-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, NCo0blaPSUkuHHQtsLgyxo1hue/4A2IhupBH9F5PE+xr4Rs3tSHR/vdg4dIo1eaB +tUY7yY7AeArPQl2fi5HMg== 0001085146-08-001007.txt : 20080814 0001085146-08-001007.hdr.sgml : 20080814 20080814162807 ACCESSION NUMBER: 0001085146-08-001007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080630 FILED AS OF DATE: 20080814 DATE AS OF CHANGE: 20080814 EFFECTIVENESS DATE: 20080814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MARINER INVESTMENT GROUP LLC CENTRAL INDEX KEY: 0001096978 IRS NUMBER: 510661527 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11231 FILM NUMBER: 081019524 BUSINESS ADDRESS: STREET 1: 500 MAMARONECK AVENUE 4TH FLOOR STREET 2: 4TH FLOOR CITY: HARRISON STATE: NY ZIP: 10528 BUSINESS PHONE: 914-670-4300 MAIL ADDRESS: STREET 1: 500 MAMARONECK AVENUE 4TH FLOOR STREET 2: 4TH FLOOR CITY: HARRISON STATE: NY ZIP: 10528 FORMER COMPANY: FORMER CONFORMED NAME: MARINER INVESTMENT GROUP INC DATE OF NAME CHANGE: 19991015 13F-HR 1 marn20080630.txt MARINER INVESTMENT GROUP UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 6/30/2008 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Mariner Investment Group, LLC Address: 500 Mamaroneck Avenue 4th Floor Harrison, New York 10528 13F File Number: 28-11231 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Russell A. Thompson Title: Deputy General Counsel & Chief Compliance Officer Phone: 914-670-4335 Signature, Place, and Date of Signing: /s/ Russell A. Thompson Harrison, New York August 14, 2008 Report Type (Check only one.): [ ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ X] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: Form 13F File Number Name 28-11307 Dolphin Financial Partners, LLC 28-10727 Havens Advisors LLC FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form13F Information Table Entry Total: 144 Form13F Information Table Value Total: $194,510 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 2020 CHINACAP ACQUIRCO INC *W EXP 11/08/201 90212G117 26 50000 SH DEFINED 0 50000 0 ABITIBIBOWATER INC COM 003687100 34 20000 SH CALL DEFINED 0 20000 0 ABITIBIBOWATER INC COM 003687100 208 90800 SH PUT DEFINED 0 90800 0 ADVANCED MICRO DEVICES INC COM 007903107 90 375000 SH PUT DEFINED 0 375000 0 AIR TRANSPORT SERVICES GRP I COM 00922R105 136 135534 SH DEFINED 0 135534 0 ALTERNATIVE ASSET MGMT ACQU *W EXP 08/01/201 02149U119 485 1242371 SH DEFINED 0 1242371 0 ALTERNATIVE ASSET MGMT ACQU COM 02149U101 4885 525221 SH DEFINED 0 525221 0 ALTERNATIVE ASSET MGMT ACQU UNIT 07/01/2012 02149U200 1316 135000 SH DEFINED 0 135000 0 AMBASSADORS INTL INC COM 023178106 1403 320359 SH DEFINED 0 320359 0 AMERICAN APPAREL INC COM 023850100 798 119979 SH DEFINED 0 119979 0 AMERICAN EXPRESS CO COM 025816109 1 28500 SH PUT DEFINED 0 28500 0 AMERICAN INTL GROUP INC COM 026874107 2646 100000 SH DEFINED 0 100000 0 AMERICAN INTL GROUP INC UNIT 99/99/9999 026874115 1970 33000 SH DEFINED 0 33000 0 AMERICAN MED ALERT CORP COM 027904101 889 154062 SH DEFINED 0 154062 0 AMERICAN TOWER CORP CL A 029912201 3591 85000 SH DEFINED 0 85000 0 