0001085146-14-000597.txt : 20140213 0001085146-14-000597.hdr.sgml : 20140213 20140213154539 ACCESSION NUMBER: 0001085146-14-000597 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140213 DATE AS OF CHANGE: 20140213 EFFECTIVENESS DATE: 20140213 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: 14605790 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 true false 0001096978 XXXXXXXX 12-31-2013 12-31-2013 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 914-798-4214 /s/Tucker Goodrich Harrison NY 02-13-2014 0 338 666014 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 14734 105052 SH DFND 105052 0 0 ALCOA INC COM 013817101 23 13900 SH Call DFND 13900 0 0 ALCOA INC COM 013817101 2 14000 SH Put DFND 14000 0 0 ALLERGAN INC COM 018490102 3299 29700 SH DFND 29700 0 0 AMBEV SA SPONSORED ADR 02319V103 3962 538985 SH DFND 538985 0 0 AMBEV SA SPONSORED ADR 02319V103 7 55500 SH Call DFND 55500 0 0 AMERICAN CAMPUS CMNTYS INC COM 024835100 870 27000 SH DFND 27000 0 0 AMERICAN EAGLE OUTFITTERS NE COM 02553E106 576 40000 SH DFND 40000 0 0 AMERICAN INCOME FD INC COM 02672T109 95 12957 SH DFND 12957 0 0 ANNALY CAP MGMT INC COM 035710409 20 50000 SH Put DFND 50000 0 0 ANNALY CAP MGMT INC COM 035710409 19 50000 SH Call DFND 50000 0 0 APACHE CORP COM 037411105 8 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31 20000 SH Call DFND 20000 0 0 MACK CALI RLTY CORP COM 554489104 376 17500 SH DFND 17500 0 0 MAINSTAY DEFINEDTERM MN OPP COM 56064K100 958 60740 SH DFND 60740 0 0 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 21584 1021500 SH DFND 1021500 0 0 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 55 75900 SH Call DFND 75900 0 0 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 19480 1090100 SH Put DFND 1090100 0 0 MARKET VECTORS ETF TR OIL SVCS ETF 57060U191 5 20000 SH Put DFND 20000 0 0 MASTERCARD INC CL A 57636Q104 4256 5094 SH DFND 5094 0 0 MATTEL INC COM 577081102 285 6000 SH DFND 6000 0 0 MATTEL INC COM 577081102 155 90000 SH Call DFND 90000 0 0 MATTEL INC COM 577081102 9 85000 SH Put DFND 85000 0 0 MCDONALDS CORP COM 580135101 223 2300 SH DFND 2300 0 0 MCDONALDS CORP COM 580135101 83 51000 SH Call DFND 51000 0 0 MCDONALDS CORP COM 580135101 115 78500 SH Put DFND 78500 0 0 MFS INTER INCOME TR SH BEN INT 55273C107 1308 252596 SH DFND 252596 0 0 MGM RESORTS INTERNATIONAL COM 552953101 610 200000 SH Call DFND 200000 0 0 MICROSOFT CORP COM 594918104 1541 41200 SH DFND 41200 0 0 MICROSOFT CORP COM 594918104 117 65000 SH Call DFND 65000 0 0 MICROSOFT CORP COM 594918104 65 65000 SH Put DFND 65000 0 0 MOBILE TELESYSTEMS OJSC SPONSORED ADR 607409109 959 44314 SH DFND 44314 0 0 MOLSON COORS BREWING CO CL B 60871R209 92 60000 SH Call DFND 60000 0 0 MOLSON COORS BREWING CO CL B 60871R209 6 15000 SH Put DFND 15000 0 0 MOSAIC CO NEW COM 61945C103 804 17000 SH DFND 17000 0 0 MVC CAPITAL INC COM 553829102 658 48744 SH DFND 48744 0 0 NATIONAL OILWELL VARCO INC COM 637071101 26820 337226 SH DFND 337226 0 0 NATIONAL OILWELL VARCO INC COM 637071101 434 259300 SH Call DFND 259300 0 0 NATIONAL OILWELL VARCO INC COM 637071101 2698 803400 SH Put DFND 803400 0 0 NEW ORIENTAL ED & TECH GRP I SPON ADR 647581107 2319 73614 SH DFND 73614 0 0 NEW RESIDENTIAL INVT CORP COM 64828T102 100 15000 SH DFND 15000 0 0 NEWFIELD EXPL CO COM 651290108 1075 43641 SH DFND 43641 0 0 NEWFIELD EXPL CO COM 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ADVANTAGE MUN F COM 67066V101 923 73293 SH DFND 73293 0 0 NUVEEN ENHANCED MUN VALUE FD COM 67074M101 759 58554 SH DFND 58554 0 0 NUVEEN FLEXIBLE INVT INCOME COM 67075B104 787 47757 SH DFND 47757 0 0 NUVEEN INVT QUALITY MUN FD I COM 67062E103 1323 97778 SH DFND 97778 0 0 NUVEEN