0001398344-17-005704.txt : 20170502 0001398344-17-005704.hdr.sgml : 20170502 20170502143752 ACCESSION NUMBER: 0001398344-17-005704 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170502 DATE AS OF CHANGE: 20170502 EFFECTIVENESS DATE: 20170502 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: 17804393 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 03-31-2017 03-31-2017 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 05-02-2017 0 87 138763 INFORMATION TABLE 2 fp0025581_13fhr-table.xml 13F INFORMATION TABLE AMAG PHARMACEUTICALS INC NOTE 2.500% 2/1 00163UAA4 585 535000 SH SOLE 0 0 535000 ACORDA THERAPEUTICS INC NOTE 1.750% 6/1 00484MAA4 423 495000 SH SOLE 0 0 495000 AKAMAI TECHNOLOGIES INC DBCV 2/1 00971TAG6 941 950000 SH SOLE 0 0 950000 ALLSCRIPTS HEALTHCARE SOLUTN NOTE 1.250% 7/0 01988PAD0 231 230000 SH SOLE 0 0 230000 AMTRUST FINL SVCS INC NOTE 2.750%12/1 032359AG6 788 1030000 SH SOLE 0 0 1030000 BROOKDALE SR LIVING INC NOTE 2.750% 6/1 112463AA2 969 975000 SH SOLE 0 0 975000 CSG SYS INTL INC NOTE 4.250% 3/1 126349AF6 590 565000 SH SOLE 0 0 565000 CEMEX SAB DE CV NOTE 3.750% 3/1 151290BC6 587 500000 SH SOLE 0 0 500000 CITRIX SYS INC NOTE 0.500% 4/1 177376AD2 615 490000 SH SOLE 0 0 490000 COLONY CAP INC NOTE 3.875% 1/1 19624RAB2 417 420000 SH SOLE 0 0 420000 CORNERSTONE ONDEMAND INC NOTE 1.500% 7/0 21925YAB9 1021 995000 SH SOLE 0 0 995000 ELECTRONICS FOR IMAGING INC NOTE 0.750% 9/0 286082AC6 1088 1000000 SH SOLE 0 0 1000000 EZCORP INC NOTE 2.625% 6/1 302301AB2 910 970000 SH SOLE 0 0 970000 GOGO INC NOTE 3.750% 3/0 38046CAB5 854 1020000 SH SOLE 0 0 1020000 HURON CONSULTING GROUP INC NOTE 1.250%10/0 447462AB8 415 445000 SH SOLE 0 0 445000 JDS UNIPHASE CORP DBCV 0.625% 8/1 46612JAF8 1088 975000 SH SOLE 0 0 975000 JAZZ INVESTMENTS I LTD NOTE 1.875% 8/1 472145AB7 37 35000 SH SOLE 0 0 35000 KB HOME NOTE 1.375% 2/0 48666KAS8 1060 1030000 SH SOLE 0 0 1030000 LIVE NATION ENTERTAINMENT IN DBCV 2.500% 5/1 538034AJ8 1091 995000 SH SOLE 0 0 995000 MACQUARIE INFRASTRUCTURE COR NOTE 2.875% 7/1 55608BAA3 1037 920000 SH SOLE 0 0 920000 MOLINA HEALTHCARE INC DBCV 1.625% 8/1 60855RAD2 1070 1010000 SH SOLE 0 0 1010000 NATIONAL HEALTH INVS INC NOTE 3.250% 4/0 63633DAE4 1048 925000 SH SOLE 0 0 925000 PENNYMAC CORP NOTE 5.375% 5/0 70932AAB9 987 990000 SH SOLE 0 0 990000 PROSPECT CAPITAL CORPORATION NOTE 4.750% 4/1 74348TAQ5 689 680000 SH SOLE 0 0 680000 RPM INTL INC NOTE 2.250%12/1 749685AT0 532 440000 SH SOLE 0 0 440000 SEACOR HOLDINGS INC NOTE 3.000%11/1 81170YAB5 492 545000 SH SOLE 0 0 545000 SEACOR HOLDINGS INC NOTE 2.500%12/1 811904AM3 420 410000 SH SOLE 0 0 410000 SHUTTERFLY INC NOTE 0.250% 5/1 82568PAB2 852 850000 SH SOLE 0 0 850000 SYNCHRONOSS TECHNOLOGIES INC NOTE 0.750% 8/1 87157BAA1 113 120000 SH SOLE 0 0 120000 VECTOR GROUP LTD NOTE 1.750% 4/1 92240MBC1 1145 1005000 SH SOLE 0 0 1005000 VERINT SYS INC NOTE 1.500% 6/0 92343XAA8 1018 1025000 SH SOLE 0 0 1025000 WEBMD HEALTH CORP NOTE 1.500%12/0 94770VAK8 83 70000 SH SOLE 0 0 70000 WORKDAY INC NOTE 0.750% 7/1 98138HAC5 1104 965000 SH SOLE 0 0 965000 WRIGHT MED GROUP INC NOTE 2.000% 2/1 98235TAE7 1144 955000 SH SOLE 0 0 955000 APPLE INC COM 037833100 3305 23004 SH SOLE 0 0 23004 ABBVIE INC COM 00287Y109 215 3295 SH SOLE 0 0 3295 AMAZON COM INC COM 023135106 529 597 SH SOLE 0 0 597 YAMANA GOLD INC COM 98462Y100 31 11405 SH SOLE 0 0 11405 BANK AMER