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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
PRU icon
6051
Prudential Financial
PRU
$42.1B
– –
-2,563
Closed -$215K
PST icon
6052
ProShares Trust UltraShort Lehman 7-10 Year Treasury
PST
$10.7M
$0 ﹤0.01%
+40
New +$947
PSX icon
6053
Phillips 66
PSX
$102B
– –
-5,940
Closed -$472K
PTC icon
6054
CALL
PTC
PTC
$15.3B
– –
-23
Closed -$14K
QDEL icon
6055
CALL
QuidelOrtho
QDEL
$958M
– –
-37
Closed -$2K
QLYS icon
6056
Qualys
QLYS
$5.94B
– –
-1,628
Closed -$54.6K
QMCO icon
6057
CALL
Quantum Corp
QMCO
$975M
– –
-1
Closed -$1K
QMCO icon
6058
Quantum Corp
QMCO
$975M
$0 ﹤0.01%
2
– –
QTWO icon
6059
CALL
Q2 Holdings
QTWO
$3.87B
– –
-39
Closed -$4K
QUIK icon
6060
QuickLogic
QUIK
$197M
$0 ﹤0.01%
+11
New +$230
RAIL icon
6061
PUT
FreightCar America
RAIL
$233M
– –
-16
Closed -$3K
RAMP icon
6062
LiveRamp
RAMP
$2.3B
– –
-12,474
Closed -$240K
RAMP icon
6063
PUT
LiveRamp
RAMP
$2.3B
– –
-33
Closed -$30K
RBBN icon
6064
PUT
Ribbon Communications
RBBN
$356M
– –
-7
Closed -$2K
RCI icon
6065
CALL
Rogers Communications
RCI
$20.3B
– –
-24
Closed -$1K
REFR icon
6066
CALL
Research Frontiers
REFR
$14.5M
– –
-77
Closed -$3K
REGN icon
6067
Regeneron Pharmaceuticals
REGN
$85.2B
– –
-3,079
Closed -$1.65M
REM icon
6068
iShares Mortgage Real Estate ETF
REM
$541M
– –
-3,561
Closed -$150K
RGEN icon
6069
CALL
Repligen
RGEN
$9.46B
– –
-20
Closed -$18K
RGLD icon
6070
Royal Gold
RGLD
$22.2B
– –
-584
Closed -$30K
RGLS
6071
DELISTED
Regulus Therapeutics
RGLS
– –
-275
Closed -$282K
RGR icon
6072
Sturm, Ruger & Co
RGR
$615M
– –
-1,435
Closed -$86K
RHI icon
6073
CALL
Robert Half
RHI
$4.36B
– –
-157
Closed -$2K
RHP icon
6074
Ryman Hospitality Properties
RHP
$8.52B
– –
-70
Closed -$3.74K
RICK icon
6075
CALL
RCI Hospitality Holdings
RICK
$224M
– –
-5
Closed -$3K
241 242
243
244 245

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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.