LG/SHT COMMODITY TOTR COM UT BEN INT 670731108 7317 424904 SH DFND 424904 0 0 NUVEEN MD PREM INCOME MUN FD COM 67061Q107 259 21715 SH DFND 21715 0 0 NUVEEN MUN ADVANTAGE FD INC COM 67062H106 1098 90260 SH DFND 90260 0 0 NUVEEN MUN HIGH INCOME OPP F COM 670682103 298 24834 SH DFND 24834 0 0 NUVEEN MUN MKT OPPORTUNITY F COM 67062W103 2444 203669 SH DFND 203669 0 0 NUVEEN MUN OPPORTUNITY FD IN COM 670984103 2293 173482 SH DFND 173482 0 0 NUVEEN MUN VALUE FD INC COM 670928100 668 73900 SH DFND 73900 0 0 NUVEEN OHIO QUALITY INCOME M COM 670980101 195 14000 SH DFND 14000 0 0 NUVEEN PA INVT QUALITY MUN F COM 670972108 244 19733 SH DFND 19733 0 0 NUVEEN PA PREM INCOME MUN FD COM 67061F101 717 60278 SH DFND 60278 0 0 NUVEEN PERFORMANCE PLUS MUN COM 67062P108 1125 83123 SH DFND 83123 0 0 NUVEEN PREM INCOME MUN FD COM 67062T100 711 57695 SH DFND 57695 0 0 NUVEEN PREM INCOME MUN FD 2 COM 67063W102 2559 203915 SH DFND 203915 0 0 NUVEEN PREM INCOME MUN FD 4 COM 6706K4105 264 21750 SH DFND 21750 0 0 NUVEEN PREMIER MUN INCOME FD COM 670988104 1885 152390 SH DFND 152390 0 0 NUVEEN QUALITY INCOME MUN FD COM 670977107 420 34255 SH DFND 34255 0 0 NUVEEN QUALITY MUN FD INC COM 67062N103 452 37377 SH DFND 37377 0 0 NUVEEN REAL ESTATE INCOME FD COM 67071B108 256 26881 SH DFND 26881 0 0 NUVEEN SHT DUR CR OPP FD COM 67074X107 1463 77640 SH DFND 77640 0 0 OMNICOM GROUP INC COM 681919106 5 38000 SH Put DFND 38000 0 0 PACHOLDER HIGH YIELD FD INC COM 693742108 95 12100 SH DFND 12100 0 0 PENNEY J C INC COM 708160106 8 48800 SH Put DFND 48800 0 0 PENNEY J C INC COM 708160106 1208 132000 SH DFND 132000 0 0 PEPSICO INC COM 713448108 28 15000 SH Call DFND 15000 0 0 PETSMART INC COM 716768106 3174 43635 SH DFND 43635 0 0 PETSMART INC COM 716768106 9 36000 SH Call DFND 36000 0 0 PETSMART INC COM 716768106 192 71400 SH Put DFND 71400 0 0 PFIZER INC COM 717081103 52 35000 SH Call DFND 35000 0 0 PIMCO DYNAMIC CR INCOME FD COM SHS 72202D106 9263 412071 SH DFND 412071 0 0 PIMCO MUN INCOME FD II COM 72200W106 1649 154661 SH DFND 154661 0 0 PIMCO NEW YORK MUN INCM FD 1 COM 72201E105 390 45081 SH DFND 45081 0 0 PIMCO STRATEGIC GBL GOV FD I COM 72200X104 407 41618 SH DFND 41618 0 0 PNC FINL SVCS GROUP INC COM 693475105 68 60000 SH Call DFND 60000 0 0 PNC FINL SVCS GROUP INC COM 693475105 31 60000 SH Put DFND 60000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 19791 225002 SH DFND 225002 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 113 150000 SH Put DFND 150000 0 0 PRINCIPAL REAL ESTATE INCOME SHS BEN INT 74255X104 1888 110711 SH DFND 110711 0 0 PUTNAM MANAGED MUN INCOM TR COM 746823103 1084 163200 SH DFND 163200 0 0 QR ENERGY LP UNIT LTD PRTNS 74734R108 342 20000 SH DFND 20000 0 0 RADIAN GROUP INC COM 750236101 147 10400 SH DFND 10400 0 0 RAMCO-GERSHENSON PPTYS TR PERP PFD-D CV 751452608 22047 373807 SH DFND 373807 0 0 REMY INTL INC COM 759663107 2956 126745 SH DFND 126745 0 0 ROSS STORES INC COM 778296103 1893 531100 SH Put DFND 531100 0 0 ROSS STORES INC COM 778296103 764 300700 SH Call DFND 300700 0 0 ROSS STORES INC COM 778296103 10887 145299 SH DFND 145299 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 1425 20000 SH DFND 20000 0 0 SCHLUMBERGER LTD COM 806857108 6771 75143 SH DFND 75143 0 0 SCHLUMBERGER LTD COM 806857108 514 130200 SH Call DFND 130200 0 0 SCHLUMBERGER LTD COM 806857108 876 440600 SH Put DFND 440600 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 885 15964 SH DFND 15964 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 220 147700 SH Call DFND 147700 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 151 196400 SH Call DFND 196400 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 266 120000 SH Call