0001085146-15-001150.txt : 20150513
0001085146-15-001150.hdr.sgml : 20150513
20150512202214
ACCESSION NUMBER: 0001085146-15-001150
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20150331
FILED AS OF DATE: 20150513
DATE AS OF CHANGE: 20150512
EFFECTIVENESS DATE: 20150513
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: 15856189
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
03-31-2015
03-31-2015
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
05-12-2015
0
177
372488
INFORMATION TABLE
2
form13fInfoTable.xml
DESCRIPTION FOR INFORMATION TABLE
ACCURAY INC
COM
004397105
1053
113200
SH
DFND
0
113200
0
ACELRX PHARMACEUTICALS INC
COM
00444T100
230
59700
SH
DFND
0
59700
0
AGILENT TECHNOLOGIES INC
COM
00846U101
831
20000
SH
DFND
0
20000
0
ALEXION PHARMACEUTICALS INC
COM
015351109
5390
31100
SH
DFND
0
31100
0
ALEXION PHARMACEUTICALS INC
COM
015351109
51
29700
SH
Call
DFND
0
29700
0
ALKERMES PLC
SHS
G01767105
2268
37200
SH
DFND
0
37200
0
ALLIANCEBERNSTEIN INCOME FUN
COM
01881E101
3059
396186
SH
DFND
0
396186
0
AMERICAN CAP LTD
COM
02503Y103
4585
310000
SH
DFND
0
310000
0
AMERICAN CAP SR FLOATING LTD
COM
02504D108
975
74453
SH
DFND
0
74453
0
ANALOGIC CORP
COM PAR $0.05
032657207
2000
22000
SH
DFND
0
22000
0
ANTARES PHARMA INC
COM
036642106
763
281477
SH
DFND
0
281477
0
APOLLO SR FLOATING RATE FD I
COM
037636107
1857
104066
SH
DFND
0
104066
0
ARES DYNAMIC CR ALLOCATION F
COM
04014F102
4530
278582
SH
DFND
0
278582
0
ARIAD PHARMACEUTICALS INC
COM
04033A100
1568
190300
SH
DFND
0
190300
0
ASTRAZENECA PLC
SPONSORED ADR
046353108
1300
19000
SH
DFND
0
19000
0
AVALANCHE BIOTECHNOLOGIES IN
COM
05337G107
608
15000
SH
DFND
0
15000
0
BARCLAYS BK PLC
IPATH S&P500 VIX
06742E711
643
244500
SH
Put
DFND
0
244500
0
BIOGEN INC
COM
09062X103
1705
4039
SH
DFND
0
4039
0
BIOMARIN PHARMACEUTICAL INC
COM
09061G101
288
50000
SH
Call
DFND
0
50000
0
BLACKROCK FLOAT RATE OME STR
COM
09255X100
7384
531243
SH
DFND
0
531243
0
BLACKROCK FLOATING RATE INCO
COM
091941104
2467
183176
SH
DFND
0
183176
0
BLACKROCK MUNI INTER DR FD I
COM
09253X102
1267
86338
SH
DFND
0
86338
0
BLACKROCK MUNIHLDGS NJ QLTY
COM
09254X101
163
11020
SH
DFND
0
11020
0
BLACKROCK MUNIHLDNGS CALI QL
COM
09254L107
252
17077
SH
DFND
0
17077
0
BLACKROCK MUNIHLDS INVSTM QL
COM
09254P108
273
18946
SH
DFND
0
18946
0
BLACKROCK MUNIYIELD FD INC
COM
09253W104
556
36599
SH
DFND
0
36599
0
BLACKROCK MUNIYIELD QLTY FD
COM
09254E103
842
59300
SH
DFND
0
59300
0
BLACKSTONE GSO FLTING RTE FU
COM
09256U105
1024
59350
SH
DFND
0
59350
0
BLACKSTONE GSO LNG SHRT CR I
COM SHS BN INT
