0000950123-14-006033.txt : 20140514
0000950123-14-006033.hdr.sgml : 20140514
20140514171954
ACCESSION NUMBER: 0000950123-14-006033
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140331
FILED AS OF DATE: 20140514
DATE AS OF CHANGE: 20140514
EFFECTIVENESS DATE: 20140514
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: 14842588
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
03-31-2014
03-31-2014
QVT Financial LP
1177 Avenue of the Americas
9th Floor
New York
NY
10036
13F HOLDINGS REPORT
028-11172
N
Tracy Fu
Managing Member of QVT Financial GP LLC
(212) 705-8888
Tracy Fu
New York
NY
05-14-2014
0
82
1747406
false
INFORMATION TABLE
2
form13fInfoTable.xml
INFORMATION TABLE FOR FORM 13F
ACCELERON PHARMA INC
COM
00434H108
18811
556574
SH
DFND
556574
0
0
ACHILLION PHARMACEUTICALS IN
COM
00448Q201
35588
10816953
SH
DFND
10816953
0
0
AGENUS INC
COM NEW
00847G705
28137
9259260
SH
DFND
9259260
0
0
ALTISOURCE PORTFOLIO SOLNS S
REG SHS
L0175J104
20835
171254
SH
DFND
171254
0
0
ALTISOURCE PORTFOLIO SOLNS S
REG SHS
L0175J104
10986
90300
SH
Put
DFND
90300
0
0
ANACOR PHARMACEUTICALS INC
COM
032420101
23530
1175903
SH
DFND
1175903
0
0
ARM HLDGS PLC
SPONSORED ADR
042068106
11218
220100
SH
Put
DFND
220100
0
0
ARMSTRONG WORLD INDS INC NEW
COM
04247X102
15846
297585
SH
DFND
297585
0
0
ARRAY BIOPHARMA INC
COM
04269X105
10604
2256200
SH
DFND
2256200
0
0
ARRAY BIOPHARMA INC
NOTE 3.000% 6/0
04269XAA3
9376
9000000
PRN
DFND
9000000
0
0
ARROWHEAD RESH CORP
COM NEW
042797209
32406
2024782
SH
DFND
2024782
0
0
BIOCRYST PHARMACEUTICALS
COM
09058V103
5562
525734
SH
DFND
525734
0
0
BLUEBIRD BIO INC
COM
09609G100
4482
197100
SH
DFND
197100
0
0
BRF SA
SPONSORED ADR
10552T107
32195
1611348
SH
DFND
1611348
0
0
CAPITAL ONE FINL CORP
COM
14040H105
37335
483865
SH
DFND
483865
0
0
CHINA ZENIX AUTO INTL LTD
ADS
16951E104
10208
6074805
SH
DFND
6074805
0
0
CITIGROUP INC
COM NEW
172967424
15008
315291
SH
DFND
315291
0
0
CLOVIS ONCOLOGY INC
COM
189464100
26997
389735
SH
DFND
389735
0
0
CMS ENERGY CORP
NOTE 5.500% 6/1
125896BD1
5448
2500000
PRN
DFND
2500000
0
0
CONNS INC
COM
208242107
11771
302995
SH
DFND
302995
0
0
CTRIP COM INTL LTD
AMERICAN DEP SHS
22943F100
20118
399000
SH
DFND
399000
0
0
CUBIST PHARMACEUTICALS INC
RIGHT 99/99/9999
229678123
372
572366
SH
DFND
572366
0
0
CYTRX CORP
COM PAR $.001
232828509
18024
5164600
SH
DFND
5164600
0
0
DHT HOLDINGS INC
SHS NEW
Y2065G121
28986
3921800
SH
DFND
3921800
0
0
DYAX CORP
COM
26746E103
20735
2309000
SH
DFND
2309000
0
0
E TRADE FINANCIAL CORP
COM NEW
269246401
1155
50158
SH
DFND
50158
0
0
E TRADE FINANCIAL CORP
NOTE 8/3
269246AZ7
58360
26214000
PRN
DFND
26214000
0
0
EBAY INC
COM
278642103
53019
959800
SH
DFND
959800
0
0
EPIZYME INC
COM
29428V104
10877
477700
SH
DFND
477700
0
0
FIVE PRIME THERAPEUTICS INC
COM
33830X104
5928
301506
SH
DFND
301506
0
0
GREEN DOT CORP
CL A
39304D102
25699
1315897
SH
DFND
1315897
0
0
HALOZYME THERAPEUTICS INC
COM
40637H109
53600
4218800
SH
DFND
4218800
0
0
HOME LN SERVICING SOLUTIONS
ORD SHS
G6648D109
2681
124100
SH
DFND
124100
0
0
INTERCEPT PHARMACEUTICALS IN
COM
45845P108
1402
4251
SH
DFND
4251
0
0
INTERMUNE INC
NOTE 2.500%12/1
45884XAF0
23763
9000000
PRN
DFND
9000000
0
0
JPMORGAN CHASE & CO
COM
46625H100
23299
383770
SH
DFND
383770
0
0
