0001398344-14-002625.txt : 20140507 0001398344-14-002625.hdr.sgml : 20140507 20140507170137 ACCESSION NUMBER: 0001398344-14-002625 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140331 FILED AS OF DATE: 20140507 DATE AS OF CHANGE: 20140507 EFFECTIVENESS DATE: 20140507 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: 14821839 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 03-31-2014 03-31-2014 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 05-07-2014 0 76 131456
INFORMATION TABLE 2 fp0010447_13fhr-table.xml 13F INFORMATION TABLE SPDR S&P 500 ETF TR TR UNIT 78462F103 34030 181969 SH SOLE 0 0 181969 VANGUARD INDEX FDS TOTAL STK MKT 922908769 10073 103342 SH SOLE 0 0 103342 CME GROUP INC COM 12572Q105 8358 112915 SH SOLE 0 0 112915 VANGUARD DIVIDEND APPRECIATION ETF DIV APP ETF 921908844 6589 87583 SH SOLE 0 0 87583 VANGUARD SHORT-TERM CORP BD IDX ETF SHRT TRM CORP BD 92206C409 5624 70321 SH SOLE 0 0 70321 SPDR DJ SER TRST BARCLY CNVT B ND ETF BRC CNV SECS ETF 78464A359 5348 110526 SH SOLE 0 0 110526 VANGUARD S&P MID CAP 400 IDX ETF MIDCP 400 IDX 921932885 4646 50150 SH SOLE 0 0 50150 ISHARES MSCI EAFE ETF 464287465 4217 62746 SH SOLE 0 0 62746 VANGUARD STAR FD VG TL INTL STK F 921909768 3974 76137 SH SOLE 0 0 76137 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 3784 169390 SH SOLE 0 0 169390 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 3727 41850 SH SOLE 0 0 41850 S&P MID CAP TRUST UTSER1 S&PDCRP 78467Y107 3717 14836 SH SOLE 0 0 14836 ISHARES SELECT DIVID ETF 464287168 3703 50505 SH SOLE 0 0 50505 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 3682 85501 SH SOLE 0 0 85501 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 3630 69368 SH SOLE 0 0 69368 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 3626 99757 SH SOLE 0 0 99757 APPLE COMPUTER INC COM 037833100 2101 3914 SH SOLE 0 0 3914 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1881 37396 SH SOLE 0 0 37396 ISHARES MSCI EMG MKT ETF 464287234 1429 34849 SH SOLE 0 0 34849 CBOE HOLDINGS INC COMMON COM 12503M108 1018 17991 SH SOLE 0 0 17991 ISHARES RUSSELL 2000 ETF 464287655 757 6510 SH SOLE 0 0 6510 GOOGLE INC CL A CL A 38259P508 730 655 SH SOLE 0 0 655 AT&T COM 00206R102 576 16425 SH SOLE 0 0 16425 MORGAN J P & CO INC COM 46625H100 564 9296 SH SOLE 0 0 9296 PNC FINANCIAL SVCS GROUP INC COM 693475105 511 5876 SH SOLE 0 0 5876 BANK AMERICA COM 060505104 508 29561 SH SOLE 0 0 29561 MICROSOFT CORP COM 594918104 485 11827 SH SOLE 0 0 11827 INTEL CORP COM 458140100 478 18500 SH SOLE 0 0 18500 VERIZON COMMUNICATIONS COM 92343V104 455 9560 SH SOLE 0 0 9560 GENERAL ELECTRIC CO. COM 369604103 438 16925 SH SOLE 0 0 16925 ON SEMICONDUCTOR CORP SR SUB NT SER B NOTE 2.625%12/1 682189AH8 411 335000 SH SOLE 0 0 335000 SEACOR SMITH INC SR NT CONV NOTE 2.500%12/1 811904AM3 402 335000 SH SOLE 0 0 335000 ICONIX BRAND GROUP INC SR SB CONV NT 16 NOTE 2.500% 6/0 451055AE7 397 290000 SH SOLE 0 0 290000 STONE ENERGY CORP CONV NOTE 1.750% 3/0 861642AN6 386 315000 SH SOLE 0 0 315000 MENTOR GRAPHIC CORP CONV SDCV 4.000% 4/0 587200AK2 348 275000 SH SOLE 0 0 275000 MERITAGE HOMES CONV NOTE 1.875% 9/1 59001AAR3 339 320000 SH SOLE 0 0 320000 NUVASIVE INC SR NT CONV NOTE 2.750% 7/0 670704AC9 334 280000 SH SOLE 0 0 280000 PDL BIOPHRARMA INC SR NT CONV COM 69329y104 