0001398344-17-000949.txt : 20170127 0001398344-17-000949.hdr.sgml : 20170127 20170127144827 ACCESSION NUMBER: 0001398344-17-000949 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170127 DATE AS OF CHANGE: 20170127 EFFECTIVENESS DATE: 20170127 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: 17553217 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 12-31-2016 12-31-2016 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 01-27-2017 0 80 146426 INFORMATION TABLE 2 fp0023606_13fhr-table.xml 13F INFORMATION TABLE ABBVIE INC COM 00287Y109 206 3288 SH SOLE 0 0 3288 ACORDA THERAPEUTICS INC NOTE 1.750% 6/1 00484MAA4 342 450000 SH SOLE 0 0 450000 AKAMAI TECHNOLOGIES INC DBCV 2/1 00971TAG6 520 500000 SH SOLE 0 0 500000 AMAZON COM INC COM 023135106 343 457 SH SOLE 0 0 457 AMTRUST FINL SVCS INC NOTE 2.750%12/1 032359AG6 391 460000 SH SOLE 0 0 460000 APPLE INC COM 037833100 2525 21804 SH SOLE 0 0 21804 ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH 03938L104 73 10000 SH SOLE 0 0 10000 ARES CAP CORP NOTE 4.750% 1/1 04010LAJ2 995 960000 SH SOLE 0 0 960000 AT&T INC COM 00206R102 490 11533 SH SOLE 0 0 11533 BANK AMER CORP COM 060505104 470 21275 SH SOLE 0 0 21275 BROOKDALE SR LIVING INC NOTE 2.750% 6/1 112463AA2 951 975000 SH SOLE 0 0 975000 CBOE HLDGS INC COM 12503M108 1082 14649 SH SOLE 0 0 14649 CEMEX SAB DE CV SPON ADR NEW 151290889 88 10914 SH SOLE 0 0 10914 CME GROUP INC COM 12572Q105 10286 89171 SH SOLE 0 0 89171 CHIPOTLE MEXICAN GRILL INC COM 169656105 250 662 SH SOLE 0 0 662 CITRIX SYS INC NOTE 0.500% 4/1 177376AD2 539 465000 SH SOLE 0 0 465000 SEACOR HOLDINGS INC NOTE 3.000%11/1 81170YAB5 443 500000 SH SOLE 0 0 500000 COLONY CAP INC NOTE 3.875% 1/1 19624RAB2 411 405000 SH SOLE 0 0 405000 CORNERSTONE ONDEMAND INC NOTE 1.500% 7/0 21925YAB9 1009 965000 SH SOLE 0 0 965000 CEMEX SAB DE CV NOTE 3.750% 3/1 151290BC6 563 500000 SH SOLE 0 0 500000 DISNEY WALT CO COM DISNEY 254687106 354 3395 SH SOLE 0 0 3395 ECHO GLOBAL LOGISTICS INC NOTE 2.500% 5/0 27875TAA9 467 475000 SH SOLE 0 0 475000 ELECTRONICS FOR IMAGING INC NOTE 0.750% 9/0 286082AC6 1021 960000 SH SOLE 0 0 960000 PROSPECT CAPITAL CORPORATION NOTE 5.750% 3/1 74348TAL6 514 500000 SH SOLE 0 0 500000 SPDR S&P 500 ETF TR TR UNIT 78462F103 4757 21200 SH SOLE 0 0 21200 GENERAL ELECTRIC CO COM 369604103 457 14470 SH SOLE 0 0 14470 GOGO INC NOTE 3.750% 3/0 38046CAB5 744 975000 SH SOLE 0 0 975000 HAIN CELESTIAL GROUP INC COM 405217100 316 8100 SH SOLE 0 0 8100 HOME DEPOT INC COM 437076102 241 1800 SH SOLE 0 0 1800 ISHARES TR IBOXX HI YD ETF 464288513 15646 180775 SH SOLE 0 0 180775 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 2497 25000 SH SOLE 0 0 25000 INTEL CORP COM 458140100 560 15450 SH SOLE 0 0 15450 INTUIT COM 461202103 344 3000 SH SOLE 0 0 3000 JETBLUE AIRWAYS CORP COM 477143101 280 12500 SH SOLE 0 0 12500 SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 18072 495800 SH SOLE 0 0 495800 JOHNSON & JOHNSON COM 478160104 466 4044 SH SOLE 0 0 4044 KB HOME NOTE 1.375% 2/0 48666KAS8 475 485000 SH SOLE 0 0 485000 LIVE NATION ENTERTAINMENT IN DBCV 2.500% 5/1 538034AJ8 