Managing Director

0001085146-14-001638.txt : 20140812 0001085146-14-001638.hdr.sgml : 20140812 20140811215335 ACCESSION NUMBER: 0001085146-14-001638 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140812 DATE AS OF CHANGE: 20140811 EFFECTIVENESS DATE: 20140812 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MARINER INVESTMENT GROUP LLC CENTRAL INDEX KEY: 0001096978 IRS NUMBER: 510661527 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11231 FILM NUMBER: 141032308 BUSINESS ADDRESS: STREET 1: 500 MAMARONECK AVENUE, 4TH FLOOR CITY: HARRISON STATE: NY ZIP: 10528 BUSINESS PHONE: 914-670-4300 MAIL ADDRESS: STREET 1: 500 MAMARONECK AVENUE, 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 primary_doc.xml 13F-HR LIVE false false false 0001096978 XXXXXXXX 06-30-2014 06-30-2014 false MARINER INVESTMENT GROUP LLC

500 MAMARONECK AVENUE, 4TH FLOOR HARRISON NY 10528

13F COMBINATION REPORT 028-11231 0001280200 028-10727 HAVENS ADVISORS LLC 0001318042 028-11307 DOLPHIN FINANCIAL PARTNERS, L.L.C N Tucker Goodrich Managing Director 914-798-4214 /s/Tucker Goodrich Harrison NY 08-11-2014 0 241 518086 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ACELRX PHARMACEUTICALS INC COM 00444T100 436 42500 SH DFND 42500 0 0 AEGERION PHARMACEUTICALS INC COM 00767E102 1605 50000 SH DFND 50000 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 2152 13772 SH DFND 13772 0 0 ALKERMES PLC SHS G01767105 1530 30400 SH DFND 30400 0 0 ALLERGAN INC COM 018490102 3215 19000 SH DFND 19000 0 0 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 8970 1192875 SH DFND 1192875 0 0 AMC NETWORKS INC CL A 00164V103 615 10000 SH DFND 10000 0 0 AMC NETWORKS INC CL A 00164V103 43 10000 SH Call DFND 10000 0 0 AMERICAN CAP LTD COM 02503Y103 1032 67500 SH DFND 67500 0 0 AMERICAN CAP SR FLOATING LTD COM 02504D108 3799 271360 SH DFND 271360 0 0 AMERICAN EAGLE OUTFITTERS NE COM 02553E106 550 49000 SH DFND 49000 0 0 AMERICAN RLTY CAP PPTYS INC COM 02917T104 1128 90000 SH DFND 90000 0 0 AMERICAN SELECT PORTFOLIO IN COM 029570108 5499 513883 SH DFND 513883 0 0 AMERICAN STRATEGIC INCM PTFL COM 030098107 736 71713 SH DFND 71713 0 0 AMERN STRATEGIC INCOME PTFL COM 030099105 1436 163500 SH DFND 163500 0 0 ANTARES PHARMA INC COM 036642106 792 296477 SH DFND 296477 0 0 APACHE CORP COM 037411105 59 15000 SH Call DFND 15000 0 0 APOLLO SR FLOATING RATE FD I COM 037636107 1875 103851 SH DFND 103851 0 0 APOLLO TACTICAL INCOME FD IN COM 037638103 2737 149220 SH DFND 149220 0 0 ARES DYNAMIC CR ALLOCATION F COM 04014F102 6994 384086 SH DFND 384086 0 0 ARES MULTI STRATEGY CR FD IN COM 04014Q108 5866 268331 SH DFND 268331 0 0 ARIAD PHARMACEUTICALS INC COM 04033A100 2163 339600 SH DFND 339600 0 0 ASCENA RETAIL GROUP INC COM 04351G101 428 25000 SH DFND 25000 0 0 ATHENAHEALTH INC COM 04685W103 39 10000 SH Put DFND 10000 0 0 AUXILIUM PHARMACEUTICALS INC COM 05334D107 267 13310 SH DFND 13310 0 0 AVENUE INCOME CR STRATEGIES COM 05358E106 1771 98506 SH DFND 