0001398344-14-005384.txt : 20141022
0001398344-14-005384.hdr.sgml : 20141022
20141021181422
ACCESSION NUMBER: 0001398344-14-005384
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140930
FILED AS OF DATE: 20141022
DATE AS OF CHANGE: 20141021
EFFECTIVENESS DATE: 20141022
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Iron Financial, LLC
CENTRAL INDEX KEY: 0001595509
IRS NUMBER: 262409128
STATE OF INCORPORATION: IL
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-15674
FILM NUMBER: 141166476
BUSINESS ADDRESS:
STREET 1: 630 DUNDEE ROAD, SUITE 200
CITY: NORTHBROOK
STATE: IL
ZIP: 60062
BUSINESS PHONE: 847-715-3200
MAIL ADDRESS:
STREET 1: 630 DUNDEE ROAD, SUITE 200
CITY: NORTHBROOK
STATE: IL
ZIP: 60062
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001595509
XXXXXXXX
09-30-2014
09-30-2014
false
Iron Financial, LLC
630 Dundee Road, Suite 200
Northbrook
IL
60062
13F HOLDINGS REPORT
028-15674
N
Richard Lakin
Chief Compliance Officer
847-715-3200
/s/ Richard Lakin
Northbrook
IL
10-21-2014
0
70
78378
INFORMATION TABLE
2
fp0011959_13fhr-table.xml
13F INFORMATION TABLE
AEGON NV-ORD AMERICAN REGD DG 1 PAR
NY REGISTRY SH
007924103
89
10868
SH
SOLE
0
0
10868
AMERICAN AIRLINES GROUP INC CO M
COM
02376R102
679
19145
SH
SOLE
0
0
19145
AMERICAN RLTY CAP PPTYS FIXED RT
NOTE 3.000% 8/0
02917TAA2
240
240000
SH
SOLE
0
0
240000
APPLE COMPUTER INC
COM
037833100
1095
23870
SH
SOLE
0
0
23870
ARCELORMITTAL SA LUXEMBOURG OR D CONV NT
MAND CV NT 16
L0302D178
264
12493
SH
SOLE
0
0
12493
AT&T
COM
00206R102
537
15238
SH
SOLE
0
0
15238
BANK AMERICA
COM
060505104
398
23365
SH
SOLE
0
0
23365
BGC PARTNERS SR UNSECURED CONV LKD TO BGCP
NOTE 4.500% 7/1
05541TAD3
356
335000
SH
SOLE
0
0
335000
CBOE HOLDINGS INC COMMON
COM
12503M108
963
17992
SH
SOLE
0
0
17992
CELLULAR DYNAMICS INTL INC COM
COM
15117V109
71
10051
SH
SOLE
0
0
10051
CENTRAIS ELEC BRAS SP ADR COM
SPONSORED ADR
15234Q207
39
14380
SH
SOLE
0
0
14380
CHICAGO MERCANTILE EXCHANGE HOLDINGS INC CL A
COM
12572Q105
8394
104988
SH
SOLE
0
0
104988
CHIPOTLE MEXICAN GRILL INC CL A
COM
169656105
200
300
SH
SOLE
0
0
300
COBALT INTL ENERGY INC SR NT CONV
NOTE 2.625%12/0
19075FAA4
272
325000
SH
SOLE
0
0
325000
ELECTRONIC ARTS OMC SR NT CONV
NOTE 0.750% 7/1
285512AA7
296
240000
SH
SOLE
0
0
240000
EXXON MOBIL CORPORATION
COM
30231G102
285
3031
SH
SOLE
0
0
3031
FINANCIAL SELECT SCTR IDX (SPDR)
SBI INT-FINL
81369Y605
7106
306679
SH
SOLE
0
0
306679
FXCM INC SR NOTEt CONV 2.250%
NOTE 2.250% 6/1
302693AB2
298
285000
SH
SOLE
0
0
285000
GENERAL CABLE CORP SR NT CV ST EP 29
FRNT 4.500%11/1
369300AL2
222
320000
SH
SOLE
0
0
320000
GENERAL ELECTRIC CO.