09257D102
7380
457221
SH
DFND
0
457221
0
BLACKSTONE GSO STRATEGIC CR
COM SHS BEN IN
09257R101
12707
785350
SH
DFND
0
785350
0
BLUEBIRD BIO INC
COM
09609G100
604
5000
SH
DFND
0
5000
0
BOULDER GROWTH & INCOME FD I
COM
101507101
7786
908575
SH
DFND
0
908575
0
BROOKFIELD HIGH INCOME FD IN
COM
11272P102
925
104854
SH
DFND
0
104854
0
BROOKFIELD MTG OPP INC FD IN
COM
112792106
1585
96249
SH
DFND
0
96249
0
BRUKER CORP
COM
116794108
25
200000
SH
Call
DFND
0
200000
0
CATALENT INC
COM
148806102
312
10000
SH
DFND
0
10000
0
CATAMARAN CORP
COM
148887102
1786
30000
SH
DFND
0
30000
0
CELGENE CORP
COM
151020104
2651
23000
SH
DFND
0
23000
0
CELGENE CORP
COM
151020104
18
30000
SH
Call
DFND
0
30000
0
CENTRAL SECS CORP
COM
155123102
236
10847
SH
DFND
0
10847
0
CLOVIS ONCOLOGY INC
COM
189464100
1440
19400
SH
DFND
0
19400
0
COHEN & STEERS QUALITY RLTY
COM
19247L106
3003
241817
SH
DFND
0
241817
0
COHEN & STEERS REIT & PFD IN
COM
19247X100
4066
209042
SH
DFND
0
209042
0
COMMUNITY HEALTH SYS INC NEW
COM
203668108
2452
46900
SH
DFND
0
46900
0
CORNERSTONE PROGRESSIVE RTN
COM NEW
21925C200
6217
392725
SH
DFND
0
392725
0
CREDIT SUISSE HIGH YLD BND F
SH BEN INT
22544F103
670
240868
SH
DFND
0
240868
0
CUSHING MLP TOTAL RETURN FD
COM SHS
231631102
276
68000
SH
DFND
0
68000
0
DEUTSCHE HIGH INCOME OPPORT
COM
25158Y102
2937
204533
SH
DFND
0
204533
0
DEUTSCHE HIGH INCOME TR
SHS
25155R100
341
38453
SH
DFND
0
38453
0
DICKS SPORTING GOODS INC
COM
253393102
3
12500
SH
Call
DFND
0
12500
0
DIPLOMAT PHARMACY INC
COM
25456K101
2071
59885
SH
DFND
0
59885
0
DIVERSIFIED REAL ASSET INC F
COM SHS
25533B108
8538
471697
SH
DFND
0
471697
0
DREYFUS HIGH YIELD STRATEGIE
SH BEN INT
26200S101
2391
655037
SH
DFND
0
655037
0
EATON VANCE FLTG RATE INCOM
COM SHS BEN INT
278284104
4602
270717
SH
DFND
0
270717
0
EATON VANCE FLTING RATE INC
COM
278279104
5677
389105
SH
DFND
0
389105
0
EATON VANCE MUN BD FD
COM
27827X101
2593
200859
SH
DFND
0
200859
0
EATON VANCE RISK MNGD DIV EQ
COM
27829G106
2932
270958
SH
DFND
0
270958
0
EATON VANCE SR FLTNG RTE TR
COM
27828Q105
2181
150961
SH
DFND
0
150961
0
EATON VANCE SR INCOME TR
SH BEN INT
27826S103
5641
866545
SH
DFND
0
866545
0
EL POLLO LOCO HLDGS INC
COM
268603107
14
20000
SH
Put
DFND
0
20000
0
ELLINGTON FINANCIAL LLC
COM
288522303
2110
106000
SH
DFND
0
106000
0
ENDO INTL PLC
SHS
G30401106
2655
29600
SH
DFND
0
29600
0
ENDOLOGIX INC
COM
29266S106
1318
77200
SH
DFND
0
77200
0
FIRST TR HIGH INCOME L/S FD
COM
33738E109
408
24924
SH
DFND
0
24924
0
FIRST TR SR FLG RTE INCM FD
COM
33733U108
5467
395857
SH
DFND
0
395857
0