98506 0 0 AVON PRODS INC COM 054303102 431 29500 SH DFND 29500 0 0 BARCLAYS BK PLC IPATH S&P500 VIX 06742E711 2311 350000 SH Put DFND 350000 0 0 BIOGEN IDEC INC COM 09062X103 1261 4000 SH DFND 4000 0 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 1316 21150 SH DFND 21150 0 0 BLACKROCK CORPOR HI YLD FD I COM 09255P107 2077 169000 SH DFND 169000 0 0 BLACKROCK FLOAT RATE OME STR COM 09255X100 1792 122351 SH DFND 122351 0 0 BLACKROCK FLOATING RATE INCO COM 091941104 668 47037 SH DFND 47037 0 0 BLACKROCK MULTI-SECTOR INC T COM 09258A107 3899 210759 SH DFND 210759 0 0 BLACKROCK MUN INCOME TR BRIC ETF 09248F109 781 56893 SH DFND 56893 0 0 BLACKROCK MUNI INCOME TR II COM 09249N101 501 34439 SH DFND 34439 0 0 BLACKROCK MUNI INTER DR FD I COM 09253X102 396 27140 SH DFND 27140 0 0 BLACKROCK MUNICIPL INC QLTY COM 092479104 1362 96545 SH DFND 96545 0 0 BLACKROCK MUNIENHANCED FD IN COM 09253Y100 1533 137159 SH DFND 137159 0 0 BLACKROCK MUNIHLDGS NJ QLTY COM 09254X101 158 11020 SH DFND 11020 0 0 BLACKROCK MUNIHLDNGS CALI QL COM 09254L107 740 51692 SH DFND 51692 0 0 BLACKROCK MUNIHLDNGS QLTY II COM 09254C107 4348 328135 SH DFND 328135 0 0 BLACKROCK MUNIHLDS INVSTM QL COM 09254P108 1449 104375 SH DFND 104375 0 0 BLACKROCK MUNIHOLDINGS FD IN COM 09253N104 3010 185437 SH DFND 185437 0 0 BLACKROCK MUNIYIELD FD INC COM 09253W104 1499 104141 SH DFND 104141 0 0 BLACKROCK MUNIYIELD INVST FD COM 09254R104 154 10494 SH DFND 10494 0 0 BLACKROCK MUNIYIELD QLTY FD COM 09254E103 254 18418 SH DFND 18418 0 0 BLACKROCK MUNIYIELD QUALITY COM 09254F100 410 27180 SH DFND 27180 0 0 BLACKSTONE GSO FLTING RTE FU COM 09256U105 871 48608 SH DFND 48608 0 0 BLACKSTONE GSO LNG SHRT CR I COM SHS BN INT 09257D102 5833 328963 SH DFND 328963 0 0 BLACKSTONE GSO STRATEGIC CR COM SHS BEN IN 09257R101 14634 823549 SH DFND 823549 0 0 BOSTON BEER INC CL A 100557107 447 2000 SH DFND 2000 0 0 BOULDER GROWTH & INCOME FD I COM 101507101 5505 646114 SH DFND 646114 0 0 BOULDER TOTAL RETURN FD INC COM 101541100 392 15286 SH DFND 15286 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 25 10000 SH Call DFND 10000 0 0 BROOKFIELD MTG OPP INC FD IN COM 112792106 7340 417050 SH DFND 417050 0 0 BUNGE LIMITED COM G16962105 4 15000 SH Call DFND 15000 0 0 CARROLS RESTAURANT GROUP INC COM 14574X104 525 73705 SH DFND 73705 0 0 CATAMARAN CORP COM 148887102 2731 61847 SH DFND 61847 0 0 CBS CORP NEW CL B 124857202 56 20000 SH Call DFND 20000 0 0 CELGENE CORP COM 151020104 2920 34000 SH DFND 34000 0 0 CENTRAL FD CDA LTD CL A 153501101 1575 108352 SH DFND 108352 0 0 CHIMERIX INC COM 16934W106 658 30000 SH DFND 30000 0 0 CINTAS CORP COM 172908105 222 3500 SH DFND 3500 0 0 COACH INC COM 189754104 16 60000 SH Call DFND 60000 0 0 COBALT INTL ENERGY INC COM 19075F106 815 44400 SH DFND 44400 0 0 COHEN & STEERS MLP INC & ENR COM SHS 19249B106 308 14500 SH DFND 14500 0 0 COHEN & STEERS SLT PFD INCM COM 19248Y107 389 14734 SH DFND 14734 0 0 COHEN & STEERS TOTAL RETURN COM 19247R103 