0000950123-17-010888.txt : 20171114 0000950123-17-010888.hdr.sgml : 20171114 20171114153425 ACCESSION NUMBER: 0000950123-17-010888 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171114 DATE AS OF CHANGE: 20171114 EFFECTIVENESS DATE: 20171114 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: 171201087 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 09-30-2017 09-30-2017 QVT Financial LP

1177 Avenue of the Americas 9th Floor NEW YORK NY 10036

13F HOLDINGS REPORT 028-11172 N Tracy Fu (212) 705-8888 /s/ Tracy Fu New York NY 11-14-2017 0 70 2683983 false INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F ACADIA PHARMACEUTICALS INC COM 004225108 2280 60532 SH DFND 60532 0 0 ACCELERON PHARMA INC COM 00434H108 13938 373481 SH DFND 373481 0 0 ADAPTIMMUNE THERAPEUTICS PLC SPONDS ADR 00653A107 6650 859392 SH DFND 859392 0 0 ADVANCED MICRO DEVICES INC NOTE 2.125% 9/0 007903BD8 35479 20000000 PRN DFND 20000000 0 0 AGENUS INC COM NEW 00847G705 15298 3468826 SH DFND 3468826 0 0 ALLERGAN PLC PFD CONV SER A G0177J116 21444 29049 SH DFND 29049 0 0 ALLIANCE DATA SYSTEMS CORP COM 018581108 9117 41151 SH DFND 41151 0 0 AMAG PHARMACEUTICALS INC NOTE 3.250% 6/0 00163UAD8 9859 10000000 PRN DFND 10000000 0 0 AMBARELLA INC SHS G037AX101 7972 162652 SH DFND 162652 0 0 ANTHEM INC NOTE 2.750%10/1 94973VBG1 43176 16517000 PRN DFND 16517000 0 0 ARBUTUS BIOPHARMA CORP COM 03879J100 99284 16013540 SH DFND 0 16013540 0 ARGENX SE SPONSORED ADR 04016X101 3934 200000 SH DFND 200000 0 0 ASSEMBLY BIOSCIENCES INC COM 045396108 1861 53280 SH DFND 53280 0 0 AVEXIS INC COM 05366U100 4819 49823 SH DFND 49823 0 0 AXOVANT SCIENCES LTD COM G0750W104 516000 75000000 SH DFND 0 75000000 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 1479 15891 SH DFND 15891 0 0 BLUEBIRD BIO INC COM 09609G100 2445 17803 SH DFND 17803 0 0 BROCADE COMMUNICATIONS SYS I NOTE 1.375% 1/0 111621AQ1 9386 9317000 PRN DFND 9317000 0 0 CAL MAINE FOODS INC COM NEW 128030202 5072 123396 SH DFND 123396 0 0 CARMAX INC COM 143130102 19192 253153 SH DFND 253153 0 0 EURONAV NV ANTWERPEN SHS B38564108 17933 2213974 SH DFND 2213974 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 15045 63429 SH DFND 63429 0 0 GRAY TELEVISION INC COM 389375106 5501 350351 SH DFND 350351 0 0 HERBALIFE LTD NOTE 2.000% 8/1 42703MAB9 20604 20510000 PRN DFND 20510000 0 0 HERBALIFE LTD COM USD SHS G4412G101 3392 50000 SH Put DFND 50000 0 0 HOME DEPOT INC COM 437076102 11753 71857 SH DFND 71857 0 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MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AD6 50276 28729000 PRN DFND 28729000 0 0 MICRON TECHNOLOGY INC NOTE 2.125% 2/1 595112AV5 120120 33304000 PRN DFND 33304000 0 0 MYOVANT SCIENCES LTD COM G637AM102 575969 37231342 SH DFND 0 37231342 0 NETEASE INC SPONSORED ADR 64110W102 8550 32410 SH DFND 32410 0 0 NEW YORK TIMES CO CL A 650111107 20696 1055903 SH DFND 1055903 0 0 NEXSTAR MEDIA GROUP INC CL A 65336K103 5062 81255 SH DFND 81255 0 0 NORDIC AMERICAN TANKERS LIMI COM G65773106 8758 1640100 SH Put DFND 1640100 0 0 NORDIC AMERICAN TANKERS LIMI COM G65773106 1335 250000 SH DFND 250000 0 0 NORDIC AMERN OFFSHORE LTD SHS G65772108 13 9015 SH DFND 9015 0 0 NORTHSTAR REALTY EUROPE CORP COM 66706L101 13747 1073117 SH DFND 1073117 0 0 PALATIN TECHNOLOGIES INC COM PAR $ .01 696077403 1994 4296847 SH DFND 4296847 0 0 PATTERSON UTI ENERGY INC COM 703481101 3386 161700 SH DFND 161700 0 0 PDVWIRELESS INC COM 69290R104 18583 714542 SH DFND 714542 0 0 RICE ENERGY INC COM 762760106 13873 479385 SH DFND 479385 0 0 SAREPTA THERAPEUTICS INC COM 803607100 2583 56949 SH DFND 56949 0 0 SHIP FINANCE INTERNATIONAL L NOTE 3.250% 2/0 G81075AE6 43285 39206000 PRN DFND 39206000 0 0 SINCLAIR BROADCAST GROUP INC CL A 829226109 6052 188822 SH DFND 188822 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 324638 3750000 SH Put DFND 3750000 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 3607 41666 SH DFND 41666 0 0 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 3391 81184 SH DFND 81184 0 0 TAL ED GROUP NOTE 2.500% 5/1 874080AB0 207042 26791000 PRN DFND 26791000 0 0 TESARO INC COM 881569107 2312 17907 SH DFND 17907 0 0 TIME WARNER INC COM NEW 887317303 15405 150367 SH DFND 150367 0 0 TJX COS INC NEW COM 872540109 9216 125000 SH Put DFND 125000 0 0 TRACON PHARMACEUTICALS INC COM 89237H100 916 308227 SH DFND 308227 0 0 VECTOR GROUP LTD COM 92240M108 234 11428 SH DFND 11428 0 0 VECTOR GROUP LTD FRNT 1/1 92240MAY4 690 467000 PRN DFND 467000 0 0 VERISIGN INC SDCV 3.250% 8/1 92343EAD4 83084 26624000 PRN DFND 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