KERYX BIOPHARMACEUTICALS INC
COM
492515101
14232
835200
SH
DFND
835200
0
0
LEGG MASON INC
COM
524901105
27750
565867
SH
DFND
565867
0
0
LIBERTY INTERACTIVE CORP
INT COM SER A
53071M104
9836
340700
SH
DFND
340700
0
0
LULULEMON ATHLETICA INC
COM
550021109
25280
480700
SH
Put
DFND
480700
0
0
LUMBER LIQUIDATORS HLDGS INC
COM
55003T107
30026
320107
SH
DFND
320107
0
0
LUMBER LIQUIDATORS HLDGS INC
COM
55003T107
90217
961800
SH
Put
DFND
961800
0
0
MEDIVATION INC
COM
58501N101
11363
176528
SH
DFND
176528
0
0
MIRATI THERAPEUTICS INC
COM
60468T105
10181
533878
SH
DFND
533878
0
0
NATIONSTAR MTG HLDGS INC
COM
63861C109
2139
65900
SH
DFND
65900
0
0
NATIONSTAR MTG HLDGS INC
COM
63861C109
3246
100000
SH
Put
DFND
100000
0
0
NAVIGATOR HOLDINGS LTD
SHS
Y62132108
8724
335543
SH
DFND
335543
0
0
NORTHSTAR RLTY FIN CORP
COM
66704R100
24399
1511693
SH
DFND
1511693
0
0
OCERA THERAPEUTICS INC
COM
67552A108
7179
712127
SH
DFND
712127
0
0
OCWEN FINL CORP
COM NEW
675746309
65920
1682492
SH
DFND
1682492
0
0
OCWEN FINL CORP
COM NEW
675746309
37221
950000
SH
Put
DFND
950000
0
0
ONCOTHYREON INC
COM
682324108
16830
5628899
SH
DFND
5628899
0
0
OREXIGEN THERAPEUTICS INC
COM
686164104
8598
1322729
SH
DFND
1322729
0
0
PALATIN TECHNOLOGIES INC
COM PAR $ .01
696077403
4540
3873000
SH
DFND
3873000
0
0
PEREGRINE SEMICONDUCTOR CORP
COM
71366R703
6437
1063894
SH
DFND
1063894
0
0
PHARMACYCLICS INC
COM
716933106
11026
110021
SH
DFND
110021
0
0
PHH CORP
COM NEW
693320202
19548
756483
SH
DFND
756483
0
0
REPROS THERAPEUTICS INC
COM NEW
76028H209
2964
176417
SH
DFND
176417
0
0
REPROS THERAPEUTICS INC
*W EXP 02/08/201
76028H126
10585
708969
SH
DFND
708969
0
0
REPROS THERAPEUTICS INC
*W EXP 02/08/201
76028H118
15183
874635
SH
DFND
874635
0
0
RETROPHIN INC
COM
761299106
47908
2287583
SH
DFND
2287583
0
0
ROWAN COMPANIES PLC
SHS CL A
G7665A101
13960
414500
SH
DFND
414500
0
0
SALESFORCE COM INC
NOTE 0.750% 1/1
79466LAB0
140032
52500000
PRN
DFND
52500000
0
0
SBA COMMUNICATIONS CORP
NOTE 4.000%10/0
78388JAM8
52309
17500000
PRN
DFND
17500000
0
0
SCORPIO BULKERS INC
SHS
Y7546A106
8742
864700
SH
DFND
864700
0
0
SCORPIO TANKERS INC
SHS
Y7542C106
3876
388766
SH
DFND
388766
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
18701
100000
SH
Call
DFND
100000
0
0
STEMLINE THERAPEUTICS INC
COM
85858C107
2240
110000
SH
DFND
110000
0
0
SUNCOKE ENERGY INC
COM
86722A103
727
31837
SH
DFND
31837
0
0
SVB FINL GROUP
COM
78486Q101
30456
236500
SH
Put
DFND
236500
0
0
TAIWAN SEMICONDUCTOR MFG LTD
SPONSORED ADR
874039100
14240
711300
SH
Put
DFND
711300
0
0
TENET HEALTHCARE CORP
COM NEW
88033G407
70410
1644714
SH
DFND
1644714
0
0
THE9 LTD
ADR
88337K104
1882
752963
SH
DFND
752963
0
0
TWO HBRS INVT CORP
COM
90187B101
3536
345000
SH
DFND
345000
0
0
ULTRAGENYX PHARMACEUTICAL IN
COM
90400D108
1222
25000
SH
DFND
25000
0
0
VERASTEM INC
COM
92337C104
2339
216801
SH
DFND
216801
0
0
VIVUS INC
COM
928551100
11577
1949048
SH
DFND
1949048
0
0
WALTER ENERGY INC
COM
93317Q105
373
49300
SH
DFND
49300
0
0
WELLS FARGO & CO NEW
COM
949746101
21411
430456
SH
DFND
430456
0
0
WESCO INTL INC
DBCV 6.000% 9/1
95082PAH8
56394
19000000
PRN
DFND
19000000
0
0
XENCOR INC
COM
98401F105
9384
800000
SH
DFND
800000
0
0
YPF SOCIEDAD ANONIMA
SPON ADR CL D
984245100
57902
1858209
SH
DFND
1858209
0
0