5684 458590 SH DFND 458590 0 0 COMMUNITY HEALTH SYS INC NEW COM 203668108 726 16000 SH DFND 16000 0 0 CORNERSTONE PROGRESSIVE RTN COM 21925C101 4966 1082000 SH DFND 1082000 0 0 CORNERSTONE STRATEGIC VALUE COM NEW 21924B203 603 98992 SH DFND 98992 0 0 DANAHER CORP DEL COM 235851102 394 5000 SH DFND 5000 0 0 DEX MEDIA INC NEW COM 25213A107 508 45603 SH DFND 45603 0 0 DISNEY WALT CO COM DISNEY 254687106 23 15000 SH Call DFND 15000 0 0 DOUBLELINE INCOME SOLUTIONS COM 258622109 8219 365927 SH DFND 365927 0 0 DREYFUS MUN BD INFRSTRCTR FD SHS 26203D101 743 62769 SH DFND 62769 0 0 DWS HIGH INCOME OPPORT FD IN COM NEW 23339M204 452 30622 SH DFND 30622 0 0 DWS MUN INCOME TR COM 23338M106 1672 122574 SH DFND 122574 0 0 E M C CORP MASS COM 268648102 659 25000 SH DFND 25000 0 0 EAGLE ROCK ENERGY PARTNERS L UNIT 26985R104 176 35336 SH DFND 35336 0 0 EATON VANCE FLTG RATE INCOM COM SHS BEN INT 278284104 4607 255813 SH DFND 255813 0 0 EATON VANCE FLTING RATE INC COM 278279104 1127 74700 SH DFND 74700 0 0 EATON VANCE MUN BD FD COM 27827X101 653 52545 SH DFND 52545 0 0 EATON VANCE SR FLTNG RTE TR COM 27828Q105 2151 144626 SH DFND 144626 0 0 EATON VANCE SR INCOME TR SH BEN INT 27826S103 3099 455093 SH DFND 455093 0 0 EATON VANCE TAX-ADV BD & OPT COM SH BEN INT 27829M103 1496 107780 SH DFND 107780 0 0 EL PASO ENERGY CAP TR I PFD CV TR SECS 283678209 51098 927193 SH DFND 927193 0 0 ENCANA CORP COM 292505104 3 36500 SH Put DFND 36500 0 0 ENCANA CORP COM 292505104 593 25000 SH DFND 25000 0 0 ENDOLOGIX INC COM 29266S106 1098 72200 SH DFND 72200 0 0 ENTERCOM COMMUNICATIONS CORP CL A 293639100 295 27487 SH DFND 27487 0 0 EPR PPTYS PFD C CNV 5.75% 26884U208 12350 536955 SH DFND 536955 0 0 EV ENERGY PARTNERS LP COM UNITS 26926V107 594 15000 SH DFND 15000 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 624 9000 SH DFND 9000 0 0 FIFTH STR SR FLOATNG RATE CO COM 31679F101 288 20500 SH DFND 20500 0 0 FIRST TR HIGH INCOME L/S FD COM 33738E109 1472 81100 SH DFND 81100 0 0 FIRST TR INTER DUR PFD & IN COM 33718W103 4989 218151 SH DFND 218151 0 0 FIRST TR SR FLG RTE INCM FD COM 33733U108 657 45984 SH DFND 45984 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 347 9500 SH DFND 9500 0 0 GARMIN LTD SHS H2906T109 22 10000 SH Put DFND 10000 0 0 GENERAL ELECTRIC CO COM 369604103 946 36000 SH DFND 36000 0 0 GENERAL ELECTRIC CO COM 369604103 4 30000 SH Call DFND 30000 0 0 GENERAL MTRS CO *W EXP 07/10/201 37045V118 1331 50000 SH DFND 50000 0 0 GILEAD SCIENCES INC COM 375558103 4403 53100 SH DFND 53100 0 0 HANCOCK JOHN PFD INCOME FD I COM 41021P103 3062 170963 SH DFND 170963 0 0 HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 594 43700 SH DFND 43700 0 0 HCA HOLDINGS INC COM 40412C101 846 15000 SH DFND 15000 0 0 HERBALIFE LTD COM USD SHS G4412G101 1226 200000 SH Call DFND 200000 0 0 HERBALIFE LTD COM USD SHS G4412G101 296 60400 SH Put DFND 60400 0 0 HONEYWELL INTL INC COM 438516106 15 10000 SH Call DFND 10000 0 0 IMMUNOGEN INC COM 45253H101 