0001096978-16-000003.txt : 20160503 0001096978-16-000003.hdr.sgml : 20160503 20160503101905 ACCESSION NUMBER: 0001096978-16-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160503 DATE AS OF CHANGE: 20160503 EFFECTIVENESS DATE: 20160503 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: 161614011 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 03-31-2016 03-31-2016 MARINER INVESTMENT GROUP LLC

500 MAMARONECK AVENUE, 4TH FLOOR HARRISON NY 10528

13F HOLDINGS REPORT 028-11231 N Henry Kravchenko 914 670-4374 /s/ Henry Kravchenko Harrison NY 04-30-2016 0 174 362549 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABERDEEN ASIA PACIFIC INCOMCOM00300910748196175SHDFND 0961750ACCELERON PHARMA INCCOM00434H10879230000SHDFND 0300000ADEPTUS HEALTH INCCL A006855100213838500SHDFND 0385000ADVANCED MICRO DEVICES INCCOM007903107187737900SHPutDFND 07379000ADVENT CLAY CONV SEC INC FDCOM00763910734663700SHDFND 0637000ADVENT CLAYMORE CV SECS & INCOM00764C1091400105983SHDFND 01059830ADVENT CLAYMORE ENH GRW & INCOM00765E1044249517546SHDFND 05175460AETNA INC NEWCOM00817Y108224720000SHDFND 0200000AGILENT TECHNOLOGIES INCCOM00846U101203251000SHDFND 0510000ALEXION PHARMACEUTICALS INCCOM015351109536038500SHDFND 0385000ALLIANZGI CONV & INCOME FDCOM0188281031914345439SHDFND 03454390ALLIANZGI CONV & INCOME FD ICOM01882510936374359SHDFND 0743590ALPS ETF TRALERIAN MLP00162Q86638235000SHDFND 0350000ALPS ETF TRALERIAN MLP00162Q86660100000SHPutDFND 01000000AMERICAN CAP SR FLOATING LTDCOM02504D10847947714SHDFND 0477140AMSURG CORPCOM03232P40574610000SHDFND 0100000APOLLO RESIDENTIAL MTG INCCOM03763V1022035151634SHDFND 01516340APOLLO RESIDENTIAL MTG INCCOM03763V1027556100SHCallDFND 0561000APOLLO SR FLOATING RATE FD ICOM0376361076476426085SHDFND 04260850APOLLO TACTICAL INCOME FD INCOM0376381032081152931SHDFND 01529310ARBUTUS BIOPHARMA CORPCOM03879J10037189800SHDFND 0898000ARES DYNAMIC CR ALLOCATION FCOM04014F1025454407626SHDFND 04076260ARIAD PHARMACEUTICALS INCCOM04033A100912142800SHDFND 01428000ASSURED GUARANTY LTDCOMG0585R106950000SHCallDFND 0500000AVENUE INCOME CR STRATEGIESCOM05358E1061275116336SHDFND 01163360BARCLAYS BK PLCIPATH S&P500 VIX06742E71116831051500SHPutDFND 010515000BAXALTA INCCOM07177M1035737142000SHDFND 01420000BIOGEN INCCOM09062X103486318682SHDFND 0186820BIOMARIN PHARMACEUTICAL INCCOM09061G101632476672SHDFND 0766720BLACKROCK DEBT STRAT FD INCCOM09255R103914263312SHDFND 02633120BLACKROCK ENERGY & RES TRCOM09250U10152140086SHDFND 0400860BLACKROCK FLOAT RATE OME STRCOM09255X1005015383740SHDFND 03837400BLACKROCK FLOATING RATE INCOCOM09194110446436150SHDFND 0361500BLACKROCK MULTI-SECTOR INC TCOM09258A1072441154417SHDFND 01544170BLACKROCK MUNI INTER DR FD ICOM09253X1023267222844SHDFND 02228440BLACKSTONE GSO FLTING RTE FUCOM09256U10518412000SHDFND 0120000BLACKSTONE GSO