GILEAD SCIENCES INC
COM
375558103
8331
84900
SH
DFND
0
84900
0
GILEAD SCIENCES INC
COM
375558103
56
75000
SH
Call
DFND
0
75000
0
GSV CAP CORP
COM
36191J101
470
47988
SH
DFND
0
47988
0
GUGGENHEIM ENHANCED EQUITY S
COM
40167K100
554
31480
SH
DFND
0
31480
0
HEARTWARE INTL INC
COM
422368100
439
5000
SH
DFND
0
5000
0
HERBALIFE LTD
COM USD SHS
G4412G101
33
40000
SH
Put
DFND
0
40000
0
HOME LN SERVICING SOLUTIONS
ORD SHS
G6648D109
992
60000
SH
DFND
0
60000
0
HORIZON PHARMA PLC
SHS
G4617B105
1398
53822
SH
DFND
0
53822
0
ILLUMINA INC
COM
452327109
4827
26000
SH
DFND
0
26000
0
ILLUMINA INC
COM
452327109
22
10000
SH
Call
DFND
0
10000
0
IMMUNOGEN INC
COM
45253H101
2098
234400
SH
DFND
0
234400
0
INCYTE CORP
COM
45337C102
1852
20200
SH
DFND
0
20200
0
INFINITY PHARMACEUTICALS INC
COM
45665G303
672
48100
SH
DFND
0
48100
0
INFINITY PHARMACEUTICALS INC
COM
45665G303
52
119100
SH
Call
DFND
0
119100
0
INSULET CORP
COM
45784P101
667
20000
SH
DFND
0
20000
0
INTERSECT ENT INC
COM
46071F103
910
35213
SH
DFND
0
35213
0
INTREXON CORP
COM
46122T102
1026
22608
SH
DFND
0
22608
0
INVESCO ADVANTAGE MUNICIPAL
SH BEN INT
46132E103
260
22156
SH
DFND
0
22156
0
INVESCO DYNAMIC CR OPP FD
COM
46132R104
12570
1050120
SH
DFND
0
1050120
0
INVESCO SR INCOME TR
COM
46131H107
10591
2234295
SH
DFND
0
2234295
0
IRONWOOD PHARMACEUTICALS INC
COM CL A
46333X108
1018
63600
SH
DFND
0
63600
0
ISHARES
MSCI SPAN CP ETF
464286764
9
27600
SH
Put
DFND
0
27600
0
ISHARES
MSCI GERMANY ETF
464286806
6
30000
SH
Put
DFND
0
30000
0
ISHARES
IBOXX HI YD ETF
464288513
5
11000
SH
Put
DFND
0
11000
0
ISHARES TR
LATN AMER 40 ETF
464287390
11
12200
SH
Put
DFND
0
12200
0
ISHARES TR
RUSSELL 2000 ETF
464287655
912
300000
SH
Put
DFND
0
300000
0
JAZZ PHARMACEUTICALS PLC
SHS USD
G50871105
3611
20900
SH
DFND
0
20900
0
JAZZ PHARMACEUTICALS PLC
SHS USD
G50871105
31
21000
SH
Call
DFND
0
21000
0
JUNO THERAPEUTICS INC
COM
48205A109
819
13500
SH
DFND
0
13500
0
KEY ENERGY SVCS INC
COM
492914106
22
11899
SH
DFND
0
11899
0
KITE PHARMA INC
COM
49803L109
693
12007
SH
DFND
0
12007
0
LA QUINTA HLDGS INC
COM
50420D108
2
20000
SH
Put
DFND
0
20000
0
LANNET INC
COM
516012101
1754
25900
SH
DFND
0
25900
0
LEVY ACQUISITION CORP
COM
52748T104
1655
125849
SH
DFND
0
125849
0
LEXICON PHARMACEUTICALS INC
COM
528872104
257
271656
SH
DFND
0
271656
0
LIBERTY ALL STAR EQUITY FD
SH BEN INT
530158104
724
123900
SH
DFND
0
123900
0
LIBERTY ALL-STAR GROWTH FD I
COM
529900102
326
62504
SH
DFND
0
62504
0
LIBERTY GLOBAL PLC
SHS CL A
G5480U104
3
20000
SH
Put
DFND
0
20000
0
LMP CORPORATE LN FD INC
COM
50208B100
3505
313521
SH
