0001085146-13-000448.txt : 20130213
0001085146-13-000448.hdr.sgml : 20130213
20130213170928
ACCESSION NUMBER: 0001085146-13-000448
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121231
FILED AS OF DATE: 20130213
DATE AS OF CHANGE: 20130213
EFFECTIVENESS DATE: 20130213
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: 13604352
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
mariner4q2012.txt
MARINER INVESTMENT GROUP, LLC
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: 12/31/2012
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, NY 10528
13F File Number: 028-11231
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: Tucker Goodrich
Title: Managing Director
Phone: 914-798-4214
Signature, Place, and Date of Signing:
/s/Tucker Goodrich Harrison, NY February 13, 2013
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
028-11307 Dolphin Financial Partners, LLC
028-10727 Havens Advisors LLC
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 83
Form 13F Information Table Value Total: $102,975 (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
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
A H BELO CORP COM CL A 001282102 410 88276 SH DEFINED 0 88276 0
AEROPOSTALE COM 007865108 602 46300 SH DEFINED 0 46300 0
ALLEGHENY TECHNOLOGIES INC COM 01741R102 12 10000 SH CALL DEFINED 0 10000 0
AMERICAN INTL GROUP INC COM NEW 026874784 266 95000 SH CALL DEFINED 0 95000 0
APACHE CORP COM 037411105 887 11300 SH DEFINED 0 11300 0
BED BATH & BEYOND INC COM 075896100 6 10000 SH CALL DEFINED 0 10000 0
BLACKROCK GLOBAL OPP EQTY TR COM 092501105 1408 106667 SH DEFINED 0 106667 0
BOULDER GROWTH & INCOME FD I COM 101507101 1383 218480 SH DEFINED 0 218480 0
BROADCOM CORP CL A 111320107 10 10000 SH CALL DEFINED 0 10000 0
CA INC COM 12673P105 2 25000 SH CALL DEFINED 0 25000 0
CHESAPEAKE ENERGY CORP COM 165167107 4 50000 SH CALL DEFINED 0 50000 0
CHILDRENS PL RETAIL STORES I COM 168905107 6 10000 SH CALL DEFINED 0 10000 0
CITIGROUP INC COM NEW 172967424 133 20000 SH CALL DEFINED 0 20000 0
COACH INC COM 189754104 134 20000 SH CALL DEFINED 0 20000 0
COBALT INTL ENERGY INC NOTE 2.625%12/0 19075FAA4 9100 9000000 PRN DEFINED 0 9000000 0
COMCAST CORP NEW CL A SPL 20030N200 4278 119100 SH DEFINED 0 119100 0
CSX CORP COM 126408103 507 25688 SH DEFINED 0 25688 0
DEERE & CO COM 244199105 501 5800 SH DEFINED 0 5800 0
DELL INC COM 24702R101 162 16000 SH DEFINED 0 16000 0
DEVON ENERGY CORP NEW COM 25179M103 541 10400 SH DEFINED 0 10400 0
DEX ONE CORP COM 25212W100 121 76800 SH DEFINED 0 76800 0
DU PONT E I DE NEMOURS & CO COM 263534109 202 4500 SH DEFINED 0 4500 0
EATON VANCE RISK MNGD DIV EQ COM 27829G106 306 29359 SH DEFINED 0 29359 0
FREEPORT-MCMORAN COPPER & GO COM 35671D857 325 9500 SH DEFINED 0 9500 0
FREEPORT-MCMORAN COPPER & GO COM 35671D857 48 307400 SH CALL DEFINED 0 307400 0
FURNITURE BRANDS INTL INC COM 360921100 188 177596 SH DEFINED 0 177596 0
GENCOR INDS INC COM 368678108 135 17885 SH DEFINED 0 17885 0
GENERAL MTRS CO *W EXP 07/10/201 37045V118 5312 271319 SH DEFINED 0 271319 0
GNC HLDGS INC COM CL A 36191G107 379 11400 SH DEFINED 0 11400 0
GOLDCORP INC NEW COM 380956409 20 25000 SH CALL DEFINED 0 25000 0
GRAMERCY CAP CORP COM 384871109 88 30000 SH DEFINED 0 30000 0
HEALTH CARE REIT INC COM 42217K106 515 8400 SH DEFINED 0 8400 0
HERBALIFE LTD COM USD SHS G4412G101 87 34000 SH PUT DEFINED 0 34000 0
HUMANA INC COM 444859102 261 3800 SH DEFINED 0 3800 0