LNG SHRT CR ICOM SHS BN INT09257D1026107449069SHDFND 04490690BLACKSTONE GSO STRATEGIC CRCOM SHS BEN IN09257R1018743641465SHDFND 06414650BLUEBIRD BIO INCCOM09609G100123329000SHDFND 0290000BOULDER GROWTH & INCOME FD ICOM10150710199581268583SHDFND 012685830BP PRUDHOE BAY RTY TRUNIT BEN INT05563010719533000SHPutDFND 0330000BRISTOL MYERS SQUIBB COCOM110122108534783700SHDFND 0837000BROOKFIELD HIGH INCOME FD INCOM11272P10266695878SHDFND 0958780BROOKFIELD MTG OPP INC FD INCOM1127921061615110282SHDFND 01102820CALAMOS CONV & HIGH INCOME FCOM SHS12811P1082983287117SHDFND 02871170CALAMOS CONV OPP AND INC FDSH BEN INT1281171082533266948SHDFND 02669480CALAMOS GBL DYN INCOME FUNDCOM12811L1072795397634SHDFND 03976340CALAMOS GLOBAL TOTAL RETURNCOM SH BEN INT1281181061409127256SHDFND 01272560CALAMOS STRATEGIC TOTL RETNCOM SH BEN INT1281251011454152843SHDFND 01528430CARROLS RESTAURANT GROUP INCCOM14574X104420000SHPutDFND 0200000CELGENE CORPCOM151020104660666000SHDFND 0660000CELGENE CORPCOM151020104325000SHCallDFND 0250000CENTRAL FD CDA LTDCL A1535011018213685000SHDFND 06850000CLEAR CHANNEL OUTDOOR HLDGSCL A18451C109674143430SHDFND 01434300CLOUGH GLOBAL OPPORTUNITIESSH BEN INT18914E1061458152223SHDFND 01522230COHEN & STEERS REIT & PFD INCOM19247X1003616191098SHDFND 01910980CORNERSTONE STRATEGIC VALUECOM21924B302136993518SHDFND 0935180CROSSROADS CAP INCCOM22765610516362400SHDFND 0624000DEUTSCHE HIGH INCOME OPPORTCOM25158Y1021664124823SHDFND 01248230DEUTSCHE MULTI-MKT INCOME TRSHS25160E10237947807SHDFND 0478070DEUTSCHE STRATEGIC INCOME TRSHS25160F10938835066SHDFND 0350660DOUBLELINE INCOME SOLUTIONSCOM25862210940924359SHDFND 0243590DUFF & PHELPS GLB UTL INC FDCOM26433C10556435444SHDFND 0354440EATON VANCE FLTG RATE INCOMCOM SHS BEN INT2782841042609178935SHDFND 01789350EATON VANCE FLTING RATE INCCOM2782791041750132992SHDFND 01329920EATON VANCE LTD DUR INCOME FCOM27828H1051344101999SHDFND 01019990EATON VANCE SR FLTNG RTE TRCOM27828Q1051443112530SHDFND 01125300EATON VANCE SR INCOME TRSH BEN INT27826S1035030868682SHDFND 08686820ENDOLOGIX INCCOM29266S106971116100SHDFND 01161000ENTERCOM COMMUNICATIONS CORPCL A293639100310000SHPutDFND 0100000ENTERPRISE PRODS PARTNERS LCOM293792107142557900SHDFND 0579000ENTERPRISE PRODS PARTNERS LCOM29379210780158500SHCallDFND 01585000ENTERPRISE PRODS PARTNERS LCOM293792107223333500SHPutDFND 03335000ENVISION HEALTHCARE HLDGS INCOM29413U10386742500SHDFND 0425000FIDUCIARY CLAYMORE MLP OPP FCOM31647Q1061253114225SHDFND 01142250FIFTH STR SR FLOATNG RATE COCOM31679F1011213152979SHDFND 01529790FIRST TR DIVIDEND INCOME FDCOM33731L10020323511SHDFND 0235110FIRST TR STRATEGIC HIGH INCCOM SHS NEW3373533042426213365SHDFND 02133650GILEAD SCIENCES INCCOM37555810310591115300SHDFND 01153000GILEAD SCIENCES INCCOM3755581032015000SHCallDFND 0150000HCA HOLDINGS INCCOM40412C101429355000SHDFND 