0001398344-18-001148.txt : 20180130 0001398344-18-001148.hdr.sgml : 20180130 20180130114233 ACCESSION NUMBER: 0001398344-18-001148 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180130 DATE AS OF CHANGE: 20180130 EFFECTIVENESS DATE: 20180130 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: 18557909 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 12-31-2017 12-31-2017 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 01-30-2018 0 85 143886 INFORMATION TABLE 2 fp0030571_13fhr-table.xml 13F INFORMATION TABLE AMAZON COM INC COM 023135106 794 679 SH SOLE 0 0 679 APPLE INC COM 037833100 3581 21161 SH SOLE 0 0 21161 BANK AMER CORP COM 060505104 208 7056 SH SOLE 0 0 7056 CATERPILLAR INC DEL COM 149123101 249 1581 SH SOLE 0 0 1581 DISNEY WALT CO COM DISNEY 254687106 356 3310 SH SOLE 0 0 3310 GENERAL ELECTRIC CO COM 369604103 215 12311 SH SOLE 0 0 12311 HOME DEPOT INC COM 437076102 383 2020 SH SOLE 0 0 2020 INTEL CORP COM 458140100 733 15875 SH SOLE 0 0 15875 ISHARES TR MSCI EMG MKT ETF 464287234 375 7966 SH SOLE 0 0 7966 ISHARES TR MSCI EAFE ETF 464287465 837 11911 SH SOLE 0 0 11911 ISHARES TR RUSSELL 2000 ETF 464287655 306 2008 SH SOLE 0 0 2008 ISHARES TR IBOXX HI YD ETF 464288513 4134 47375 SH SOLE 47375 0 0 JOHNSON & JOHNSON COM 478160104 546 3910 SH SOLE 0 0 3910 MICROSOFT CORP COM 594918104 830 9697 SH SOLE 0 0 9697 NOKIA CORP SPONSORED ADR 654902204 54 11512 SH SOLE 0 0 11512 PNC FINL SVCS GROUP INC COM 693475105 834 5782 SH SOLE 0 0 5782 PROCTER AND GAMBLE CO COM 742718109 313 3410 SH SOLE 0 0 3410 UNITED TECHNOLOGIES CORP COM 913017109 277 1874 SH SOLE 0 0 1874 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 1748 17133 SH SOLE 0 0 17133 VANGUARD STAR FD VG TL INTL STK F 921909768 7630 134314 SH SOLE 0 0 134314 VANGUARD ADMIRAL FDS INC MIDCP 400 IDX 921932885 360 2814 SH SOLE 0 0 2814 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 2398 29402 SH SOLE 0 0 29402 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1458 26646 SH SOLE 0 0 26646 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 292 4930 SH SOLE 0 0 4930 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 258 1050 SH SOLE 0 0 1050 VANGUARD INDEX FDS TOTAL STK MKT 922908769 20936 152540 SH SOLE 0 0 152540 WALGREENS BOOTS ALLIANCE INC COM 931427108 214 2941 SH SOLE 0 0 2941 AT&T INC COM 00206R102 451 11606 SH SOLE 0 0 11606 ABBVIE INC COM 00287Y109 341 3527 SH SOLE 0 0 3527 ACORDA THERAPEUTICS INC NOTE 1.750% 6/1 00484MAA4 453 535000 SH SOLE 0 0 535000 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 222 1287 SH SOLE 0 0 1287 ALLSCRIPTS HEALTHCARE SOLUTN NOTE 1.250% 7/0 01988PAD0 1013 940000 SH SOLE 400000 0 540000 ALPHABET INC CAP STK CL C 02079K107 601 574 SH SOLE 0 0 574 ALPHABET INC CAP STK CL A 02079K305 530 503 SH SOLE 0 0 503 BIOMARIN PHARMACEUTICAL INC NOTE 1.500%10/1 09061GAF8 36 30000 SH SOLE 0 0 30000 CBOE GLOBAL MARKETS INC COM 12503M108 1455 11682 SH SOLE 0 0 11682 CME GROUP INC COM CL A 12572Q105 11614 79521 SH SOLE 0 0 79521 CSG SYS INTL INC NOTE 4.250% 3/1 126349AF6 1091 990000 SH SOLE 400000 0 590000 CALAMP CORP NOTE 1.625% 5/1 128126AB5 1035 975000 SH SOLE 400000 0 575000 CEMEX SAB DE CV NOTE 3.720% 3/1 151290BR3 983 940000 SH SOLE 400000 0 540000 CIENA CORP DEBT 4.000%12/1 171779AK7 39 30000 SH SOLE 0 0 30000 