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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
+2.14%
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
$860M
AUM Growth
+$34.4M
Cap. Flow
-$17.8M
Cap. Flow %
-2.07%
Top 10 Hldgs %
14.96%
Holding
6,670
New
1,973
Increased
1,386
Reduced
1,513
Closed
1,643

Top Buys

Rank Stock Value
1
GOOG icon
Alphabet (Google) Class C
GOOG
+$40.1M
2
BRK.B icon
Berkshire Hathaway Class B
BRK.B
+$12.5M
3
BABA icon
Alibaba
BABA
+$10.5M
4
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$9.89M
5
INTC icon
Intel
INTC
+$9.83M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$35.7M
2
GILD icon
Gilead Sciences
GILD
+$32.3M
3
AMZN icon
Amazon
AMZN
+$29M
4
BKNG icon
Booking.com
BKNG
+$28.4M
5
BIDU icon
Baidu
BIDU
+$13.3M

Sector Composition

Rank Sector Weight
1 Communication Services 7.76%
2 Consumer Discretionary 7.62%
3 Healthcare 7.24%
4 Technology 6.95%
5 Financials 4.83%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SD
6176
PUT
DELISTED
SANDRIDGE ENERGY, INC.
SD
– –
-105
Closed -$49K
DOM
6177
PUT
DELISTED
DOMINION RES BLACK WARRIOR TR
DOM
– –
-12
Closed -$1K
TW
6178
CALL
DELISTED
TOWERS WATSON & CO COM STK CL A (DE)
TW
– –
-53
Closed -$35K
WAVX
6179
CALL
DELISTED
WAVE SYS CORP CL A NEW COM STK (DE)
WAVX
– –
-21
Closed -$2K
FXEN
6180
DELISTED
FX ENERGY INC
FXEN
$0 ﹤0.01%
42
-156
-79% -$249
NYNY
6181
DELISTED
Empire Resorts, Inc.
NYNY
– –
-2,748
Closed -$78.4K
NYNY
6182
PUT
DELISTED
Empire Resorts, Inc.
NYNY
– –
-8
Closed -$2K
HKTV
6183
DELISTED
HONG KONG TELEVISION NETWORK LTD
HKTV
$0 ﹤0.01%
+2
New +$16
SFY
6184
DELISTED
SWIFT ENERGY CO (HOLDING COMPANY)
SFY
– –
-1,789
Closed -$4.64K
CYT
6185
PUT
DELISTED
CYTEC INDS INC
CYT
– –
-38
Closed -$5K
STNR
6186
CALL
DELISTED
STEINER LEISURE LTD
STNR
– –
-1
Closed -$1K
STNR
6187
DELISTED
STEINER LEISURE LTD
STNR
$0 ﹤0.01%
4
-18
-82% -$825
FSL
6188
DELISTED
FREESCALE SEMICONDUCTOR LTD
FSL
– –
-7,314
Closed -$252K
ONCY
6189
DELISTED
ONCOLYTICS BIOTECH INC
ONCY
$0 ﹤0.01%
646
-3,054
-83% -$1.96K
CYN
6190
PUT
DELISTED
CITY NATIONAL CORPORATION
CYN
– –
-32
Closed -$3K
CNW
6191
CALL
DELISTED
CON-WAY INC.
CNW
– –
-10
Closed -$8K
CNW
6192
PUT
DELISTED
CON-WAY INC.
CNW
– –
-11
Closed -$1K
HCBK
6193
CALL
DELISTED
HUDSON CITY BANCORP INC
HCBK
– –
-45
Closed -$2K
ESCR
6194
DELISTED
ESCALERA RESOURCES CO
ESCR
$0 ﹤0.01%
+100
New +$54
OMG
6195
PUT
DELISTED
OM GROUP INC.
OMG
– –
-17
Closed -$4K
ADEP
6196
DELISTED
Adept Technology Inc
ADEP
– –
-126
Closed -$1K
MM
6197
DELISTED
MILLENNIAL MEDIA INC COM STK (DE)
MM
$0 ﹤0.01%
179
-2,321
-93% -$3.55K
MM
6198
PUT
DELISTED
MILLENNIAL MEDIA INC COM STK (DE)
MM
– –
-25
Closed -$2K
CYBX
6199
CALL
DELISTED
CYBERONICS INC
CYBX
– –
-5
Closed -$1K
CYBX
6200
PUT
DELISTED
CYBERONICS INC
CYBX
– –
-28
Closed -$8K
246 247
248
249 250

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Simplex Trading's Q1 2015 Portfolio in Review

As of Q1 2015, Simplex Trading held 6,670 positions worth $860M, up 4.2% from $826M the previous quarter. Its ten largest holdings account for 15% of the portfolio.

Simplex Trading's Q1 2015 filing shows 1,973 new, 1,386 increased, 1,513 reduced and 1,643 closed positions. Its largest new stake was Alphabet (Google) Class C: 1,497,580 shares worth $41.4M. The largest sale was Apple, an estimated $35.7M.

By sector, the portfolio is most concentrated in Communication Services at 7.8% of assets, up from 4.8% a quarter earlier, followed by Consumer Discretionary and Healthcare.

  • Simplex Trading's largest Q1 2015 buy was Alphabet (Google) Class C: 1,497,580 shares worth $41.4M.
  • Simplex Trading added most to Alibaba in Q1 2015, an estimated $10.5M increase.
  • Simplex Trading's biggest Q1 2015 reduction was Apple, cutting an estimated $35.7M.
  • Simplex Trading fully exited Amazon in Q1 2015, selling an estimated $29M.
  • Simplex Trading's ten largest holdings make up 15% of its $860M portfolio in Q1 2015.
  • Simplex Trading opened 1,973 new positions and closed 1,643 in Q1 2015.
  • Simplex Trading's portfolio value rose 4.2% quarter-over-quarter to $860M.

Based on Simplex Trading's 13F filing for Q1 2015, filed 21 Apr 2015.