ANGIOTECH PHARMACEUTICALS IN COM 034918102 302 101250 SH DEFINED 0 101250 0 ANHEUSER BUSCH COS INC COM 035229103 15 16500 SH PUT DEFINED 0 16500 0 ANHEUSER BUSCH COS INC COM 035229103 23 13200 SH CALL DEFINED 0 13200 0 BANK OF AMERICA CORPORATION COM 060505104 3 19200 SH CALL DEFINED 0 19200 0 BCE INC COM NEW 05534B760 3 10500 SH PUT DEFINED 0 10500 0 BEARINGPOINT INC COM 074002106 382 472046 SH DEFINED 0 472046 0 CALPINE CORP COM NEW 131347304 672 29790 SH DEFINED 0 29790 0 CELEBRATE EXPRESS INC COM 15100A104 369 98000 SH DEFINED 0 98000 0 CENTEX CORP COM 152312104 669 50000 SH DEFINED 0 50000 0 CENTEX CORP COM 152312104 16 54700 SH PUT DEFINED 0 54700 0 CHAMPION ENTERPRISES INC NOTE 2.750%11/0 158496AC3 5040 7000000 PRN DEFINED 0 7000000 0 CHARTER COMMUNICATIONS INC D CL A 16117M107 1919 1827958 SH DEFINED 0 1827958 0 CHESAPEAKE ENERGY CORP COM 165167107 3 30000 SH PUT DEFINED 0 30000 0 CHIQUITA BRANDS INTL INC COM 170032809 1197 350000 SH PUT DEFINED 0 350000 0 CHIQUITA BRANDS INTL INC COM 170032809 3 30000 SH CALL DEFINED 0 30000 0 CITIZENS REPUBLIC BANCORP IN COM 174420109 312 110660 SH DEFINED 0 110660 0 CLARIENT INC COM 180489106 103 51255 SH DEFINED 0 51255 0 COUNTRYWIDE FINANCIAL CORP COM 222372104 43 10000 SH DEFINED 0 10000 0 CYBERONICS INC COM 23251P102 1772 81668 SH DEFINED 0 81668 0 DANA HOLDING CORP COM 235825205 1430 267264 SH DEFINED 0 267264 0 DDI CORP COM 0.0001 NEW 233162502 2648 440534 SH DEFINED 0 440534 0 DEAN FOODS CO NEW COM 242370104 28 40000 SH PUT DEFINED 0 40000 0 DEAN FOODS CO NEW COM 242370104 22 40000 SH CALL DEFINED 0 40000 0 DELTA PETE CORP COM NEW 247907207 30 60000 SH PUT DEFINED 0 60000 0 DOMINOS PIZZA INC COM 25754A201 2104 182948 SH DEFINED 0 182948 0 DOMTAR CORP COM 257559104 273 50000 SH DEFINED 0 50000 0 EINSTEIN NOAH REST GROUP INC COM 28257U104 2057 185852 SH DEFINED 0 185852 0 ELAN PLC ADR 284131208 4 29700 SH PUT DEFINED 0 29700 0 FEDERAL MOGUL CORP CL A 313549404 378 23436 SH DEFINED 0 23436 0 GENERAL ELECTRIC CO COM 369604103 48 45000 SH PUT DEFINED 0 45000 0 GENERAL MTRS CORP DEB SR CONV B 370442733 685 50000 SH DEFINED 0 50000 0 GENERAL MTRS CORP DEB SR CV C 33 370442717 4275 300000 SH DEFINED 0 300000 0 GEORGIA GULF CORP COM PAR $0.01 373200203 88 42000 SH PUT DEFINED 0 42000 0 GHL ACQUISITION CORP *W EXP 02/14/201 36172H116 34 50000 SH DEFINED 0 50000 0 GHL ACQUISITION CORP UNIT 99/99/9999 36172H207 1440 145000 SH DEFINED 0 145000 0 GLOBAL BRANDS ACQUISITION CO *W EXP 12/06/201 378982110 67 107300 SH DEFINED 0 107300 0 GLOBAL BRANDS ACQUISITION CO COM 378982102 877 94300 SH DEFINED 0 94300 0 GLOBAL BRANDS ACQUISITION CO UNIT 99/99/9999 378982201 154 15600 SH DEFINED 0 15600 0 GOLDMAN SACHS GROUP INC COM 38141G104 10 20000 SH PUT DEFINED 0 20000 0 GRACE W R & CO DEL NEW COM 38388F108 1174 50000 SH DEFINED 0 50000 0 GRAPHIC PACKAGING HLDG CO COM 388689101 182 90000 SH DEFINED 0 90000 0 GREAT WOLF RESORTS INC COM 391523107 89 20285 SH DEFINED 0 20285 0 GSC ACQUISITION COMPANY *W EXP 06/25/201 40053G114 655 873676 SH DEFINED 0 873676 0 GSC ACQUISITION COMPANY UNIT 99/99/9999 40053G205 1001 