0000950123-15-003465.txt : 20150220
0000950123-15-003465.hdr.sgml : 20150220
20150217213956
ACCESSION NUMBER: 0000950123-15-003465
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20141231
FILED AS OF DATE: 20150217
DATE AS OF CHANGE: 20150220
EFFECTIVENESS DATE: 20150218
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: QVT Financial LP
CENTRAL INDEX KEY: 0001290162
IRS NUMBER: 113694008
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-11172
FILM NUMBER: 15625960
BUSINESS ADDRESS:
STREET 1: 1177 AVENUE OF THE AMERICAS
STREET 2: 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036
BUSINESS PHONE: 212-705-8800
MAIL ADDRESS:
STREET 1: 1177 AVENUE OF THE AMERICAS
STREET 2: 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001290162
XXXXXXXX
12-31-2014
12-31-2014
QVT Financial LP
1177 Avenue of the Americas
9th Floor
NEW YORK
NY
10036
13F HOLDINGS REPORT
028-11172
N
Arthur Chu
Managing Member of the General Partner
(212) 705-8888
Arthur Chu
New York, NY
NY
02-17-2015
0
95
2000793
false
INFORMATION TABLE
2
form13fInfoTable.xml
INFORMATION TABLE FOR FORM 13F
ACCELERON PHARMA INC
COM
00434H108
37488
962217
SH
DFND
962217
0
0
ACHILLION PHARMACEUTICALS IN
COM
00448Q201
6316
515583
SH
DFND
515583
0
0
ADECOAGRO S A
COM
L00849106
968
120800
SH
DFND
120800
0
0
AGENUS INC
COM NEW
00847G705
34103
9259260
SH
DFND
9259260
0
0
AGIOS PHARMACEUTICALS INC
COM
00847X104
6280
56048
SH
DFND
56048
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
8908
85700
SH
DFND
85700
0
0
ALTISOURCE PORTFOLIO SOLNS S
REG SHS
L0175J104
15234
450840
SH
DFND
450840
0
0
ALTISOURCE PORTFOLIO SOLNS S
REG SHS
L0175J104
13019
385300
SH
Put
DFND
385300
0
0
ALTISOURCE RESIDENTIAL CORP
CL B
02153W100
9312
480000
SH
Put
DFND
480000
0
0
ANACOR PHARMACEUTICALS INC
COM
032420101
12060
373953
SH
DFND
373953
0
0
ARM HLDGS PLC
SPONSORED ADR
042068106
10191
220100
SH
Put
DFND
220100
0
0
ARMSTRONG WORLD INDS INC NEW
COM
04247X102
12780
250000
SH
Call
DFND
250000
0
0
ARRAY BIOPHARMA INC
COM
04269X105
1711
361722
SH
DFND
361722
0
0
ARRAY BIOPHARMA INC
NOTE 3.000% 6/0
04269XAA3
8408
9000000
PRN
DFND
9000000
0
0
ARROWHEAD RESH CORP
COM NEW
042797209
27515
3779482
SH
DFND
3779482
0
0
ASSEMBLY BIOSCIENCES INC
COM
045396108
3867
535000
SH
DFND
535000
0
0
AVALANCHE BIOTECHNOLOGIES IN
COM
05337G107
5832
108000
SH
DFND
108000
0
0
BIOCRYST PHARMACEUTICALS
COM
09058V103
15155
1246282
SH
DFND
1246282
0
0
BLUEBIRD BIO INC
COM
09609G100
14932
162800
SH
DFND
162800
0
0
BRF SA
SPONSORED ADR
10552T107
18856
807520
SH
DFND
807520
0
0
CAPITAL ONE FINL CORP
COM
14040H105
15417
186765
SH
DFND
186765
0
0
CAPITAL ONE FINL CORP
COM
14040H105
8255
100000
SH
Call