DFND
0
313521
0
LMP REAL ESTATE INCOME FD IN
COM
50208C108
4513
346623
SH
DFND
0
346623
0
LUMINEX CORP DEL
COM
55027E102
331
20700
SH
DFND
0
20700
0
MALLINCKRODT PUB LTD CO
SHS
G5785G107
2378
18777
SH
DFND
0
18777
0
MANAGED DURATION INVT GRD FU
COM
56165R103
848
62477
SH
DFND
0
62477
0
MARKET VECTORS ETF TR
OIL SVCS ETF
57060U191
6
14000
SH
Put
DFND
0
14000
0
MASIMO CORP
COM
574795100
1649
50000
SH
DFND
0
50000
0
MEDIVATION INC
COM
58501N101
1768
13700
SH
DFND
0
13700
0
MYLAN N V
SHS EURO
N59465109
356
6000
SH
DFND
0
6000
0
NEW AMER HIGH INCOME FD INC
COM NEW
641876800
177
19555
SH
DFND
0
19555
0
NEXPOINT CR STRATEGIES FD
COM
65340G106
12596
1035000
SH
DFND
0
1035000
0
NEXPOINT CR STRATEGIES FD
EX DISTRIB WI
65340G114
131
17300
SH
DFND
0
17300
0
NORTHSTAR RLTY FIN CORP
COM NEW
66704R704
4077
225000
SH
DFND
0
225000
0
NUVEEN AMT-FREE MUN INCOME F
COM
670657105
258
18650
SH
DFND
0
18650
0
NUVEEN CR STRATEGIES INCM FD
COM SHS
67073D102
13309
1470651
SH
DFND
0
1470651
0
NUVEEN DIV ADVANTAGE MUN FD
COM
67070F100
297
20954
SH
DFND
0
20954
0
NUVEEN DIVID ADV MUN FD 3
COM SH BEN INT
67070X101
4686
330251
SH
DFND
0
330251
0
NUVEEN DIVID ADVANTAGE MUN F
COM
67066V101
1297
90596
SH
DFND
0
90596
0
NUVEEN FLOATING RATE INCOME
COM
67072T108
6623
585593
SH
DFND
0
585593
0
NUVEEN FLTNG RTE INCM OPP FD
COM SHS
6706EN100
2003
172242
SH
DFND
0
172242
0
NUVEEN GLOBAL HIGH INCOME FD
SHS
67075G103
1731
101421
SH
DFND
0
101421
0
NUVEEN LG/SHT COMMODITY TOTR
COM UT BEN INT
670731108
3327
199498
SH
DFND
0
199498
0
NUVEEN MTG OPPORTUNITY TERM
COM
670735109
1816
77987
SH
DFND
0
77987
0
NUVEEN MUN MKT OPPORTUNITY F
COM
67062W103
2395
174816
SH
DFND
0
174816
0
NUVEEN MUN OPPORTUNITY FD IN
COM
670984103
3450
234993
SH
DFND
0
234993
0
NUVEEN PA INVT QUALITY MUN F
COM
670972108
613
44106
SH
DFND
0
44106
0
NUVEEN PERFORMANCE PLUS MUN
COM
67062P108
2341
157410
SH
DFND
0
157410
0
NUVEEN PREM INCOME MUN FD
COM
67062T100
1443
102897
SH
DFND
0
102897
0
NUVEEN PREM INCOME MUN FD 2
COM
67063W102
6808
479797
SH
DFND
0
479797
0
NUVEEN PREMIER MUN INCOME FD
COM
670988104
2398
172518
SH
DFND
0
172518
0
NUVEEN QUALITY INCOME MUN FD
COM
670977107
2745
195547
SH
DFND
0
195547
0
NUVEEN S&P 500 DYN OVERWRITE
COM
6706EW100
2374
169949
SH
DFND
0
169949
0
NUVEEN SHT DUR CR OPP FD
COM
67074X107
6301
367392
SH
DFND
0
367392
0
NUVEEN SR INCOME FD
COM
67067Y104
5424
814450
SH
DFND
0
814450
0
OHA INVT CORP
COM
67091U102
152
28773
SH
DFND
0
28773
0
OPKO HEALTH INC
COM
68375N103
1455
102700
SH
DFND
0
102700
0
PACIFIC DRILLING SA LUXEMBOU
REG SHS
L7257P106
1
10000
