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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
OTTR icon
6001
CALL
Otter Tail
OTTR
$3.77B
– –
-53
Closed -$2K
OUT icon
6002
Outfront Media
OUT
$5.1B
$0 ﹤0.01%
+35
New +$821
OXM icon
6003
CALL
Oxford Industries
OXM
$462M
– –
-73
Closed -$82K
OZK icon
6004
PUT
Bank OZK
OZK
$5.5B
– –
-2
Closed -$2K
PAA icon
6005
Plains All American Pipeline
PAA
$18.1B
– –
-25,317
Closed -$925K
PACB icon
6006
Pacific Biosciences
PACB
$420M
– –
-1,275
Closed -$6.23K
PAG icon
6007
Penske Automotive Group
PAG
$14.4B
– –
-240
Closed -$12K
PB icon
6008
Prosperity Bancshares
PB
$8.75B
– –
-1,800
Closed -$103K
PBA icon
6009
PUT
Pembina Pipeline
PBA
$28.2B
– –
-65
Closed -$35K
PBH icon
6010
Prestige Consumer Healthcare
PBH
$2.48B
– –
-184
Closed -$8.69K
PBH icon
6011
PUT
Prestige Consumer Healthcare
PBH
$2.48B
– –
-14
Closed -$1K
PBR.A icon
6012
Petrobras Class A
PBR.A
$118B
– –
-688
Closed -$5K
PBT
6013
Permian Basin Royalty Trust
PBT
$1.59B
$0 ﹤0.01%
+70
New +$488
PCAR icon
6014
PACCAR
PCAR
$65.6B
– –
-1,346
Closed -$54.5K
PCTY icon
6015
CALL
Paylocity
PCTY
$8.08B
– –
-25
Closed -$15K
PDFS icon
6016
PDF Solutions
PDFS
$1.93B
$0 ﹤0.01%
+81
New +$1.02K
PEG icon
6017
PUT
Public Service Enterprise Group
PEG
$36.7B
– –
-11
Closed -$1K
PEGA icon
6018
Pegasystems
PEGA
$6.14B
– –
-278
Closed -$3.44K
PEP icon
6019
PepsiCo
PEP
$188B
– –
-94,605
Closed -$9M
PERI icon
6020
Perion Network
PERI
$366M
$0 ﹤0.01%
34
-1,166
-97% -$8.61K
PERI icon
6021
PUT
Perion Network
PERI
$366M
– –
-12
Closed -$17K
PETS icon
6022
CALL
PetMed Express
PETS
$39.2M
– –
-17
Closed -$2K
PFG icon
6023
Principal Financial Group
PFG
$25B
– –
-97
Closed -$4K
PFX icon
6024
PhenixFIN
PFX
$88.8M
– –
-40
Closed -$6.81K
PFX icon
6025
PUT
PhenixFIN
PFX
$88.8M
– –
-1
Closed -$1K
239 240
241
242 243

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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.