0550000HERBALIFE LTDCOM USD SHSG4412G101110000SHPutDFND 0100000HORIZON PHARMA PLCSHSG4617B1052812169700SHDFND 01697000IMMUNOGEN INCCOM45253H10129734900SHDFND 0349000INCYTE CORPCOM45337C102231231900SHDFND 0319000INTERSECT ENT INCCOM46071F10366935213SHDFND 0352130INVESCO DYNAMIC CR OPP FDCOM46132R104139301295835SHDFND 012958350INVESCO MORTGAGE CAPITAL INCCOM46131B10043135411SHDFND 0354110INVESCO SR INCOME TRCOM46131H1073562881650SHDFND 08816500IONIS PHARMACEUTICALS INCCOM462222100116728820SHDFND 0288200IRONWOOD PHARMACEUTICALS INCCOM CL A46333X10832830000SHDFND 0300000ISHARESMSCI GERMANY ETF46428680625710000SHDFND 0100000ISHARESMSCI GERMANY ETF464286806440000SHPutDFND 0400000ISHARES TRNASDQ BIOTEC ETF46428755625569800SHDFND 098000ISHARES TRNASDQ BIOTEC ETF4642875566478465900SHPutDFND 04659000ISHARES TRRUSSELL 2000 ETF46428765532225000SHPutDFND 02250000ISHARES TRIBOXX HI YD ETF46428851382531500SHCallDFND 05315000ISHARES TRIBOXX HI YD ETF46428851385330000SHPutDFND 03300000ISHARES TRMRG RL ES CP ETF4642885394545470000SHDFND 04700000IVY HIGH INC OPPORTUNITIES FCOM4658931052352184752SHDFND 01847520JAZZ PHARMACEUTICALS PLCSHS USDG50871105587545000SHDFND 0450000JUNO THERAPEUTICS INCCOM48205A109148639000SHDFND 0390000KINDER MORGAN INC DELCOM49456B101173297000SHDFND 0970000KINDER MORGAN INC DELCOM49456B10175171800SHCallDFND 01718000KINDER MORGAN INC DELCOM49456B101271515400SHPutDFND 05154000KITE PHARMA INCCOM49803L10964314000SHDFND 0140000KKR INCOME OPPORTUNITIES FDCOM48249T106114479423SHDFND 0794230LIBERTY ALL STAR EQUITY FDSH BEN INT5301581042624527959SHDFND 05279590LMP CAP & INCOME FD INCCOM50208A102101181737SHDFND 0817370LMP CORPORATE LN FD INCCOM50208B1003018309197SHDFND 03091970LMP REAL ESTATE INCOME FD INCOM50208C10858642939SHDFND 0429390MALLINCKRODT PUB LTD COSHSG5785G107128721000SHDFND 0210000MASIMO CORPCOM574795100153136600SHDFND 0366000MEDIVATION INCCOM58501N101337573400SHDFND 0734000MERRIMACK PHARMACEUTICALS INCOM59032810052863090SHDFND 0630900NATERA INCCOM63230710434836600SHDFND 0366000NATURAL HEALTH TRENDS CORPCOM PAR $.00163888P406810300SHPutDFND 0103000NEUBERGER BERMAN RE ES SEC FCOM64190A10351591013559SHDFND 010135590NEWLINK GENETICS CORPCOM65151110718210000SHDFND 0100000NORTHSTAR RLTY FIN CORPCOM66704R80355442200SHDFND 0422000NUVEEN CR STRATEGIES INCM FDCOM SHS67073D102147231861336SHDFND 018613360NUVEEN DIVERSIFIED COMMODTYCOM UT BEN INT67074P10415517381SHDFND 0173810NUVEEN DIVID ADV MUN FD 3COM SH BEN INT67070X1013472231927SHDFND 02319270NUVEEN FLOATING RATE INCOMECOM67072T1083961393377SHDFND 03933770NUVEEN FLTNG RTE INCM OPP FDCOM SHS6706EN1003655369561SHDFND 03695610NUVEEN GLOBAL EQUITY INCOMECOM6706EH10356851771SHDFND 0517710NUVEEN LG/SHT COMMODITY TOTRCOM UT BEN INT6707311082904192811SHDFND 01928110NUVEEN MUN ADVANTAGE FD