SH
Call
DFND
0
10000
0
PENN VA CORP
COM
707882106
518
80000
SH
DFND
0
80000
0
PENN VA CORP
COM
707882106
1
12000
SH
Call
DFND
0
12000
0
PERRIGO CO PLC
SHS
G97822103
4023
24300
SH
DFND
0
24300
0
PFIZER INC
COM
717081103
3660
105200
SH
DFND
0
105200
0
PIMCO DYNAMIC CR INCOME FD
COM SHS
72202D106
3469
169870
SH
DFND
0
169870
0
PIONEER FLOATING RATE TR
COM
72369J102
5052
434401
SH
DFND
0
434401
0
PLUM CREEK TIMBER CO INC
COM
729251108
11
35000
SH
Call
DFND
0
35000
0
PROTHENA CORP PLC
SHS
G72800108
1663
43600
SH
DFND
0
43600
0
RADIO ONE INC
CL D NON VTG
75040P405
334
108481
SH
DFND
0
108481
0
REGENERON PHARMACEUTICALS
COM
75886F107
1828
4048
SH
DFND
0
4048
0
RMR REAL ESTATE INCOME FUND
COM
76970B101
5891
279715
SH
DFND
0
279715
0
SALIX PHARMACEUTICALS INC
COM
795435106
1
40000
SH
Call
DFND
0
40000
0
SEADRILL LIMITED
SHS
G7945E105
1
20000
SH
Call
DFND
0
20000
0
SHIRE PLC
SPONSORED ADR
82481R106
3183
13300
SH
DFND
0
13300
0
SPARK THERAPEUTICS INC
COM
84652J103
1298
16750
SH
DFND
0
16750
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
21
10000
SH
Put
DFND
0
10000
0
SPDR SERIES TRUST
S&P OILGAS EXP
78464A730
8
30000
SH
Call
DFND
0
30000
0
SPDR SERIES TRUST
S&P BIOTECH
78464A870
171
30000
SH
Call
DFND
0
30000
0
SPDR SERIES TRUST
S&P BIOTECH
78464A870
262
20000
SH
Put
DFND
0
20000
0
SURGICAL CARE AFFILIATES INC
COM
86881L106
677
19723
SH
DFND
0
19723
0
TEKMIRA PHARMACEUTICALS CORP
COM NEW
87911B209
1135
65000
SH
DFND
0
65000
0
TEL INSTR ELECTRS CORP
COM NEW
879165207
98
15000
SH
DFND
0
15000
0
TELEFLEX INC
COM
879369106
2537
21000
SH
DFND
0
21000
0
TENET HEALTHCARE CORP
COM NEW
88033G407
2426
49000
SH
DFND
0
49000
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
940
7000
SH
DFND
0
7000
0
TRANSENTERIX INC
COM NEW
89366M201
37
12500
SH
DFND
0
12500
0
TRAVELPORT WORLDWIDE LTD
SHS
G9019D104
386
23110
SH
DFND
0
23110
0
TRI CONTL CORP
COM
895436103
619
28540
SH
DFND
0
28540
0
UNIVERSAL HLTH SVCS INC
CL B
913903100
2354
20000
SH
DFND
0
20000
0
VERTEX PHARMACEUTICALS INC
COM
92532F100
1180
10000
SH
DFND
0
10000
0
VOYA GLBL EQTY DIV & PREM OP
COM
92912T100
739
88800
SH
DFND
0
88800
0
WALTER ENERGY INC
COM
93317Q105
5
50000
SH
Call
DFND
0
50000
0
WEIGHT WATCHERS INTL INC NEW
COM
948626106
102
12500
SH
Put
DFND
0
12500
0
WESTERN ASSET CLYM INFL OPP
COM
95766R104
3475
306399
SH
DFND
0
306399
0
WESTERN ASSET CLYM INFL SEC
COM SH BEN INT
95766Q106
4011
347898
SH
DFND
0
347898
0
WESTERN ASSET HIGH INCM FD I
COM
95766J102
1090
135695
SH
DFND
0
135695
0
WORLD ACCEP CORP DEL
COM
981419104
72
10000
SH
Put
DFND
0
10000
0