DFND
100000
0
0
CDN IMPERIAL BK COMM TORONTO
COM
136069101
6446
75000
SH
Put
DFND
75000
0
0
CHINA ZENIX AUTO INTL LTD
ADS
16951E104
6778
6074805
SH
DFND
6074805
0
0
CONCERT PHARMACEUTICALS INC
COM
206022105
3377
259999
SH
DFND
259999
0
0
COVIDIEN PLC
SHS
G2554F113
122736
1200000
SH
DFND
1200000
0
0
CTRIP COM INTL LTD
NOTE 1.250%10/1
22943FAD2
14658
15000000
PRN
DFND
15000000
0
0
CUBIST PHARMACEUTICALS INC
COM
229678107
120780
1200000
SH
DFND
1200000
0
0
CUBIST PHARMACEUTICALS INC
NOTE 1.125% 9/0
229678AF4
12636
9500000
PRN
DFND
9500000
0
0
CUBIST PHARMACEUTICALS INC
RIGHT 99/99/9999
229678123
18
572366
SH
DFND
572366
0
0
CYTRX CORP
COM PAR $.001
232828509
14093
5143564
SH
DFND
5143564
0
0
DORIAN LPG LTD
SHS USD
Y2106R110
4195
302021
SH
DFND
302021
0
0
DYAX CORP
COM
26746E103
11440
813666
SH
DFND
813666
0
0
E TRADE FINANCIAL CORP
NOTE 8/3
269246AZ7
61491
26214000
PRN
DFND
26214000
0
0
E TRADE FINANCIAL CORP
COM NEW
269246401
8853
365000
SH
Call
DFND
365000
0
0
EBAY INC
COM
278642103
46510
828752
SH
DFND
828752
0
0
EBAY INC
COM
278642103
6308
112400
SH
Call
DFND
112400
0
0
ELONG INC
SPONSORED ADR
290138205
4989
278036
SH
DFND
278036
0
0
ENDO HEALTH SOLUTIONS INC
NOTE 1.750% 4/1
29264FAB2
24688
10000000
PRN
DFND
10000000
0
0
EPIZYME INC
COM
29428V104
17798
943200
SH
DFND
943200
0
0
EQUITY COMWLTH
COM SH BEN INT
294628102
20536
800000
SH
DFND
800000
0
0
ESSENT GROUP LTD
COM
G3198U102
3856
150000
SH
DFND
150000
0
0
FEDERAL MOGUL HOLDINGS CORP
COM
313549404
251
15581
SH
DFND
15581
0
0
FIRST SOLAR INC
COM
336433107
4460
100000
SH
Put
DFND
100000
0
0
FIVE PRIME THERAPEUTICS INC
COM
33830X104
13457
498392
SH
DFND
498392
0
0
GREEN DOT CORP
CL A
39304D102
17621
859997
SH
DFND
859997
0
0
HALOZYME THERAPEUTICS INC
COM
40637H109
19398
2010186
SH
DFND
2010186
0
0
HOME LN SERVICING SOLUTIONS
ORD SHS
G6648D109
2854
146210
SH
DFND
146210
0
0
HOME LN SERVICING SOLUTIONS
ORD SHS
G6648D109
9916
508000
SH
Put
DFND
508000
0
0
INTERCEPT PHARMACEUTICALS IN
COM
45845P108
663
4251
SH
DFND
4251
0
0
ISHARES
US HOME CONS ETF
464288752
2588
100000
SH
DFND
100000
0
0
ISHARES TR
NASDQ BIOTEC ETF
464287556
210
693
SH
DFND
693
0
0
JPMORGAN CHASE & CO
COM
46625H100
6258
100000
SH
Call
DFND
100000
0
0
JUNO THERAPEUTICS INC
COM
48205A109
1567
30000
SH
DFND
30000
0
0
LIBERTY INTERACTIVE CORP
INT COM SER A
53071M104
15731
534700
SH
DFND
534700
0
0
LIBERTY INTERACTIVE CORP
LBT VENT COM A
53071M880
5652
149842
SH
DFND
149842
0
0
LOWES COS INC
COM
548661107
7145
103850
SH
DFND
103850
0
0
LUMBER LIQUIDATORS HLDGS INC
COM
55003T107
49172
741548
SH
DFND
741548
0
0
LUMBER LIQUIDATORS HLDGS INC
COM
55003T107
194951
2940000
SH
Put
DFND
2940000
0
0