1550 130800 SH DFND 130800 0 0 INCYTE CORP COM 45337C102 1524 27000 SH DFND 27000 0 0 INFINITY PHARMACEUTICALS INC COM 45665G303 1223 96000 SH DFND 96000 0 0 INFINITY PHARMACEUTICALS INC COM 45665G303 3 20000 SH Call DFND 20000 0 0 INTEL CORP COM 458140100 16223 525000 SH DFND 525000 0 0 INVESCO ADVANTAGE MUNICIPAL SH BEN INT 46132E103 2992 263653 SH DFND 263653 0 0 INVESCO DYNAMIC CR OPP FD COM 46132R104 12008 927243 SH DFND 927243 0 0 INVESCO MUN OPPORTUNITY TR COM 46132C107 1642 130285 SH DFND 130285 0 0 INVESCO SR INCOME TR COM 46131H107 6325 1262554 SH DFND 1262554 0 0 INVESCO TR INVT GRADE MUNS COM 46131M106 3232 248078 SH DFND 248078 0 0 IRONWOOD PHARMACEUTICALS INC COM CL A 46333X108 954 62200 SH DFND 62200 0 0 ISHARES 20+ YR TR BD ETF 464287432 120 56000 SH Put DFND 56000 0 0 ISHARES NASDQ BIOTEC ETF 464287556 5 21000 SH Put DFND 21000 0 0 ISHARES RUSSELL 2000 ETF 464287655 38 60000 SH Put DFND 60000 0 0 ISHARES U.S. REAL ES ETF 464287739 22 17500 SH Put DFND 17500 0 0 IVY HIGH INC OPPORTUNITIES F COM 465893105 227 12245 SH DFND 12245 0 0 JARDEN CORP COM 471109108 28 10000 SH Call DFND 10000 0 0 JAZZ PHARMACEUTICALS PLC SHS USD G50871105 3352 22800 SH DFND 22800 0 0 KEATING CAPITAL INC COM 48722R106 89 14992 SH DFND 14992 0 0 KKR INCOME OPPORTUNITIES FD COM 48249T106 2695 144482 SH DFND 144482 0 0 LENNAR CORP CL B 526057302 746 21000 SH DFND 21000 0 0 LMP CORPORATE LN FD INC COM 50208B100 1628 135452 SH DFND 135452 0 0 LMP REAL ESTATE INCOME FD IN COM 50208C108 1800 156407 SH DFND 156407 0 0 LOCKHEED MARTIN CORP COM 539830109 11412 71000 SH DFND 71000 0 0 LOWES COS INC COM 548661107 94 30000 SH Call DFND 30000 0 0 MARATHON OIL CORP COM 565849106 44 20000 SH Call DFND 20000 0 0 MARTHA STEWART LIVING OMNIME CL A 573083102 79 16782 SH DFND 16782 0 0 MCDERMOTT INTL INC COM 580037109 202 25000 SH DFND 25000 0 0 MEDALLION FINL CORP COM 583928106 326 26200 SH DFND 26200 0 0 MEDIVATION INC COM 58501N101 1788 23200 SH DFND 23200 0 0 MEDLEY CAP CORP COM 58503F106 862 66000 SH DFND 66000 0 0 MOLSON COORS BREWING CO CL B 60871R209 83 10000 SH Call DFND 10000 0 0 MVC CAPITAL INC COM 553829102 268 20712 SH DFND 20712 0 0 MYLAN INC COM 628530107 1341 26000 SH DFND 26000 0 0 NEW AMER HIGH INCOME FD INC COM NEW 641876800 224 22300 SH DFND 22300 0 0 NEW RESIDENTIAL INVT CORP COM 64828T102 3311 525500 SH DFND 525500 0 0 NPS PHARMACEUTICALS INC COM 62936P103 2528 76500 SH DFND 76500 0 0 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 8887 949495 SH DFND 949495 0 0 NUVEEN DIV ADVANTAGE MUN FD COM 67070F100 291 20954 SH DFND 20954 0 0 NUVEEN DIVER CURRENCY OPPOR COM 67090N109 2152 191640 SH DFND 191640 0 0 NUVEEN DIVERSIFIED DIV INCM COM 6706EP105 1254 102280 SH DFND 102280 0 0 NUVEEN DIVID ADV MUN FD 3 COM SH BEN INT 67070X101 6408 468447 SH DFND 468447 0 0 NUVEEN DIVID ADVANTAGE MUN I COM 67071L106 504 35588 SH DFND 35588 0 0 NUVEEN EQUITY PREM ADV FD COM 6706ET107 164 12322 SH DFND 12322 0 0 NUVEEN FLEXIBLE