0001398344-17-013439.txt : 20171023 0001398344-17-013439.hdr.sgml : 20171023 20171023155741 ACCESSION NUMBER: 0001398344-17-013439 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171023 DATE AS OF CHANGE: 20171023 EFFECTIVENESS DATE: 20171023 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: 171149025 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 09-30-2017 09-30-2017 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 10-23-2017 0 72 131102 INFORMATION TABLE 2 fp0028675_13fhr-table.xml 13F INFORMATION TABLE AMAZON COM INC COM 023135106 660 687 SH SOLE 0 0 687 APPLE INC COM 037833100 3132 20324 SH SOLE 0 0 20324 DISNEY WALT CO COM DISNEY 254687106 326 3310 SH SOLE 0 0 3310 GENERAL ELECTRIC CO COM 369604103 297 12296 SH SOLE 0 0 12296 INTEL CORP COM 458140100 588 15450 SH SOLE 0 0 15450 ISHARES TR MSCI EMG MKT ETF 464287234 435 9712 SH SOLE 0 0 9712 ISHARES TR MSCI EAFE ETF 464287465 995 14537 SH SOLE 0 0 14537 ISHARES TR RUSSELL 2000 ETF 464287655 357 2408 SH SOLE 0 0 2408 JOHNSON & JOHNSON COM 478160104 494 3802 SH SOLE 0 0 3802 MICROSOFT CORP COM 594918104 667 8951 SH SOLE 0 0 8951 PNC FINL SVCS GROUP INC COM 693475105 780 5789 SH SOLE 0 0 5789 PROCTER AND GAMBLE CO COM 742718109 306 3366 SH SOLE 0 0 3366 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 1621 17097 SH SOLE 0 0 17097 VANGUARD STAR FD VG TL INTL STK F 921909768 7016 128200 SH SOLE 0 0 128200 VANGUARD ADMIRAL FDS INC MIDCP 400 IDX 921932885 340 2814 SH SOLE 0 0 2814 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 2277 27786 SH SOLE 0 0 27786 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1390 26376 SH SOLE 0 0 26376 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 288 4930 SH SOLE 0 0 4930 VANGUARD INDEX FDS TOTAL STK MKT 922908769 19552 150958 SH SOLE 0 0 150958 WALGREENS BOOTS ALLIANCE INC COM 931427108 226 2931 SH SOLE 0 0 2931 AT&T INC COM 00206R102 455 11605 SH SOLE 0 0 11605 ABBVIE INC COM 00287Y109 294 3307 SH SOLE 0 0 3307 ACORDA THERAPEUTICS INC NOTE 1.750% 6/1 00484MAA4 454 500000 SH SOLE 0 0 500000 ALLSCRIPTS HEALTHCARE SOLUTN NOTE 1.250% 7/0 01988PAD0 1127 1060000 SH SOLE 500000 0 560000 ARVINMERITOR INC FRNT 4.000% 2/1 043353AH4 129 110000 SH SOLE 0 0 110000 CBOE HLDGS INC COM 12503M108 1308 12149 SH SOLE 0 0 12149 CME GROUP INC COM CL A 12572Q105 11529 84971 SH SOLE 0 0 84971 CSG SYS INTL INC NOTE 4.250% 3/1 126349AF6 1143 1065000 SH SOLE 500000 0 565000 CALAMP CORP NOTE 1.625% 5/1 128126AB5 1128 1050000 SH SOLE 500000 0 550000 CEMEX SAB DE CV NOTE 3.720% 3/1 151290BR3 1176 1045000 SH SOLE 500000 0 545000 CITRIX SYS INC NOTE 0.500% 4/1 177376AD2 1198 1030000 SH SOLE 500000 0 530000 COLONY CAP INC NOTE 3.875% 1/1 19624RAB2 511 505000 SH SOLE 0 0 505000 ECHO GLOBAL LOGISTICS INC NOTE 2.500% 5/0 27875TAA9 1014 1040000 SH SOLE 500000 0 540000 ELECTRONICS FOR IMAGING INC NOTE 0.750% 9/0 286082AC6 1062 