333 315000 SH SOLE 0 0 315000 WALTER INVESTMENT MGMT NOTE 4.500%11/0 93317WAA0 332 345000 SH SOLE 0 0 345000 COMTECH TELECOMMUNICATIONS COR SR NT CONV NOTE 3.000% 5/0 205826AF7 321 310000 SH SOLE 0 0 310000 STARWOOD PROPERTY TRUST CONV NOTE 4.000% 1/1 85571BAB1 317 275000 SH SOLE 0 0 275000 BGC PARTNERS SR UNSECURED CONV LKD TO BGCP NOTE 4.500% 7/1 05541TAD3 316 295000 SH SOLE 0 0 295000 AMERICAN AIRLINES GROUP INC CO M COM 02376R102 314 8592 SH SOLE 0 0 8592 GENERAL CABLE CORP SR NT CV ST EP 29 FRNT 5.000%11/1 369300AL2 311 310000 SH SOLE 0 0 310000 PROSPECT CAPITAL CORPORATION SR UNSECURED CONVERT MTNF 5.375%10/1 74348TAK8 309 285000 SH SOLE 0 0 285000 ARES CAPITAL CORP NOTE 5.750% 2/0 04010LAB9 308 280000 SH SOLE 0 0 280000 INTEGRA LIFESCIENCE HOLDS CORP SR UNSECURED CONV L NOTE 1.625%12/1 457985AK5 304 285000 SH SOLE 0 0 285000 VOLCANO CORP CONV NOTE 1.750%12/0 928645AB6 299 300000 SH SOLE 0 0 300000 COBALT INTL ENERGY INC SR NT CONV NOTE 2.625%12/0 19075FAA4 290 305000 SH SOLE 0 0 305000 INTERDIGITAL INC SR NT CV 2.5% 16 NOTE 2.500% 3/1 458660AB3 280 270000 SH SOLE 0 0 270000 ELECTRONIC ARTS OMC SR NT CONV NOTE 0.750% 7/1 285512AA7 279 240000 SH SOLE 0 0 240000 ARCELORMITTAL SA LUXEMBOURG OR D CONV NT MAND CV NT 16 L0302D178 278 11593 SH SOLE 0 0 11593 RTI INTL METALS INC SE CONVERTIBLE NOTE 1.625%10/1 74973WAB3 277 280000 SH SOLE 0 0 280000 MERRIMACK PHARMACEUTICALS INC FIXED RT SR NT CONV NOTE 4.500% 7/1 590328AA8 265 260000 SH SOLE 0 0 260000 AMERICAN RLTY CAP PPTYS FIXED RT NOTE 3.000% 8/0 02917TAA2 246 230000 SH SOLE 0 0 230000 PEABODY ENERGY CORP JR SUBORDINATED CONVERTIBLE SDCV 4.750%12/1 704549AG9 239 290000 SH SOLE 0 0 290000 NUANCE COMMUNICATIONS INC FIXED RT SR DEB CONV NOTE 2.750%11/0 67020YAF7 223 220000 SH SOLE 0 0 220000 RYLAND GROUP INC GTD CONV FX RT NOTE 0.250% 6/0 783764AS2 208 220000 SH SOLE 0 0 220000 COCA COLA COM 191216100 201 5192 SH SOLE 0 0 5192 TELECOM ITALIA SPA SPONSORED ADR REPSTG 10 ORD SHS SPON ADR ORD 87927Y102 182 15450 SH SOLE 0 0 15450 DOLLAR FINANCIAL CORP SR NT CONV NOTE 3.000% 4/0 256664AC7 177 190000 SH SOLE 0 0 190000 ROYAL GOLD INC CONVERTIBLE SR NT NOTE 2.875% 6/1 780287AA6 173 165000 SH SOLE 0 0 165000 OMNICARE INC SR DB CONV/CALL/P UT DBCV 3.250%12/1 681904AL2 172 160000 SH SOLE 0 0 160000 BLACKROCK ENHANCED DIVID ACHIEVERS TR COM 09251A104 168 21176 SH SOLE 0 0 21176 NUVEEN NEW YORK AMT FREE MUNICIPAL INCOME FUND COM 670656107 160 12498 SH SOLE 0 0 12498 STERLITE INDUSTRIES LTD SR NT CV NOTE 4.000%10/3 859737AB4 158 155000 SH SOLE 0 0 155000 CELLULAR DYNAMICS INTL INC COM COM 15117V109 150 10051 SH SOLE 0 0 10051 WEBMD HEALTH CORP SR NT CV 144 A 18 NOTE 2.500% 1/3 94770VAF9 132 130000 SH SOLE 0 0 130000 AEGON N V NY REGISTRY SH 007924103 107 11677 SH SOLE 0 0 11677 LIBERTY MEDIA CORP DEB 3.500% 1/1 530715AN1 97 180000 SH SOLE 0 0 180000 CACI INTL INC SRNT CV NOTE 2.125% 5/0 127190AD8 81 60000 SH SOLE 0 0 60000 NUANCE COMMUNICATIONS INC SR UNSECURED CONVERTIBL DBCV 2.750% 8/1 67020YAB6 65 60000 SH SOLE 0 0 60000 CENTRAIS ELEC BRAS SP ADR COM SPONSORED ADR 15234Q207 41 14380 SH SOLE 0 0 14380 WESTELL TECHNOLOGIES INC-CL A CL A 957541105 37 10000 SH SOLE 0 0 10000 STEMCELLS INC COM NEW 85857R204 16 11600 SH SOLE 0 0 11600 RUBICON MINERALS CORP COM COM 780911103 13 12350 SH SOLE 0 0 12350