INVT INCOME COM 67075B104 3422 181908 SH DFND 181908 0 0 NUVEEN FLOATING RATE INCOME COM 67072T108 4205 347521 SH DFND 347521 0 0 NUVEEN GBL INCOME OPPORTUN F COM 67073C104 383 30000 SH DFND 30000 0 0 NUVEEN GLOBAL EQUITY INCOME COM 6706EH103 943 64028 SH DFND 64028 0 0 NUVEEN LG/SHT COMMODITY TOTR COM UT BEN INT 670731108 388 24019 SH DFND 24019 0 0 NUVEEN MD PREM INCOME MUN FD COM 67061Q107 535 41500 SH DFND 41500 0 0 NUVEEN MTG OPPORTUNITY TERM COM 670735109 684 27819 SH DFND 27819 0 0 NUVEEN MTG OPPTY TERM FD 2 COM 67074R100 315 13225 SH DFND 13225 0 0 NUVEEN MUN MKT OPPORTUNITY F COM 67062W103 1966 147297 SH DFND 147297 0 0 NUVEEN MUN OPPORTUNITY FD IN COM 670984103 3306 234293 SH DFND 234293 0 0 NUVEEN NEW JERSEY DIVID COM 67071T109 348 25928 SH DFND 25928 0 0 NUVEEN NJ DIV ADVANTAGE MUN COM 67069Y102 337 24750 SH DFND 24750 0 0 NUVEEN PA INVT QUALITY MUN F COM 670972108 613 44106 SH DFND 44106 0 0 NUVEEN PERFORMANCE PLUS MUN COM 67062P108 1371 93518 SH DFND 93518 0 0 NUVEEN PREM INCOME MUN FD 2 COM 67063W102 5035 363784 SH DFND 363784 0 0 NUVEEN PREM INCOME MUN FD 4 COM 6706K4105 279 21750 SH DFND 21750 0 0 NUVEEN PREMIER MUN INCOME FD COM 670988104 3011 220940 SH DFND 220940 0 0 NUVEEN QUALITY INCOME MUN FD COM 670977107 1721 125418 SH DFND 125418 0 0 NUVEEN QUALITY MUN FD INC COM 67062N103 646 49265 SH DFND 49265 0 0 NUVEEN QUALITY PFD INC FD 3 COM 67072W101 2326 267972 SH DFND 267972 0 0 NUVEEN SHT DUR CR OPP FD COM 67074X107 3976 216109 SH DFND 216109 0 0 NUVEEN SR INCOME FD COM 67067Y104 2778 393992 SH DFND 393992 0 0 OMNICARE INC COM 681904108 333 5000 SH DFND 5000 0 0 OPKO HEALTH INC COM 68375N103 106 12000 SH DFND 12000 0 0 ORACLE CORP COM 68389X105 405 10000 SH DFND 10000 0 0 PENN VA CORP COM 707882106 47 22000 SH Call DFND 22000 0 0 PENNEY J C INC COM 708160106 1195 132000 SH DFND 132000 0 0 PERRIGO CO PLC SHS G97822103 437 3000 SH DFND 3000 0 0 PFIZER INC COM 717081103 1039 35000 SH DFND 35000 0 0 PHARMACYCLICS INC COM 716933106 2521 28100 SH DFND 28100 0 0 PIMCO DYNAMIC CR INCOME FD COM SHS 72202D106 4717 198038 SH DFND 198038 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 1409 15000 SH DFND 15000 0 0 PRINCIPAL REAL ESTATE INCOME SHS BEN INT 74255X104 1358 71229 SH DFND 71229 0 0 PROCTER & GAMBLE CO COM 742718109 472 6000 SH DFND 6000 0 0 PROSHARES TR II ULT VIX SHRT TRM 74347W346 781 42000 SH Put DFND 42000 0 0 PROTHENA CORP PLC SHS G72800108 316 14000 SH DFND 14000 0 0 QR ENERGY LP UNIT LTD PRTNS 74734R108 475 25000 SH DFND 25000 0 0 QUESTCOR PHARMACEUTICALS INC COM 74835Y101 2506 27100 SH DFND 27100 0 0 RANGE RES CORP COM 75281A109 15 10000 SH Call DFND 10000 0 0 REGENERON PHARMACEUTICALS COM 75886F107 4251 15048 SH DFND 15048 0 0 REMY INTL INC COM 759663107 2125 91012 SH DFND 91012 0 0 RETAILMENOT INC COM SER 1 76132B106 43 20000 SH Call DFND 20000 0 0 RMR REAL ESTATE INCOME FUND COM 76970B101 2321 117802 SH DFND 117802 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 