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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
RIG icon
6076
Transocean
RIG
$6.53B
– –
-25,400
Closed -$353K
RIGL icon
6077
Rigel Pharmaceuticals
RIGL
$909M
$0 ﹤0.01%
23
-150
-87% -$4.48K
RITM icon
6078
Rithm Capital
RITM
$5.63B
– –
-1,177
Closed -$17.4K
RJF icon
6079
CALL
Raymond James Financial
RJF
$34.3B
– –
-75
Closed -$3K
RMD icon
6080
ResMed
RMD
$32.9B
– –
-21,995
Closed -$1.18M
RMTI icon
6081
Rockwell Medical
RMTI
$32.2M
– –
-13
Closed -$18.8K
ROG icon
6082
Rogers Corp
ROG
$2.28B
– –
-294
Closed -$16.5K
ROG icon
6083
PUT
Rogers Corp
ROG
$2.28B
– –
-4
Closed -$3K
ROP icon
6084
CALL
Roper Technologies
ROP
$40.3B
– –
-98
Closed -$9K
ROST icon
6085
Ross Stores
ROST
$73.7B
– –
-346
Closed -$17.7K
RRC icon
6086
Range Resources
RRC
$9.81B
– –
-2,022
Closed -$78.9K
RRGB icon
6087
Red Robin
RRGB
$160M
– –
-773
Closed -$65K
RS icon
6088
Reliance Steel & Aluminium
RS
$20.4B
– –
-123
Closed -$7.2K
RUSHA icon
6089
Rush Enterprises Class A
RUSHA
$5.95B
– –
-145
Closed -$1.08K
RVTY icon
6090
CALL
Revvity
RVTY
$14.5B
– –
-21
Closed -$2K
RY icon
6091
Royal Bank of Canada
RY
$292B
– –
-2,628
Closed -$150K
RYN icon
6092
Rayonier
RYN
$6.09B
– –
-629
Closed -$13.6K
RYN icon
6093
PUT
Rayonier
RYN
$6.09B
– –
-9
Closed -$7K
SA
6094
Seabridge Gold
SA
$3.43B
– –
-3,245
Closed -$17.7K
SABR icon
6095
CALL
Sabre
SABR
$860M
– –
-25
Closed -$3K
SAH icon
6096
Sonic Automotive
SAH
$2.56B
$0 ﹤0.01%
+37
New +$827
SAIC icon
6097
CALL
Saic
SAIC
$5.31B
– –
-9
Closed -$2K
SANW
6098
CALL
DELISTED
S&W Seed Co
SANW
– –
-1
Closed -$2K
FLNA
6099
Filana Therapeutics
FLNA
$39.6M
– –
-132
Closed -$1K
SBH icon
6100
Sally Beauty Holdings
SBH
$1.56B
– –
-153
Closed -$4K
242 243
244
245 246

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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.