0001398344-16-020321.txt : 20161103 0001398344-16-020321.hdr.sgml : 20161103 20161103150337 ACCESSION NUMBER: 0001398344-16-020321 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161103 DATE AS OF CHANGE: 20161103 EFFECTIVENESS DATE: 20161103 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: 161971275 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 09-30-2016 09-30-2016 false Iron Financial, LLC

630 Dundee Road, Suite 200 Northbrook IL 60062

13F HOLDINGS REPORT 028-15674 N Richard Lakin 847-715-3200 /s/ Richard Lakin Northbrook IL 11-03-2016 0 75 81911 INFORMATION TABLE 2 fp0022341_13fhr-table.xml 13F INFORMATION TABLE BANK AMER CORP COM 060505104 304 19434 SH SOLE 0 0 19434 CHIPOTLE MEXICAN GRILL INC COM 169656105 272 642 SH SOLE 0 0 642 DISNEY WALT CO COM DISNEY 254687106 313 3375 SH SOLE 0 0 3375 GENERAL ELECTRIC CO COM 369604103 453 15297 SH SOLE 0 0 15297 INTEL CORP COM 458140100 603 15963 SH SOLE 0 0 15963 JETBLUE AIRWAYS CORP COM 477143101 216 12500 SH SOLE 0 0 12500 JOHNSON & JOHNSON COM 478160104 519 4391 SH SOLE 0 0 4391 MICROSOFT CORP COM 594918104 537 9321 SH SOLE 0 0 9321 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADR 606822104 81 16094 SH SOLE 0 0 16094 PNC FINL SVCS GROUP INC COM 693475105 527 5854 SH SOLE 0 0 5854 PROCTER AND GAMBLE CO COM 742718109 386 4296 SH SOLE 0 0 4296 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 1461 17406 SH SOLE 0 0 17406 VANGUARD ADMIRAL FDS INC MIDCP 400 IDX 921932885 3572 34165 SH SOLE 0 0 34165 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 240 4930 SH SOLE 0 0 4930 WALGREENS BOOTS ALLIANCE INC COM 931427108 228 2826 SH SOLE 0 0 2826 WESTELL TECHNOLOGIES INC CL A 957541105 5 10000 SH SOLE 0 0 10000 AT&T INC COM 00206R102 474 11677 SH SOLE 0 0 11677 ACORDA THERAPEUTICS INC NOTE 1.750% 6/1 00484MAA4 382 465000 SH SOLE 0 0 465000 AMERICAN AIRLS GROUP INC COM 02376R102 1083 29575 SH SOLE 0 0 29575 ARES CAP CORP NOTE 4.750% 1/1 04010LAJ2 469 450000 SH SOLE 0 0 450000 BROCADE COMMUNICATIONS SYS I NOTE 1.375% 1/0 111621AQ1 342 345000 SH SOLE 0 0 345000 BROOKDALE SR LIVING INC NOTE 2.750% 6/1 112463AA2 496 495000 SH SOLE 0 0 495000 CBOE HLDGS INC COM 12503M108 1067 16449 SH SOLE 0 0 16449 CORNERSTONE ONDEMAND INC NOTE 1.500% 7/0 21925YAB9 525 480000 SH SOLE 0 0 480000 ETF SER SOLUTIONS US GLB JETS 26922A842 219 9500 SH SOLE 0 0 9500 INSULET CORP NOTE 2.000% 6/1 45784PAD3 517 470000 SH SOLE 0 0 470000 JPMORGAN CHASE & CO COM 46625H100 533 8012 SH SOLE 0 0 8012 LIVE NATION ENTERTAINMENT IN DBCV 2.500% 5/1 538034AJ8 464 425000 SH SOLE 0 0 425000 MACQUARIE INFRASTRUCTURE COR NOTE 2.875% 7/1 55608BAA3 465 395000 SH SOLE 0 0 395000 MERITAGE HOMES CORP NOTE 1.875% 9/1 59001AAR3 394 395000 SH SOLE 0 0 395000 MOLINA HEALTHCARE INC DBCV 1.625% 8/1 60855RAD2 587 495000 SH SOLE 0 0 495000 NATIONAL HEALTH INVS INC NOTE 3.250% 4/0 63633DAE4 469 405000 SH SOLE 0 0 405000 NORTHSTAR ASSET MGMT GROUP I COM 