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