INFUSYSTEM HLDGS INC COM 45685K102 81 53987 SH DEFINED 0 53987 0
INVESCO DYNAMIC CR OPP FD COM 46132R104 875 70142 SH DEFINED 0 70142 0
KOHLS CORP COM 500255104 301 7000 SH DEFINED 0 7000 0
LANDSTAR SYS INC COM 515098101 504 9600 SH DEFINED 0 9600 0
LIBERTY MEDIA CORP NEW DEB 3.125% 3/3 530718AF2 5820 3991000 PRN DEFINED 0 3991000 0
LINN ENERGY LLC UNIT LTD LIAB 536020100 1762 50000 SH DEFINED 0 50000 0
LUCAS ENERGY INC COM NEW 549333201 149 101700 SH DEFINED 0 101700 0
MACK CALI RLTY CORP COM 554489104 379 14500 SH DEFINED 0 14500 0
MARKET VECTORS ETF TR HG YLD MUN ETF 57060U878 985 30000 SH DEFINED 0 30000 0
MCDONALDS CORP COM 580135101 248 88300 SH CALL DEFINED 0 88300 0
MCMORAN EXPLORATION CO COM 582411104 4 65000 SH PUT DEFINED 0 65000 0
MICROCHIP TECHNOLOGY INC COM 595017104 407 12500 SH DEFINED 0 12500 0
MICROSOFT CORP COM 594918104 4 30000 SH CALL DEFINED 0 30000 0
MOLEX INC CL A 608554200 1095 49040 SH DEFINED 0 49040 0
MVC CAPITAL INC COM 553829102 437 35969 SH DEFINED 0 35969 0
NEWMONT MINING CORP COM 651639106 539 11600 SH DEFINED 0 11600 0
OMNICARE CAP TR II PFD B TR 4.00% 68214Q200 18634 387646 SH DEFINED 0 387646 0
PEABODY ENERGY CORP COM 704549104 6 12000 SH PUT DEFINED 0 12000 0
PRAXAIR INC COM 74005P104 503 4600 SH DEFINED 0 4600 0
PRUDENTIAL FINL INC COM 744320102 18 10000 SH CALL DEFINED 0 10000 0
REMY INTL INC COM 759663107 4251 265675 SH DEFINED 0 265675 0
RETAIL OPPORTUNITY INVTS COR *W EXP 10/23/201 76131N119 16 17800 SH DEFINED 0 17800 0
RMR REAL ESTATE INCOME FUND COM 76970B101 1421 78054 SH DEFINED 0 78054 0
ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 690 10000 SH DEFINED 0 10000 0
SANDRIDGE ENERGY INC COM 80007P307 12 81300 SH CALL DEFINED 0 81300 0
SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 15 10100 SH CALL DEFINED 0 10100 0
SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 0 10100 SH PUT DEFINED 0 10100 0
SPDR GOLD TRUST GOLD SHS 78463V107 8101 50000 SH DEFINED 0 50000 0
SPDR GOLD TRUST GOLD SHS 78463V107 28 50000 SH CALL DEFINED 0 50000 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 20792 146000 SH DEFINED 0 146000 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 49 50000 SH CALL DEFINED 0 50000 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 893 1040000 SH PUT DEFINED 0 1040000 0
STAPLES INC COM 855030102 479 42000 SH DEFINED 0 42000 0
SUPERMEDIA INC COM 868447103 137 39997 SH DEFINED 0 39997 0
SUPERVALU INC COM 868536103 62 25000 SH DEFINED 0 25000 0
TAUBMAN CTRS INC COM 876664103 488 6200 SH DEFINED 0 6200 0
TEVA PHARMACEUTICAL INDS LTD ADR 881624209 27 20000 SH CALL DEFINED 0 20000 0
UDR INC COM 902653104 364 15300 SH DEFINED 0 15300 0
UNDER ARMOUR INC CL A 904311107 519 10700 SH DEFINED 0 10700 0
UNITED CONTL HLDGS INC COM 910047109 561 24000 SH DEFINED 0 24000 0
URBAN OUTFITTERS INC COM 917047102 70 20000 SH CALL DEFINED 0 20000 0
VIACOM INC NEW CL A 92553P102 543 10000 SH DEFINED 0 10000 0
VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 1008 40000 SH DEFINED 0 40000 0
VORNADO RLTY TR SH BEN INT 929042109 1 25000 SH CALL DEFINED 0 25000 0
WADDELL & REED FINL INC CL A 930059100 522 15000 SH DEFINED 0 15000 0
WEATHERFORD INTERNATIONAL LT REG SHS H27013103 168 15000 SH DEFINED 0 15000 0
WELLPOINT INC COM 94973V107 213 3500 SH DEFINED 0 3500 0
YANDEX N V SHS CLASS A N97284108 302 14000 SH DEFINED 0 14000 0
ZYNGA INC CL A 98986T108 153 65000 SH DEFINED 0 65000 0