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