DFND 120000 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 1780 20111 SH DFND 20111 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 697 463000 SH Call DFND 463000 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 256 350000 SH Put DFND 350000 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 892 40800 SH DFND 40800 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 2273 43500 SH DFND 43500 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 87 39900 SH Call DFND 39900 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 101 136300 SH Put DFND 136300 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 319 222500 SH Call DFND 222500 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 29 40000 SH Put DFND 40000 0 0 SIRIUS XM HLDGS INC COM 82968B103 113 32460 SH DFND 32460 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 53 50000 SH Put DFND 50000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 57360 310575 SH DFND 310575 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 560 175000 SH Call DFND 175000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 436 784900 SH Put DFND 784900 0 0 ST JUDE MED INC COM 790849103 780 40000 SH Call DFND 40000 0 0 TARGET CORP COM 87612E106 2294 36256 SH DFND 36256 0 0 TARGET CORP COM 87612E106 2 20400 SH Call DFND 20400 0 0 TARGET CORP COM 87612E106 270 40000 SH Put DFND 40000 0 0 THL CR SR LN FD COM 87244R103 642 34950 SH DFND 34950 0 0 TIME WARNER CABLE INC COM 88732J207 174 56000 SH Call DFND 56000 0 0 TIME WARNER CABLE INC COM 88732J207 16 33100 SH Put DFND 33100 0 0 TIME WARNER INC COM NEW 887317303 26 10000 SH Call DFND 10000 0 0 TIVO INC COM 888706108 394 30000 SH DFND 30000 0 0 TRANSOCEAN LTD REG SHS H8817H100 1 2399080 SH DFND 2399080 0 0 TRANSOCEAN LTD REG SHS H8817H100 68 25800 SH Call DFND 25800 0 0 TRANSOCEAN LTD REG SHS H8817H100 14 25800 SH Put DFND 25800 0 0 TWITTER INC COM 90184L102 1 20000 SH Put DFND 20000 0 0 UNITED MICROELECTRONICS CORP SPON ADR NEW 910873405 4925 2414366 SH DFND 2414366 0 0 UNITED STATES OIL FUND LP UNITS 91232N108 319 357800 SH Put DFND 357800 0 0 UNITED STATES OIL FUND LP UNITS 91232N108 770 21800 SH DFND 21800 0 0 UNITED STATES OIL FUND LP UNITS 91232N108 201 609100 SH Call DFND 609100 0 0 VALE S A ADR 91912E105 4921 322700 SH DFND 322700 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 11001 223875 SH DFND 223875 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 41 80000 SH Call DFND 80000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 139 150000 SH Put DFND 150000 0 0 VIACOM INC NEW CL A 92553P102 1738 19800 SH DFND 19800 0 0 VIACOM INC NEW CL B 92553P201 27 10000 SH Call DFND 10000 0 0 VIRTUS GLOBAL MULTI-SEC INC COM 92829B101 2398 141733 SH DFND 141733 0 0 WAL-MART STORES INC COM 931142103 3541 45003 SH DFND 45003 0 0 WAL-MART STORES INC COM 931142103 14 57800 SH Call DFND 57800 0 0 WAL-MART STORES INC COM 931142103 67 180400 SH Put DFND 180400 0 0 WELLS FARGO & CO NEW COM 949746101 4086 90000 SH DFND 90000 0 0 WESTERN ASSET EMRG MKT INCM COM 95766E103 748 63173 SH DFND 63173 0 0 WHITEWAVE FOODS CO COM CL A 966244105 3577 155923 SH DFND 155923 0 0 WHOLE FOODS MKT INC COM 966837106 894 80000 SH Call DFND 80000 0 0 WIPRO LTD SPON ADR 1 SH 97651M109 266 21110 SH DFND 21110 0 0 WYNN RESORTS LTD COM 983134107 3177 56600 SH Call DFND 56600 0 0 WYNN RESORTS LTD COM 983134107 10 131000 SH Put DFND 131000 0 0 XILINX INC COM 983919101 965 21007 SH DFND 21007 0 0 XILINX INC COM 983919101 146 80000 SH Call DFND 80000 0 0 XILINX INC COM 983919101 46 80000 SH Put DFND 80000 0 0 YAHOO INC COM 984332106 119 30000 SH Call DFND 30000 0 0 YANDEX N V SHS CLASS A N97284108 2832 65620 SH DFND 65620 0 0