CORP COM 060505104 605 25632 SH SOLE 0 0 25632 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 2227 27467 SH SOLE 0 0 27467 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 2220 41020 SH SOLE 0 0 41020 BERKSHIRE HATHAWAY INC CL US Equities 084670207 294 1765 SH SOLE 0 0 1765 CBOE HLDGS INC COM 12503M108 1167 14399 SH SOLE 0 0 14399 TOWN SPORTS INTL HLDGS INC COM 89214A102 50 14000 SH SOLE 0 0 14000 CME GROUP INC COM 12572Q105 10582 89071 SH SOLE 0 0 89071 DISNEY WALT CO COM DISNEY 254687106 375 3305 SH SOLE 0 0 3305 ISHARES TR MSCI EMG MKT ETF 464287234 416 10560 SH SOLE 0 0 10560 ISHARES TR MSCI EAFE ETF 464287465 1058 16992 SH SOLE 0 0 16992 PAPA MURPHYS HLDGS INC COM 698814100 89 18600 SH SOLE 0 0 18600 GENERAL ELECTRIC CO COM 369604103 411 13776 SH SOLE 0 0 13776 GOOGLE INC CL A US Equities 38259P706 559 674 SH SOLE 0 0 674 GOOGLE INC CL A US Equities 38259P508 438 517 SH SOLE 0 0 517 HAIN CELESTIAL GROUP INC COM 405217100 301 8100 SH SOLE 0 0 8100 ISHARES TR IBOXX HI YD ETF 464288513 13717 156266 SH SOLE 0 0 156266 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 1440 14246 SH SOLE 0 0 14246 INTEL CORP COM 458140100 557 15450 SH SOLE 0 0 15450 INTUIT COM 461202103 348 3000 SH SOLE 0 0 3000 VANGUARD ADMIRAL FDS INC MIDCP 400 IDX 921932885 3636 31435 SH SOLE 0 0 31435 ISHARES TR RUSSELL 2000 ETF 464287655 361 2629 SH SOLE 0 0 2629 JETBLUE AIRWAYS CORP COM 477143101 258 12500 SH SOLE 0 0 12500 JOHNSON & JOHNSON COM 478160104 469 3763 SH SOLE 0 0 3763 SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 10239 277261 SH SOLE 0 0 277261 JPMORGAN CHASE & CO COM 46625H100 672 7656 SH SOLE 0 0 7656 MICROSOFT CORP COM 594918104 629 9544 SH SOLE 0 0 9544 ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH 03938L104 125 15000 SH SOLE 0 0 15000 MICRON TECHNOLOGY INC COM 595112103 208 7200 SH SOLE 0 0 7200 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 273 16075 SH SOLE 0 0 16075 PROCTER AND GAMBLE CO COM 742718109 298 3317 SH SOLE 0 0 3317 POWERSHARES ETF TR II FDM HG YLD RAFI 73936T557 10000 531645 SH SOLE 0 0 531645 PNC FINL SVCS GROUP INC COM 693475105 700 5821 SH SOLE 0 0 5821 ROYAL BK SCOTLAND GROUP PLC SPONS ADR 2 ORD 780097689 61 10000 SH SOLE 0 0 10000 ISHARES TR 0-5YR HI YL CP 46434V407 573 11994 SH SOLE 0 0 11994 PROSHARES TR SHRT HGH YIELD 74347R131 567 23579 SH SOLE 0 0 23579 SPDR SER TR BLOOMBERG SRT TR 78468R408 929 33210 SH SOLE 0 0 33210 SPDR S&P 500 ETF TR TR UNIT 78462F103 9331 39535 SH SOLE 0 0 39535 AT&T INC COM 00206R102 479 11533 SH SOLE 0 0 11533 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 3796 47608 SH SOLE 0 0 47608 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1275 26656 SH SOLE 0 0 26656 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 254 4930 SH SOLE 0 0 4930 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 1529 16996 SH SOLE 0 0 16996 VALEANT PHARMACEUTICALS INTL COM 91911K102 137 12394 SH SOLE 0 0 12394 VANGUARD INDEX FDS TOTAL STK MKT 922908769 18480 152323 SH SOLE 0 0 152323 VANGUARD STAR FD VG TL INTL STK F 921909768 6279 126384 SH SOLE 0 0 126384 VERIZON COMMUNICATIONS INC COM 92343V104 333 6833 SH SOLE 0 0 6833 WALGREENS BOOTS ALLIANCE INC COM 931427108 243 2929 SH SOLE 0 0 2929 WESTELL TECHNOLOGIES INC CL A 957541105 7 10000 SH SOLE 0 0 10000 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 241 10350 SH SOLE 0 0 10350