100000 SH DEFINED 0 100000 0 GULFPORT ENERGY CORP COM NEW 402635304 192 11647 SH DEFINED 0 11647 0 HAYES LEMMERZ INTL INC COM NEW 420781304 75 26460 SH DEFINED 0 26460 0 HOVNANIAN ENTERPRISES INC CL A 442487203 1172 831100 SH PUT DEFINED 0 831100 0 HYTHIAM INC COM 44919F104 2431 1004343 SH DEFINED 0 1004343 0 IDEARC INC COM 451663108 1222 520000 SH DEFINED 0 520000 0 INTEL CORP COM 458140100 27 18800 SH PUT DEFINED 0 18800 0 INTEL CORP COM 458140100 271 12600 SH DEFINED 0 12600 0 INTERNATIONAL BUSINESS MACHS COM 459200101 15 15000 SH CALL DEFINED 0 15000 0 INTERNATIONAL BUSINESS MACHS COM 459200101 801 6758 SH DEFINED 0 6758 0 ION MEDIA NETWORKS INC NOTE 11.000% 7/3 46205AAB9 7822 26740198 PRN DEFINED 0 26740198 0 IPCS INC COM NEW 44980Y305 12879 434648 SH DEFINED 0 434648 0 ISHARES TR RUSSELL 2000 464287655 179 75000 SH PUT DEFINED 0 75000 0 ISLE OF CAPRI CASINOS INC COM 464592104 31 37000 SH PUT DEFINED 0 37000 0 LEHMAN BROS HLDGS INC COM 524908100 1386 70000 SH PUT DEFINED 0 70000 0 LEHMAN BROS HLDGS INC COM 524908100 1783 90000 SH DEFINED 0 90000 0 LIBERTY ACQUISITION HLDGS CO *W EXP 12/12/201 53015Y115 1753 772455 SH DEFINED 0 772455 0 LIBERTY ACQUISITION HLDGS CO COM 53015Y107 6759 729860 SH DEFINED 0 729860 0 MBF HEALTHCARE ACQUISITION C *W EXP 04/16/201 552650111 52 200000 SH DEFINED 0 200000 0 MBIA INC COM 55262C100 430 200000 SH PUT DEFINED 0 200000 0 MEDIA & ENTMT HOLDINGS INC COM 58439W108 1824 240000 SH DEFINED 0 240000 0 MIDDLEBY CORP COM 596278101 3071 69940 SH DEFINED 0 69940 0 MINEFINDERS LTD COM 602900102 1806 174200 SH DEFINED 0 174200 0 MIRANT CORP NEW COM 60467R100 3 26500 SH PUT DEFINED 0 26500 0 MIRANT CORP NEW *W EXP 01/03/201 60467R126 314 16368 SH DEFINED 0 16368 0 MIRANT CORP NEW COM 60467R100 352 8995 SH DEFINED 0 8995 0 MOODYS CORP COM 615369105 1 20000 SH CALL DEFINED 0 20000 0 MOSYS INC COM 619718109 1597 325303 SH DEFINED 0 325303 0 MSC INDL DIRECT INC CL A 553530106 2435 55195 SH DEFINED 0 55195 0 NATHANS FAMOUS INC NEW COM 632347100 5987 393878 SH DEFINED 0 393878 0 NEOGEN CORP COM 640491106 1947 85042 SH DEFINED 0 85042 0 NEWTEK BUSINESS SVCS INC COM 652526104 399 387090 SH DEFINED 0 387090 0 NEXCEN BRANDS INC COM 653351106 777 1386478 SH DEFINED 0 1386478 0 NORTHWEST AIRLS CORP COM 667280408 465 69860 SH DEFINED 0 69860 0 NOVA CHEMICALS CORP COM 66977W109 568 442000 SH PUT DEFINED 0 442000 0 NRG ENERGY INC COM NEW 629377508 327 7614 SH DEFINED 0 7614 0 OMNICARE INC COM 681904108 857 32692 SH DEFINED 0 32692 0 OUTDOOR CHANNEL HLDGS INC COM NEW 690027206 419 60000 SH DEFINED 0 60000 0 PAN AMERICAN SILVER CORP COM 697900108 1069 30940 SH DEFINED 0 30940 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 92 15000 SH PUT DEFINED 0 15000 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 386 5452 SH DEFINED 0 5452 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 111 15700 SH CALL DEFINED 0 15700 0 PINNACLE AIRL CORP NOTE 3.250% 2/1 723443AB3 7731 12056250 PRN DEFINED 0 12056250 0 PMI GROUP INC COM 69344M101 59 30000 SH DEFINED 0 30000 0 PORTLAND GEN ELEC CO COM NEW 736508847 1660 73719 SH DEFINED 