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Mariner Investment Group, LLC.

PRI reporting framework 2017

Gateway asset class implementation indicators [OO 10 - 12]

Investment policy [SG 01 - 04] Objectives and strategies [SG 05 - 06] Governance and human resources [SG 07 - 08] Promoting responsible investment [SG 09 - 11] Implementation not in other modules [SG 12 - 16] Innovation [SG 17]

Direct - Fixed Income

Overview [FI 01 - 03] ESG incorporation in actively managed fixed income [FI 04 - 16] Implementation processes [FI 04 - 06] (C) Implementation: Integration [FI 14 - 16] Fixed income - Engagement [FI 18 - 20] Outputs and outcomes [FI 21 - 22] Communication [FI 23]

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Basic Information

OO 01. Signatory category and services

01.1. Select the services you offer.

Fund management

% of assets under management (AUM) in ranges

<10%

10-50%

>50%

Fund of funds, manager of managers, sub-advised products

% of assets under management (AUM) in ranges

<10%

10-50%

>50%

Other, specify

Execution and advisory services

01.2. Additional information. [Optional]

OO 02. Headquarters and operational countries

02.1. Select the location of your organisation’s headquarters.

United States

02.2. Indicate the number of countries in which you have offices (including your headquarters).

2-5

6-10

>10

02.3. Indicate the approximate number of staff in your organisation in full-time equivalents (FTE).

151 FTE

02.4. Additional information. [Optional]

FTE and office locations are for Mariner Investment Group, LLC, Mariner Investment (Europe) LLP and Mariner Japan, Inc. as of December 31, 2016.

OO 03. Subsidiaries that are separate PRI signatories

03.1. Indicate whether you have subsidiaries within your organisation that are also PRI signatories in their own right.

Yes

03.3. Additional information. [Optional]

OO 04. Reporting year and AUM

04.1. Indicate the year end date for your reporting year.

31/12/2016

04.2. Indicate your total AUM at the end of your reporting year, excluding subsidiaries you have chosen not to report on.

Total AUM
Total AUM	trillions	billions	millions	thousands	hundreds
Currency
Assets in USD
Assets in USD	trillions	billions	millions	thousands	hundreds

04.4. Additional information. [Optional]

As of December 31, 2016, Mariner’s total assets under management (“AUM”) was approximately $5.4 billion (“Mariner AUM”). In addition, Mariner is associated with certain investment advisers who are separately registered with the SEC (the “Associated Advisers”) and have collective AUM of approximately $5.7 billion (the “Associated Advisers’ AUM”). In total, Mariner’s AUM in conjunction with the Associated Advisers’ AUM is approximately $11.1 billion. AUM figures are estimated and unaudited.

OO 06. How would you like to disclose your asset class mix

New selection options have been added to this indicator. Please review your prefilled responses carefully.

06.1. How you would like to disclose your asset class mix.

as percentage breakdown

as broad ranges

	Internally managed (%)	Externally managed (%)
Listed equity	<10% 0.26	0 0
Fixed income	>50% 97.98	0 0
Private equity	<10% 0.16	0 0
Property	0 0	0 0
Infrastructure	<10% 0.48	0 0
Commodities	0 0	0 0
Hedge funds	<10% 0.05	<10% 0.28
Forestry	0 0	0 0
Farmland	0 0	0 0
Inclusive finance	0 0	0 0
Cash	0 0	0 0
Other (1), specify	<10% 0.8	0 0
Other (2), specify	0 0	0 0

'Other (1)' specified

          Other represents OTC Derivatives.

06.2. Publish our asset class mix as per attached image [Optional].

06.3. Provide contextual information on your AUM asset class split. [Optional]

Please note, the internally managed assets include assets managed by Mariner Investment Group, LLC and include allocations in our multi-strategy fund managed by associated entities.

OO 07. Fixed income AUM breakdown (Private)

OO 08. Segregated mandates or pooled funds (Private)

OO 09. Breakdown of AUM by market (Private)

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