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