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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
UGA icon
6226
CALL
United States Gasoline Fund
UGA
$167M
– –
-64
Closed -$13K
UHT
6227
Universal Health Realty Income Trust
UHT
$567M
– –
-31
Closed -$1.48K
UNH icon
6228
UnitedHealth
UNH
$356B
– –
-39,026
Closed -$4.67M
UNIT
6229
CALL
Uniti Group
UNIT
$2.47B
– –
-30
Closed -$1K
UNP icon
6230
Union Pacific
UNP
$172B
– –
-28,292
Closed -$2.58M
UPBD icon
6231
Upbound Group
UPBD
$1.11B
$0 ﹤0.01%
32
-3,288
-99% -$88.3K
USAC icon
6232
USA Compression Partners
USAC
$3.95B
– –
-4
Closed -$73
USPH icon
6233
CALL
US Physical Therapy
USPH
$1.18B
– –
-1
Closed -$1K
UUUU icon
6234
CALL
Energy Fuels
UUUU
$3.83B
– –
-20
Closed -$3K
UVXY icon
6235
ProShares Ultra VIX Short-Term Futures ETF
UVXY
$302M
– –
0
– -$1.39M
UXI icon
6236
ProShares Ultra Industrials
UXI
$29.1M
– –
-7,068
Closed -$67K
VAC icon
6237
Marriott Vacations Worldwide
VAC
$3.67B
– –
-2
Closed –
VANI icon
6238
CALL
Vivani Medical
VANI
$134M
– –
-2
Closed -$4K
VATE icon
6239
INNOVATE Corp
VATE
$101M
$0 ﹤0.01%
+10
New +$747
VB icon
6240
Vanguard Morningstar Small-Cap ETF
VB
$81B
– –
-1,791
Closed -$217K
VEA icon
6241
CALL
Vanguard FTSE Developed Markets ETF
VEA
$241B
– –
-102
Closed -$4K
VECO icon
6242
Veeco
VECO
$2.73B
– –
-1,233
Closed -$29.8K
VEON icon
6243
CALL
VEON
VEON
$4.42B
– –
-1
Closed -$3K
VEON icon
6244
VEON
VEON
$4.42B
– –
-162
Closed -$20.2K
VEON icon
6245
PUT
VEON
VEON
$4.42B
– –
-2
Closed -$4K
VERU icon
6246
Veru
VERU
$45M
$0 ﹤0.01%
+8
New +$121
VFC icon
6247
VF Corp
VFC
$5.29B
– –
-4,897
Closed -$335K
VFH icon
6248
Vanguard Financials ETF
VFH
$13.6B
– –
-315
Closed -$15K
VIAV icon
6249
Viavi Solutions
VIAV
$8.6B
$0 ﹤0.01%
41
-1,249
-97% -$7.33K
VICR icon
6250
CALL
Vicor
VICR
$8.69B
– –
-22
Closed -$2K
248 249
250
251 252

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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.