INCCOM67062H10616211284SHDFND 0112840NUVEEN MUN MKT OPPORTUNITY FCOM67062W1032174152859SHDFND 01528590NUVEEN MUN OPPORTUNITY FD INCOM6709841032541172653SHDFND 01726530NUVEEN PA INVT QUALITY MUN FCOM67097210863344106SHDFND 0441060NUVEEN PREM INCOME MUN FDCOM67062T1001537105498SHDFND 01054980NUVEEN PREM INCOME MUN FD 2COM67063W10290861680SHDFND 0616800NUVEEN PREMIER MUN INCOME FDCOM670988104125488822SHDFND 0888220NUVEEN QUALITY INCOME MUN FDCOM67097710756138136SHDFND 0381360NUVEEN QUALITY MUN FD INCCOM67062N103115581130SHDFND 0811300NUVEEN REAL ASSET INC & GROWCOM67074Y10521213800SHDFND 0138000NUVEEN SHT DUR CR OPP FDCOM67074X1075794383198SHDFND 03831980NUVEEN SR INCOME FDCOM67067Y10469891184492SHDFND 011844920PFIZER INCCOM7170811031060000SHCallDFND 0600000PFIZER INCCOM7170811035113172500SHDFND 01725000PIMCO DYNAMIC CR INCOME FDCOM SHS72202D1066059347411SHDFND 03474110PIMCO INCOME OPPORTUNITY FDCOM72202B10054726352SHDFND 0263520PIMCO INCOME STRATEGY FUNDCOM72201H1081130118233SHDFND 01182330PIONEER FLOATING RATE TRCOM72369J1023723332695SHDFND 03326950POWERSHS DB MULTI SECT COMMPS DB AGRICUL FD73936B40874236000SHDFND 0360000PRINCIPAL REAL ESTATE INCOMESHS BEN INT74255X10434320773SHDFND 0207730PROTHENA CORP PLCSHSG72800108156838104SHDFND 0381040RADIO ONE INCCL D NON VTG75040P4059969481SHDFND 0694810REGENERON PHARMACEUTICALSCOM75886F10729018048SHDFND 080480RMR REAL ESTATE INCOME FUNDCOM76970B1018326431470SHDFND 04314700SHIRE PLCSPONSORED ADR82481R106395423000SHDFND 0230000SPARK THERAPEUTICS INCCOM84652J103101434350SHDFND 0343500SPDR GOLD TRUSTGOLD SHS78463V1071020000SHCallDFND 0200000SPDR S&P 500 ETF TRTR UNIT78462F103510000SHPutDFND 0100000SPDR SERIES TRUSTBRC HGH YLD BD78464A41735200000SHCallDFND 02000000SPDR SERIES TRUSTBRC HGH YLD BD78464A417110000SHPutDFND 0100000SPDR SERIES TRUSTS&P OILGAS EXP78464A730924000SHCallDFND 0240000SPDR SERIES TRUSTS&P BIOTECH78464A870495150000SHPutDFND 01500000SPDR SERIES TRUSTS&P HOMEBUILD78464A8883089100SHDFND 091000SURGERY PARTNERS INCCOM86881A10061846600SHDFND 0466000TENET HEALTHCARE CORPCOM NEW88033G4073637125700SHDFND 01257000THL CR SR LN FDCOM87244R103155197712SHDFND 0977120UNITED STATES OIL FUND LPUNITS91232N1081630000SHCallDFND 0300000VERTEX PHARMACEUTICALS INCCOM92532F100433254500SHDFND 0545000VIRTUS TOTAL RETURN FDCOM92829A1031111261370SHDFND 02613700VOYA PRIME RATE TRSH BEN INT92913A1001597316885SHDFND 03168850WESTERN ASSET CLYM INFL OPPCOM95766R1041597144408SHDFND 01444080WESTERN ASSET CLYM INFL SECCOM SH BEN INT95766Q1062964260200SHDFND 02602000WL ROSS HLDG CORPCOM SHS92939D10469168892SHDFND 0688920WL ROSS HLDG CORP*W EXP 06/11/20192939D1123878958SHDFND 0789580WL ROSS HLDG CORPUNIT 06/11/201992939D20326625400SHDFND 0254000ZAIS FINL CORPCOM98886K10894063014SHDFND 0630140ZWEIG TOTAL RETURN FD INCCOM NEW98983720853544653SHDFND 0446530