MAKEMYTRIP LIMITED MAURITIUS
SHS
V5633W109
41972
1614913
SH
DFND
1614913
0
0
MEDIVATION INC
COM
58501N101
7513
75428
SH
DFND
75428
0
0
MGIC INVT CORP WIS
COM
552848103
2982
320000
SH
DFND
320000
0
0
MGIC INVT CORP WIS
COM
552848103
23415
2512300
SH
Call
DFND
2512300
0
0
MICROCHIP TECHNOLOGY INC
SDCV 2.125%12/1
595017AB0
69698
38944000
PRN
DFND
38944000
0
0
MIRATI THERAPEUTICS INC
COM
60468T105
8579
507184
SH
DFND
507184
0
0
MOL GLOBAL INC
SPONSORED ADR
60845Q105
5152
1689290
SH
DFND
1689290
0
0
NATIONSTAR MTG HLDGS INC
COM
63861C109
8457
300000
SH
Put
DFND
300000
0
0
NAVIGATOR HOLDINGS LTD
SHS
Y62132108
21774
1033900
SH
DFND
1033900
0
0
NORTHSTAR ASSET MGMT GROUP I
COM
66705Y104
6074
269100
SH
DFND
269100
0
0
NORTHSTAR RLTY FIN CORP
COM NEW
66704R704
27688
1574967
SH
DFND
1574967
0
0
OCERA THERAPEUTICS INC
COM
67552A108
3815
611627
SH
DFND
611627
0
0
OCWEN FINL CORP
COM NEW
675746309
3700
245000
SH
DFND
245000
0
0
OCWEN FINL CORP
COM NEW
675746309
29578
1958800
SH
Put
DFND
1958800
0
0
ONCOTHYREON INC
COM
682324108
9476
5044484
SH
DFND
5044484
0
0
PALATIN TECHNOLOGIES INC
COM PAR $ .01
696077403
2259
3495336
SH
DFND
3495336
0
0
REALOGY HLDGS CORP
COM
75605Y106
20999
472000
SH
DFND
472000
0
0
RESTORATION HARDWARE HLDGS I
COM
761283100
723
7531
SH
DFND
7531
0
0
RETROPHIN INC
COM
761299106
15166
1267710
SH
DFND
1267710
0
0
SALESFORCE COM INC
NOTE 0.750% 1/1
79466LAB0
145201
52500000
PRN
DFND
52500000
0
0
SELECT SECTOR SPDR TR
SBI INT-ENERGY
81369Y506
7916
100000
SH
Call
DFND
100000
0
0
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
24730
1000000
SH
Call
DFND
1000000
0
0
SOLARCITY CORP
NOTE 2.750%11/0
83416TAA8
20142
18500000
PRN
DFND
18500000
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
61765
300500
SH
Call
DFND
300500
0
0
SUNPOWER CORP
DBCV 4.500% 3/1
867652AE9
20867
17500000
PRN
DFND
17500000
0
0
TAIWAN SEMICONDUCTOR MFG LTD
SPONSORED ADR
874039100
15919
711300
SH
Put
DFND
711300
0
0
TENET HEALTHCARE CORP
COM NEW
88033G407
58544
1155390
SH
DFND
1155390
0
0
TREEHOUSE FOODS INC
COM
89469A104
11328
132450
SH
DFND
132450
0
0
TRULIA INC
NOTE 2.750%12/1
897888AB9
7260
5000000
PRN
DFND
5000000
0
0
UNITED THERAPEUTICS CORP DEL
NOTE 1.000% 9/1
91307CAF9
61033
22500000
PRN
DFND
22500000
0
0
VIPSHOP HLDGS LTD
NOTE 1.500% 3/1
92763WAA1
8396
7000000
PRN
DFND
7000000
0
0
WALTER ENERGY INC
COM
93317Q105
68
49300
SH
DFND
49300
0
0
WESCO INTL INC
DBCV 6.000% 9/1
95082PAH8
51520
19000000
PRN
DFND
19000000
0
0
WL ROSS HLDG CORP
COM SHS
92939D104
10260
1000000
SH
DFND
1000000
0
0
XENCOR INC
COM
98401F105
9843
651444
SH
DFND
651444
0
0
YPF SOCIEDAD ANONIMA
SPON ADR CL D
984245100
26294
993342
SH
DFND
993342
0
0