66705Y104 164 12680 SH SOLE 0 0 12680 PROSPECT CAPITAL CORPORATION NOTE 5.375%10/1 74348TAK8 419 400000 SH SOLE 0 0 400000 SEACOR HOLDINGS INC NOTE 2.500%12/1 811904AM3 425 420000 SH SOLE 0 0 420000 SHUTTERFLY INC NOTE 0.250% 5/1 82568PAB2 353 360000 SH SOLE 0 0 360000 STARWOOD PPTY TR INC NOTE 4.000% 1/1 85571BAB1 466 410000 SH SOLE 0 0 410000 TOWN SPORTS INTL HLDGS INC COM 89214A102 56 18000 SH SOLE 0 0 18000 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 3746 46504 SH SOLE 0 0 46504 VECTOR GROUP LTD NOTE 1.750% 4/1 92240MBC1 558 485000 SH SOLE 0 0 485000 VERIZON COMMUNICATIONS INC COM 92343V104 359 6912 SH SOLE 0 0 6912 VERINT SYS INC NOTE 1.500% 6/0 92343XAA8 476 500000 SH SOLE 0 0 500000 VIPSHOP HLDGS LTD NOTE 1.500% 3/1 92763WAA1 512 475000 SH SOLE 0 0 475000 WEBMD HEALTH CORP NOTE 2.500% 1/3 94770VAF9 433 415000 SH SOLE 0 0 415000 YAMANA GOLD INC COM 98462Y100 49 11405 SH SOLE 0 0 11405 ABBVIE INC COM 00287Y109 207 3282 SH SOLE 0 0 3282 AKAMAI TECHNOLOGIES INC DBCV 2/1 00971TAG6 24 25000 SH SOLE 0 0 25000 AMAZON COM INC COM 023135106 281 336 SH SOLE 0 0 336 ECHO GLOBAL LOGISTICS INC NOTE 2.500% 5/0 27875TAA9 471 495000 SH SOLE 0 0 495000 EXXON MOBIL CORP COM 30231G102 297 3407 SH SOLE 0 0 3407 HAIN CELESTIAL GROUP INC COM 405217100 370 10400 SH SOLE 0 0 10400 HOME DEPOT INC COM 437076102 249 1938 SH SOLE 0 0 1938 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 257 18595 SH SOLE 0 0 18595 PROSHARES TR ULTRAPRO SH NW14 74348A418 155 11600 SH SOLE 0 0 11600 ROYAL BK SCOTLAND GROUP PLC SPONS ADR 2 ORD 780097689 47 10000 SH SOLE 0 0 10000 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 2286 40786 SH SOLE 0 0 40786 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 2261 26874 SH SOLE 0 0 26874 APPLE INC COM 037833100 2783 24621 SH SOLE 0 0 24621 INTUIT COM 461202103 330 3000 SH SOLE 0 0 3000 ISHARES TR MSCI EMG MKT ETF 464287234 545 14564 SH SOLE 0 0 14564 ISHARES TR MSCI EAFE ETF 464287465 1403 23731 SH SOLE 0 0 23731 ISHARES TR RUSSELL 2000 ETF 464287655 388 3123 SH SOLE 0 0 3123 VANGUARD STAR FD VG TL INTL STK F 921909768 6514 137984 SH SOLE 0 0 137984 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1282 28220 SH SOLE 0 0 28220 VANGUARD INDEX FDS TOTAL STK MKT 922908769 18517 166324 SH SOLE 0 0 166324 CME GROUP INC COM 12572Q105 9611 91951 SH SOLE 0 0 91951 COLONY CAP INC NOTE 3.875% 1/1 19624RAB2 424 430000 SH SOLE 0 0 430000 HOLOGIC INC FRNT 12/1 436440AG6 503 410000 SH SOLE 0 0 410000 JDS UNIPHASE CORP DBCV 0.625% 8/1 46612JAF8 448 450000 SH SOLE 0 0 450000 KB HOME NOTE 1.375% 2/0 48666KAS8 492 505000 SH SOLE 0 0 505000 RPM INTL INC NOTE 2.250%12/1 749685AT0 500 415000 SH SOLE 0 0 415000 SPDR S&P 500 ETF TR TR UNIT 78462F103 4569 21122 SH SOLE 0 0 21122 WORKDAY INC NOTE 0.750% 7/1 98138HAC5 314 255000 SH SOLE 0 0 255000 CEMEX SAB DE CV SPON ADR NEW 151290889 97 12267 SH SOLE 0 0 12267 NOKIA CORP SPONSORED ADR 654902204 66 11468 SH SOLE 0 0 11468