0 73719 0 PREMIER EXIBITIONS INC COM 74051E102 1824 401871 SH DEFINED 0 401871 0 PROTECTION ONE INC COM NEW 743663403 10298 1225926 SH DEFINED 0 1225926 0 PRUDENTIAL FINL INC COM 744320102 18 44000 SH PUT DEFINED 0 44000 0 R H DONNELLEY CORP COM NEW 74955W307 690 230000 SH DEFINED 0 230000 0 RADIAN GROUP INC COM 750236101 45 30843 SH DEFINED 0 30843 0 RADNET INC COM 750491102 3874 624890 SH DEFINED 0 624890 0 RENAISSANCE ACQUISITION CORP *W EXP 01/28/201 75966C115 78 517500 SH DEFINED 0 517500 0 RENAISSANCE ACQUISITION CORP COM 75966C305 577 100000 SH DEFINED 0 100000 0 RENAISSANCE ACQUISITION CORP UNIT 01/28/2011 75966C206 164 27500 SH DEFINED 0 27500 0 RURAL / METRO CORP COM 781748108 108 53441 SH DEFINED 0 53441 0 SANMINA SCI CORP COM 800907107 128 100000 SH DEFINED 0 100000 0 SAPPHIRE INDUSTRIALS CORP *W EXP 01/17/201 80306T117 607 1102900 SH DEFINED 0 1102900 0 SAPPHIRE INDUSTRIALS CORP UNIT 99/99/9999 80306T208 843 84300 SH DEFINED 0 84300 0 SCHOOL SPECIALTY INC COM 807863105 4210 141596 SH DEFINED 0 141596 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 2103 2665000 SH CALL DEFINED 0 2665000 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 14705 725800 SH DEFINED 0 725800 0 SIX FLAGS INC COM 83001P109 115 100000 SH DEFINED 0 100000 0 SLM CORP COM 78442P106 7 18700 SH PUT DEFINED 0 18700 0 SMURFIT-STONE CONTAINER CORP PFD CV EX A 7% 832727200 14497 804922 SH DEFINED 0 804922 0 SOLUTIA INC COM NEW 834376501 1307 101958 SH DEFINED 0 101958 0 SONIC AUTOMOTIVE INC NOTE 5.250% 5/0 83545GAE2 3395 3500000 PRN DEFINED 0 3500000 0 SPANSION INC COM CL A 84649R101 516 229500 SH DEFINED 0 229500 0 SPRINT NEXTEL CORP COM SER 1 852061100 5 23300 SH PUT DEFINED 0 23300 0 STANDARD PAC CORP NEW COM 85375C101 1670 494000 SH DEFINED 0 494000 0 TENET HEALTHCARE CORP COM 88033G100 219 39400 SH DEFINED 0 39400 0 TIME WARNER CABLE INC CL A 88732J108 1001 37812 SH DEFINED 0 37812 0 TRANS-INDIA ACQUISITION CORP *W EXP 02/08/201 893237115 56 140000 SH DEFINED 0 140000 0 TRANSFORMA ACQUISITION GROUP *W EXP 12/19/201 89366E118 27 100000 SH DEFINED 0 100000 0 UNITED PARCEL SERVICE INC CL B 911312106 12 21400 SH CALL DEFINED 0 21400 0 UNITED REFINING ENERGY CORP *W EXP 12/11/201 911360113 174 292600 SH DEFINED 0 292600 0 UNITED RENTALS INC COM 911363109 82 356500 SH PUT DEFINED 0 356500 0 UNITED RENTALS INC COM 911363109 4 20000 SH CALL DEFINED 0 20000 0 VERASUN ENERGY CORP COM 92336G106 104 76800 SH PUT DEFINED 0 76800 0 VERASUN ENERGY CORP COM 92336G106 25 254500 SH CALL DEFINED 0 254500 0 VERASUN ENERGY CORP COM 92336G106 83 20000 SH DEFINED 0 20000 0 VICTORY ACQUISITION CORP *W EXP 04/24/201 92644D118 855 1316096 SH DEFINED 0 1316096 0 VICTORY ACQUISITION CORP COM 92644D100 1879 197400 SH DEFINED 0 197400 0 VION PHARMACEUTICALS INC DEBT 7.750% 2/1 927624AB2 515 1000000 PRN DEFINED 0 1000000 0 VISTEON CORP COM 92839U107 500 1001300 SH PUT DEFINED 0 1001300 0 WASHINGTON MUT INC COM 939322103 1510 200000 SH PUT DEFINED 0 200000 0 XCORPOREAL INC COM 98400P104 1066 926920 SH DEFINED 0 926920 0
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