COM
369604103
434
16943
SH
SOLE
0
0
16943
GOOGLE INC CL A
CL A
38259P508
422
718
SH
SOLE
0
0
718
GOOGLE INC CL A
CL C
38259P706
434
752
SH
SOLE
0
0
752
HEALTH CARE SELECT SCTR (SPDR)
SBI HEALTHCARE
81369Y209
7036
110097
SH
SOLE
0
0
110097
IBM
COM
459200101
230
1210
SH
SOLE
0
0
1210
ICONIX BRAND GROUP INC SR SB CONV NT 16
NOTE 2.500% 6/0
451055AE7
336
265000
SH
SOLE
0
0
265000
INTEGRA LIFESCIENCE HOLDS CORP SR UNSECURED CONV L
NOTE 1.625%12/1
457985AK5
317
295000
SH
SOLE
0
0
295000
INTEL CORP
COM
458140100
627
18000
SH
SOLE
0
0
18000
INTERDIGITAL INC SR NT CV 2.5% 16
NOTE 2.500% 3/1
458660AB3
297
290000
SH
SOLE
0
0
290000
J2 GLOBAL SR NT CONV
NOTE 3.250% 6/1
48123VAC6
342
340000
SH
SOLE
0
0
340000
JOHNSON & JOHNSON
COM
478160104
535
5024
SH
SOLE
0
0
5024
LIBERTY MEDIA CORP SR EXCHBLE DEB
DEB 3.500% 1/1
530715AN1
318
575000
SH
SOLE
0
0
575000
MEDICINES CO SR NT CONV
DBCV 1.375% 6/0
584688AC9
357
335000
SH
SOLE
0
0
335000
MENTOR GRAPHIC CORP CONV
SDCV 4.000% 4/0
587200AK2
347
295000
SH
SOLE
0
0
295000
MERITAGE HOMES CONV
NOTE 1.875% 9/1
59001AAR3
354
355000
SH
SOLE
0
0
355000
MICROSOFT CORP
COM
594918104
500
10784
SH
SOLE
0
0
10784
MITSUBISHI UFJ FINL GROUP
SPONSORED ADR
606822104
89
15840
SH
SOLE
0
0
15840
MORGAN J P & CO INC
COM
46625H100
560
9303
SH
SOLE
0
0
9303
MSCI EAFE IDX (ISHARES)
MSCI EAFE ETF
464287465
2903
45271
SH
SOLE
0
0
45271
MSCI EMERGING MARKETS IDX (ISHARES)
MSCI EMG MKT ETF
464287234
1061
25532
SH
SOLE
0
0
25532
NATIONAL HEALTH INVESTOR CONV
NOTE 3.250% 4/0
63633DAE4
332
335000
SH
SOLE
0
0
335000
NSC
COM
655844108
201
1800
SH
SOLE
0
0
1800
NUANCE COMMUNICATIONS INC FIXED RT SR DEB CONV
NOTE 2.750%11/0
67020YAF7
229
230000
SH
SOLE
0
0
230000
NUVASIVE INC SR NT CONV
NOTE 2.750% 7/0
670704AC9
352
315000
SH
SOLE
0
0
315000
OMNICARE INC SR DB CONV/CALL/P UT
DBCV 3.250%12/1
681904AL2
344
330000
SH
SOLE
0
0
330000
ON SEMICONDUCTOR CORP SR SUB NT SER B
NOTE 2.625%12/1
682189AH8
407
360000
SH
SOLE
0
0
360000
PDL BIOPHRARMA INC SR NT CONV
NOTE 4.000% 2/0
69329YAF1
343
350000
SH
SOLE
0
0
350000
PNC FINANCIAL SVCS GROUP INC
COM
693475105
509
5951
SH
SOLE
0
0
5951
PROSPECT CAPITAL CORPORATION COM
COM
74348T102
99
10000
SH
SOLE
0
0
10000
PROSPECT CAPITAL CORPORATION SR UNSECURED CONVERT
NOTE 5.375%10/1
74348TAK8
337
320000
SH
SOLE
0
0
320000
ROYAL GOLD INC CONVERTIBLE SR NT
NOTE 2.875% 6/1
780287AA6
162
155000
SH
SOLE
0
0
155000
RTI INTL METALS INC SE CONVERTIBLE
NOTE 1.625%10/1
74973WAB3
294
305000
SH
SOLE
0
0
305000
RUBICON MINERALS CORP COM
COM
780911103
17
12350
SH
SOLE
0
0
12350
RUSSELL 2000 (ISHARES)
RUSSELL 2000 ETF
464287655
546
4990
SH
SOLE
0
0
4990
RYLAND GROUP INC GTD CONV FX RT
NOTE 0.250% 6/0
783764AS2
220
240000
SH
SOLE
0
0
240000
S&P SMALLCAP 600 (ISHARES)
CORE S&P SCP ETF
464287804
217
2084
SH
SOLE
0
0
2084
SEACOR SMITH INC SR NT CONV
NOTE 2.500%12/1
811904AM3
388
355000
SH
SOLE
0
0
355000
STANDARD & POORS DEPOSITARY (SPDR)
TR UNIT
78462F103
3873
19657
SH
SOLE
0
0
19657
STARWOOD PROPERTY TRUST CONV
NOTE 4.000% 1/1
85571BAB1
327
300000
SH
SOLE
0
0
300000
STERLITE INDUSTRIES LTD SR NT CV
NOTE 4.000%10/3
859737AB4
157
155000
SH
SOLE
0
0
155000
STONE ENERGY CORP CONV
NOTE 1.750% 3/0
861642AN6
370
350000
SH
SOLE
0
0
350000
STREETTRACKS GOLD TRUST
GOLD SHS
78463V107
203
1750
SH
SOLE
0
0
1750
TAKE TWO INTERACTIVE SOF CONV
NOTE 1.000% 7/0
874054AD1
315
255000
SH
SOLE
0
0
255000
VANGUARD DIVIDEND APPRECIATION ETF
DIV APP ETF
921908844
6860
89148
SH
SOLE
0
0
89148
VANGUARD FTSE ALL-WORLD EX-US ETF
ALLWRLD EX US
922042775
1774
36037
SH
SOLE
0
0
36037
VANGUARD S&P MID CAP 400 IDX ETF
MIDCP 400 IDX
921932885
4705
50676
SH
SOLE
0
0
50676
VANGUARD TOTAL INTL. STOCK ETF
VG TL INTL STK F
921909768
4084
80087
SH
SOLE
0
0
80087
VANGUARD TOTAL STOCK MARKET ETF
TOTAL STK MKT
922908769
10655
105250
SH
SOLE
0
0
105250
VOLCANO CORP CONV
NOTE 1.750%12/0
928645AB6
292
335000
SH
SOLE
0
0
335000
WALTER INVESTMENT MGMT
NOTE 4.500%11/0
93317WAA0
319
370000
SH
SOLE
0
0
370000
WEBMD HEALTH CORP SR NT CV 144 A 18
NOTE 2.500% 1/3
94770VAF9
142
140000
SH
SOLE
0
0
140000