1022 955000 SH SOLE 0 0 955000 MACQUARIE INFRASTRUCTURE COR NOTE 2.875% 7/1 55608BAA3 1029 880000 SH SOLE 0 0 880000 MICROSOFT CORP COM 594918104 562 9042 SH SOLE 0 0 9042 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADR 606822104 95 15456 SH SOLE 0 0 15456 MOLINA HEALTHCARE INC DBCV 1.625% 8/1 60855RAD2 1108 970000 SH SOLE 0 0 970000 JPMORGAN CHASE & CO COM 46625H100 574 6653 SH SOLE 0 0 6653 ISHARES TR MSCI EAFE ETF 464287465 1085 18792 SH SOLE 0 0 18792 ISHARES TR MSCI EMG MKT ETF 464287234 401 11459 SH SOLE 0 0 11459 NATIONAL HEALTH INVS INC NOTE 3.250% 4/0 63633DAE4 998 885000 SH SOLE 0 0 885000 NORTHSTAR ASSET MGMT GROUP I COM 66705Y104 189 12680 SH SOLE 0 0 12680 OLD REP INTL CORP NOTE 3.750% 3/1 680223AH7 1001 795000 SH SOLE 0 0 795000 PAPA MURPHYS HLDGS INC COM 698814100 78 18600 SH SOLE 0 0 18600 POWERSHARES ETF TR II FDM HG YLD RAFI 73936T557 15262 812257 SH SOLE 0 0 812257 PNC FINL SVCS GROUP INC COM 693475105 685 5854 SH SOLE 0 0 5854 PROCTER AND GAMBLE CO COM 742718109 359 4269 SH SOLE 0 0 4269 ROYAL BK SCOTLAND GROUP PLC SPONS ADR 2 ORD 780097689 55 10000 SH SOLE 0 0 10000 RPM INTL INC NOTE 2.250%12/1 749685AT0 479 400000 SH SOLE 0 0 400000 ISHARES TR RUSSELL 2000 ETF 464287655 382 2834 SH SOLE 0 0 2834 SEACOR HOLDINGS INC NOTE 2.500%12/1 811904AM3 424 410000 SH SOLE 0 0 410000 SHUTTERFLY INC NOTE 0.250% 5/1 82568PAB2 863 850000 SH SOLE 0 0 850000 SPDR S&P 500 ETF TR TR UNIT 78462F103 4361 19511 SH SOLE 0 0 19511 STARWOOD PPTY TR INC NOTE 4.000% 1/1 85571BAB1 1008 890000 SH SOLE 0 0 890000 TOWN SPORTS INTL HLDGS INC COM 89214A102 35 14000 SH SOLE 0 0 14000 VALEANT PHARMACEUTICALS INTL COM 91911K102 180 12394 SH SOLE 0 0 12394 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 1486 17451 SH SOLE 0 0 17451 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 236 4930 SH SOLE 0 0 4930 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1196 27073 SH SOLE 0 0 27073 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 2140 39420 SH SOLE 0 0 39420 VANGUARD ADMIRAL FDS INC MIDCP 400 IDX 921932885 3727 33487 SH SOLE 0 0 33487 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 3654 46041 SH SOLE 0 0 46041 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 2123 26273 SH SOLE 0 0 26273 VANGUARD STAR FD VG TL INTL STK F 921909768 5756 125450 SH SOLE 0 0 125450 VANGUARD INDEX FDS TOTAL STK MKT 922908769 17746 153886 SH SOLE 0 0 153886 VECTOR GROUP LTD NOTE 1.750% 4/1 92240MBC1 1115 965000 SH SOLE 0 0 965000 VERINT SYS INC NOTE 1.500% 6/0 92343XAA8 921 980000 SH SOLE 0 0 980000 VERIZON COMMUNICATIONS INC COM 92343V104 365 6833 SH SOLE 0 0 6833 VANGUARD SCOTTSDALE FDS INT-TERM GOV 92206C706 1384 21652 SH SOLE 0 0 21652 JDS UNIPHASE CORP DBCV 0.625% 8/1 46612JAF8 970 935000 SH SOLE 0 0 935000 WALGREENS BOOTS ALLIANCE INC COM 931427108 226 2727 SH SOLE 0 0 2727 WEBMD HEALTH CORP NOTE 2.500% 1/3 94770VAF9 926 900000 SH SOLE 0 0 900000 WESTELL TECHNOLOGIES INC CL A 957541105 7 10000 SH SOLE 0 0 10000 WORKDAY INC NOTE 0.750% 7/1 98138HAC5 990 940000 SH SOLE 0 0 940000 YAMANA GOLD INC COM 98462Y100 32 11405 SH SOLE 0 0 11405