CITRIX SYS INC NOTE 0.500% 4/1 177376AD2 1237 955000 SH SOLE 400000 0 555000 COLONY CAP INC NOTE 3.875% 1/1 19624RAB2 541 535000 SH SOLE 0 0 535000 COLONY NORTHSTAR INC CL A COM 19625W104 124 10871 SH SOLE 0 0 10871 ECHO GLOBAL LOGISTICS INC NOTE 2.500% 5/0 27875TAA9 1008 970000 SH SOLE 400000 0 570000 ELECTRONICS FOR IMAGING INC NOTE 0.750% 9/0 286082AC6 920 950000 SH SOLE 400000 0 550000 EZCORP INC NOTE 2.625% 6/1 302301AB2 1063 1030000 SH SOLE 500000 0 530000 FACEBOOK INC CL A 30303M102 242 1374 SH SOLE 0 0 1374 GOGO INC NOTE 3.750% 3/0 38046CAB5 841 905000 SH SOLE 400000 0 505000 HERBALIFE LTD NOTE 2.000% 8/1 42703MAB9 30 30000 SH SOLE 0 0 30000 HURON CONSULTING GROUP INC NOTE 1.250%10/0 447462AB8 950 1015000 SH SOLE 500000 0 515000 INTERDIGITAL INC NOTE 1.500% 3/0 458660AD9 84 70000 SH SOLE 0 0 70000 JPMORGAN CHASE & CO COM 46625H100 747 6984 SH SOLE 0 0 6984 JAZZ INVESTMENTS I LTD NOTE 1.875% 8/1 472145AB7 405 400000 SH SOLE 400000 0 0 J2 GLOBAL INC NOTE 3.250% 6/1 48123VAC6 174 140000 SH SOLE 0 0 140000 LIVE NATION ENTERTAINMENT IN DBCV 2.500% 5/1 538034AJ8 1179 910000 SH SOLE 400000 0 510000 MACQUARIE INFRASTRUCTURE COR NOTE 2.875% 7/1 55608BAA3 931 890000 SH SOLE 400000 0 490000 NATIONAL HEALTH INVS INC NOTE 3.250% 4/0 63633DAE4 980 865000 SH SOLE 400000 0 465000 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 180 10075 SH SOLE 0 0 10075 NUTANIX INC CL A 67059N108 296 8400 SH SOLE 0 0 8400 NUVASIVE INC NOTE 2.250% 3/1 670704AG0 1163 985000 SH SOLE 400000 0 585000 PDC ENERGY INC NOTE 1.125% 9/1 69327RAD3 337 345000 SH SOLE 0 0 345000 PANDORA MEDIA INC NOTE 1.750%12/0 698354AB3 807 910000 SH SOLE 400000 0 510000 PENNYMAC CORP NOTE 5.375% 5/0 70932AAB9 941 945000 SH SOLE 400000 0 545000 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 2522 25000 SH SOLE 25000 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 5247 51669 SH SOLE 0 0 51669 POWERSHARES ETF TR II FDM HG YLD RAFI 73936T557 13357 704850 SH SOLE 704850 0 0 PRICELINE GRP INC NOTE 0.900% 9/1 741503AX4 23 20000 SH SOLE 0 0 20000 PROSPECT CAPITAL CORPORATION NOTE 4.750% 4/1 74348TAQ5 965 950000 SH SOLE 400000 0 550000 QUIDEL CORP NOTE 3.250%12/1 74838JAA9 1278 845000 SH SOLE 400000 0 445000 RPM INTL INC NOTE 2.250%12/1 749685AT0 583 505000 SH SOLE 0 0 505000 RTW HLDGS INC NOTE 5.625%11/1 749772AB5 233 230000 SH SOLE 0 0 230000 ROVI CORP NOTE 0.500% 3/0 779376AD4 936 990000 SH SOLE 500000 0 490000 SM ENERGY CO NOTE 1.500% 7/0 78454LAM2 39 40000 SH SOLE 0 0 40000 SPDR S&P 500 ETF TR TR UNIT 78462F103 16493 61805 SH SOLE 30638 0 31167 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 8712 179109 SH SOLE 0 0 179109 SEACOR HOLDINGS INC NOTE 3.000%11/1 81170YAB5 926 975000 SH SOLE 400000 0 575000 THERAVANCE INC NOTE 2.125% 1/1 88338TAB0 499 500000 SH SOLE 0 0 500000 TRIMTABS ETF TR ALL CAP US FREE 89628W302 2846 84407 SH SOLE 0 0 84407 VALEANT PHARMACEUTICALS INTL COM 91911K102 341 16394 SH SOLE 0 0 16394 VECTOR GROUP LTD FRNT 4/1 92240MBC1 1185 1020000 SH SOLE 500000 0 520000 VERIZON COMMUNICATIONS INC COM 92343V104 362 6841 SH SOLE 0 0 6841 VERINT SYS INC NOTE 1.500% 6/0 92343XAA8 950 975000 SH SOLE 400000 0 575000 WRIGHT MED GROUP INC NOTE 2.000% 2/1 98235TAE7 911 880000 SH SOLE 400000 0 480000 DNP SELECT INCOME FD COM 23325P104 111 10312 SH SOLE 0 0 10312