120 60000 SH Call DFND 60000 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 58 69000 SH Call DFND 69000 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 94 65000 SH Call DFND 65000 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 2013 20111 SH DFND 20111 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 20 10000 SH Put DFND 10000 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 12 100000 SH Call DFND 100000 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 27 60000 SH Call DFND 60000 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 79 85000 SH Call DFND 85000 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 15 35000 SH Put DFND 35000 0 0 SHIRE PLC SPONSORED ADR 82481R106 824 3500 SH DFND 3500 0 0 SOLAR SR CAP LTD COM 83416M105 172 10188 SH DFND 10188 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 10 50000 SH Call DFND 50000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 463 350000 SH Put DFND 350000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 53845 275110 SH DFND 275110 0 0 STAPLES INC COM 855030102 217 20000 SH DFND 20000 0 0 SURGICAL CARE AFFILIATES INC COM 86881L106 283 9723 SH DFND 9723 0 0 TAIWAN FD INC COM 874036106 1266 61797 SH DFND 61797 0 0 TARGET CORP COM 87612E106 580 10000 SH DFND 10000 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1180 10000 SH DFND 10000 0 0 THL CR SR LN FD COM 87244R103 4255 232748 SH DFND 232748 0 0 TJX COS INC NEW COM 872540109 2 10000 SH Call DFND 10000 0 0 TRANSENTERIX INC COM NEW 89366M201 63 12500 SH DFND 12500 0 0 UNICO AMERN CORP COM 904607108 163 13000 SH DFND 13000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 636 13000 SH DFND 13000 0 0 VIACOM INC NEW CL A 92553P102 1700 19600 SH DFND 19600 0 0 VIRTUS GLOBAL MULTI-SEC INC COM 92829B101 3683 206234 SH DFND 206234 0 0 VOLCANO CORPORATION COM 928645100 264 15000 SH DFND 15000 0 0 VOYA PRIME RATE TR SH BEN INT 92913A100 4396 759245 SH DFND 759245 0 0 WALTER ENERGY INC COM 93317Q105 441 81000 SH DFND 81000 0 0 WALTER ENERGY INC COM 93317Q105 33 100000 SH Call DFND 100000 0 0 WELLCARE HEALTH PLANS INC COM 94946T106 508 6800 SH DFND 6800 0 0 WELLS FARGO & CO NEW COM 949746101 4730 90000 SH DFND 90000 0 0 WELLS FARGO ADVANTAGE MULTI COM SHS 94987D101 855 57353 SH DFND 57353 0 0 WESTERN ASSET CLYM INFL OPP COM 95766R104 4608 374368 SH DFND 374368 0 0 WESTERN ASSET CLYM INFL SEC COM SH BEN INT 95766Q106 3087 252407 SH DFND 252407 0 0 WHITEWAVE FOODS CO COM CL A 966244105 2541 78507 SH DFND 78507 0 0 WHOLE FOODS MKT INC COM 966837106 2 10000 SH Call DFND 10000 0 0 WILLIAMS SONOMA INC COM 969904101 1 10000 SH Put DFND 10000 0 0 WINTHROP RLTY TR SH BEN INT NEW 976391300 461 30000 SH DFND 30000 0 0 WORLD ACCEP CORP DEL COM 981419104 81 27600 SH Put DFND 27600 0 0 WORLD WRESTLING ENTMT INC CL A 98156Q108 119 10000 SH DFND 10000 0 0 ZWEIG TOTAL RETURN FD INC COM NEW 989837208 1360 94531 SH DFND 94531 0 0 ZYNGA INC CL A 98986T108 247 77100 SH DFND 77100 0 0