closed -$6K
OCSL icon
5983
PUT
Oaktree Specialty Lending
OCSL
$1.15B
– –
-4
Closed -$4K
ODFL icon
5984
CALL
Old Dominion Freight Line
ODFL
$38.5B
– –
-39
Closed -$1K
ODFL icon
5985
Old Dominion Freight Line
ODFL
$38.5B
– –
-297
Closed -$6.75K
ODFL icon
5986
PUT
Old Dominion Freight Line
ODFL
$38.5B
– –
-3
Closed -$1K
OFG icon
5987
OFG Bancorp
OFG
$2.25B
– –
-3,070
Closed -$26.4K
OII icon
5988
CALL
Oceaneering
OII
$5.12B
– –
-74
Closed -$2K
OIS icon
5989
CALL
Oil States International
OIS
$528M
– –
-12
Closed -$1K
OMF icon
5990
PUT
OneMain Financial
OMF
$7.44B
– –
-113
Closed -$9K
ON icon
5991
CALL
ON Semiconductor
ON
$29B
– –
-23
Closed -$2K
ON icon
5992
PUT
ON Semiconductor
ON
$29B
– –
-39
Closed -$4K
ONTO icon
5993
Onto Innovation
ONTO
$13.2B
– –
-295
Closed -$4K
ONTO icon
5994
PUT
Onto Innovation
ONTO
$13.2B
– –
-3
Closed -$2K
OOMA icon
5995
Ooma
OOMA
$637M
$0 ﹤0.01%
+33
New +$309
OPCH icon
5996
Option Care Health
OPCH
$3.63B
$0 ﹤0.01%
29
-4,090
-99% -$41.3K
OPCH icon
5997
PUT
Option Care Health
OPCH
$3.63B
– –
-41
Closed -$23K
ORLY icon
5998
O'Reilly Automotive
ORLY
$71.1B
– –
-10,890
Closed -$176K
OSUR icon
5999
CALL
OraSure Technologies
OSUR
$240M
– –
-65
Closed -$1K
OSUR icon
6000
PUT
OraSure Technologies
OSUR
$240M
– –
-12
Closed -$1K
238 239
240
241 242

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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.