1020000 SH SOLE 500000 0 520000 EZCORP INC NOTE 2.625% 6/1 302301AB2 990 1005000 SH SOLE 500000 0 505000 FACEBOOK INC CL A 30303M102 223 1305 SH SOLE 0 0 1305 GOGO INC NOTE 3.750% 3/0 38046CAB5 964 1045000 SH SOLE 500000 0 545000 HURON CONSULTING GROUP INC NOTE 1.250%10/0 447462AB8 951 1010000 SH SOLE 500000 0 510000 JPMORGAN CHASE & CO COM 46625H100 741 7762 SH SOLE 0 0 7762 JAZZ INVESTMENTS I LTD NOTE 1.875% 8/1 472145AB7 567 535000 SH SOLE 500000 0 535000 KB HOME NOTE 1.375% 2/0 48666KAS8 1107 1050000 SH SOLE 500000 0 550000 LIVE NATION ENTERTAINMENT IN DBCV 2.500% 5/1 538034AJ8 1345 1010000 SH SOLE 0 0 1010000 MACQUARIE INFRASTRUCTURE COR NOTE 2.875% 7/1 55608BAA3 1028 960000 SH SOLE 500000 0 460000 NATIONAL HEALTH INVS INC NOTE 3.250% 4/0 63633DAE4 1103 945000 SH SOLE 500000 0 445000 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 436 26075 SH SOLE 0 0 26075 NUTANIX INC CL A 67059N108 235 10500 SH SOLE 0 0 10500 PANDORA MEDIA INC NOTE 1.750%12/0 698354AB3 951 1010000 SH SOLE 500000 0 510000 PENNYMAC CORP NOTE 5.375% 5/0 70932AAB9 1024 1010000 SH SOLE 500000 0 510000 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 2840 27974 SH SOLE 0 0 520000 PROSPECT CAPITAL CORPORATION NOTE 4.750% 4/1 74348TAQ5 1052 1020000 SH SOLE 500000 0 520000 QUIDEL CORP NOTE 3.250%12/1 74838JAA9 1488 975000 SH SOLE 500000 0 475000 RPM INTL INC NOTE 2.250%12/1 749685AT0 551 475000 SH SOLE 0 0 475000 RTW HLDGS INC NOTE 5.625%11/1 749772AB5 200 190000 SH SOLE 0 0 190000 ROVI CORP NOTE 0.500% 3/0 779376AD4 957 950000 SH SOLE 500000 0 450000 SPDR S&P 500 ETF TR TR UNIT 78462F103 13602 54141 SH SOLE 31700 0 22441 SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 6989 187261 SH SOLE 0 0 187261 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 8553 173593 SH SOLE 0 0 173593 SEACOR HOLDINGS INC NOTE 3.000%11/1 81170YAB5 943 1040000 SH SOLE 0 0 1040000 THERAVANCE INC NOTE 2.125% 1/1 88338TAB0 475 485000 SH SOLE 0 0 485000 TRIMTABS ETF TR FLOAT SHRINK 89628W302 2635 84462 SH SOLE 0 0 84462 VALEANT PHARMACEUTICALS INTL COM 91911K102 170 11894 SH SOLE 0 0 11894 VECTOR GROUP LTD FRNT 4/1 92240MBC1 1180 1025000 SH SOLE 500000 0 525000 VERIZON COMMUNICATIONS INC COM 92343V104 338 6833 SH SOLE 0 0 6833 VERINT SYS INC NOTE 1.500% 6/0 92343XAA8 1029 1045000 SH SOLE 500000 0 545000 WRIGHT MED GROUP INC NOTE 2.000% 2/1 98235TAE7 1069 985000 SH SOLE 500000 0 485000 ISHARES TR IBOXX HI YD ETF 464288513 5175 58302 SH SOLE 0 0 58302 CATERPILLAR INC DEL COM 149123101 201 1611 SH SOLE 0 0 1611 COLONY NORTHSTAR INC CL A COM 19625W104 247 19643 SH SOLE 0 0 19643 DNP SELECT INCOME FD COM 23325P104 116 10139 SH SOLE 0 0 10139 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 4842 47566 SH SOLE 0 0 47566 VANGUARD INDEX FDS SMALL CP ETF 922908751 265 1874 SH SOLE 0 0 1874 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 242 1050 SH SOLE 0 0 1050