-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, RsTJo6ZdswRdN0OtJ9xoHlVliey/yNP/TIx5Xir0EagzXILmpdN9ddNsj1VHmdkd 9Mz6p9aOIFjRwh9rBqdCPg== 0001193125-09-235036.txt : 20091116 0001193125-09-235036.hdr.sgml : 20091116 20091116091845 ACCESSION NUMBER: 0001193125-09-235036 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091116 DATE AS OF CHANGE: 20091116 EFFECTIVENESS DATE: 20091116 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: 091183944 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 d13fhr.txt FORM 13F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2009 Check here if Amendment [_]; Amendment Number: ______ This Amendment (Check only one.): [_] is a restatement. [_] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: QVT Financial LP Address: 1177 Avenue of the Americas, 9th Floor, New York, New York 10036 Form 13F File Number: 28-11172 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Tracy Fu Title: Managing Member of QVT Financial GP LLC (General Partner of QVT Financial LP) Phone: (212) 705-8888 Signature, Place, and Date of Signing: /s/ Tracy Fu New York, NY November 13, 2009 - ------------------------ ------------- ----------------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [_] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [_] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: NONE FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 118 Form 13F Information Table Value Total: 1755520 (thousands) List of Other Included Managers: NONE Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.]
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - -------------------- -------------- --------- -------- ---------------------------- ---------- -------- --------------------- AMOUNT AND TYPE OF SECURITY VOTING AUTHORITY ---------------------------- --------------------- VALUE SHR OR INVESTMENT OTHER NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT SH/PRN PUT/CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------------- -------------- --------- -------- --------- --------- -------- ---------- -------- --------- ------ ---- 2020 CHINACAP *W EXP ACQUIRCO INC 11/08/201 90212G117 358 280000 SH DEFINED 280000 0 0 3COM CORP COM 885535104 14418 2756851 SH DEFINED 2756851 0 0 ALLIANT TECHSYSTEMS NOTE 2.750% INC 2/1 018804AH7 48589 46110000 PRN DEFINED 46110000 0 0 ALLSTATE CORP COM 020002101 39402 1286791 SH DEFINED 1286791 0 0 AMAG PHARMACEUTICALS INC COM 00163U106 47288 1082601 SH DEFINED 1082601 0 0 ANADYS PHARMACEUTICALS INC COM 03252Q408 876 333136 SH DEFINED 333136 0 0 APOGENT TECHNOLOGIES INC DBCV 12/1 03760AAK7 48810 32924000 PRN DEFINED 32924000 0 0 ARCELORMITTAL SA NOTE 5.000% LUXEMBOURG 5/1 03938LAK0 15303 10500000 PRN DEFINED 10500000 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 45393 1155039 SH DEFINED 1155039 0 0 BANK OF AMERICA CORPORATION COM 060505104 85793 5070526 SH DEFINED 5070526 0 0 BANK OF AMERICA CORPORATION COM 060505104 16920 1000000 SH PUT DEFINED 1000000 0 0 BOISE INC *W EXP 06/18/201 09746Y113 288 471496 SH DEFINED 471496 0 0 BPW ACQUISITION CORP *W EXP 02/26/201 055637110 865 1880000 SH DEFINED 1880000 0 0 CAPITOL ACQUISITION *W EXP CORP DEL 11/08/201 14055E112 806 1300000 SH DEFINED 1300000 0 0 CEPHALON INC NOTE 2.500% 5/0 156708AR0 20703 19500000 PRN DEFINED 19500000 0 0 CHINA HLDGS ACQUISITION CORP COM 16942N106 538 55435 SH DEFINED 55435 0 0 CHINA HLDGS *W EXP ACQUISITION CORP 11/16/201 16942N114 227 650000 SH DEFINED 650000 0 0 CIT GROUP INC UNIT 99/99/9999 125581405 7194 765297 SH DEFINED 765297 0 0 CITIGROUP INC COM 172967101 52 10662 SH DEFINED 10662 0 0 CONOCOPHILLIPS COM 20825C104 9438 209000 SH DEFINED 209000 0 0 CUBIST PHARMACEUTICALS NOTE 2.250% INC 6/1 229678AC1 2844 3000000 PRN DEFINED 3000000 0 0 CYTOKINETICS INC COM 23282W100 12516 2365887 SH DEFINED 2365887 0 0 DANA HOLDING CORP COM 235825205 340 50000 SH DEFINED 50000 0 0 DDI CORP COM 0.0001 NEW 233162502 5105 1201225 SH DEFINED 1201225 0 0 DIAMOND OFFSHORE DRILLING IN COM 25271C102 5378 56300 SH DEFINED 56300 0 0 DIANA SHIPPING INC COM Y2066G104 1736 133519 SH DEFINED 133519 0 0 DYAX CORP COM 26746E103 6900 1922060 SH DEFINED 1922060 0 0 EAGLE BULK SHIPPING INC COM Y2187A101 2211 431000 SH DEFINED 431000 0 0 EMPIRE RESORTS INC NOTE 8.000% 7/3 292052AB3 3517 6231000 PRN DEFINED 6231000 0 0 ENTERPRISE *W EXP ACQUISITION CORP 11/07/201 29365R116 563 2167200 SH DEFINED 2167200 0 0 EQUINIX INC NOTE 3.000%10/1 29444UAG1 6789 6365000 PRN DEFINED 6365000 0 0 FBR CAPITAL MARKETS CORP COM 30247C301 2164 364864 SH DEFINED 364864 0 0 FLAGSTONE REINSURANCE HLDGS SHS G3529T105 19804 1950744 SH DEFINED 1950744 0 0 GHL ACQUISITION CORP *W EXP 02/14/201 36172H116 240 51100 SH DEFINED 51100 0 0 GLOBAL BRANDS ACQUISITION CO COM 378982102 8085 817467 SH DEFINED 817467 0 0 GLOBAL BRANDS *W EXP ACQUISITION CO 12/06/201 378982110 300 1500000 SH DEFINED 1500000 0 0 GLOBAL CONSUMER *W EXP ACQST CORP 11/27/201 378983118 1326 1816500 SH DEFINED 1816500 0 0 GLOBAL SHIP LEASE *W EXP INC NEW 08/24/201 Y27183113 10 191600 SH DEFINED 191600 0 0 GOLDEN POND HEALTHCARE INC COM 38116J109 8824 1122655 SH DEFINED 1122655 0 0 GOLDEN POND *W EXP HEALTHCARE INC 11/06/201 38116J117 90 950000 SH DEFINED 950000 0 0 HALOZYME THERAPEUTICS INC COM 40637H109 28012 3939844 SH DEFINED 3939844 0 0 HECKMANN CORP *W EXP 11/09/201 422680116 1298 2317500 SH DEFINED 2317500 0 0 HIGHLANDS *W EXP ACQUISITION CORP 10/03/201 430880112 0 62900 SH DEFINED 62900 0 0 HUMAN GENOME NOTE SCIENCES INC 2.250%10/1 444903AK4 17723 12646000 PRN DEFINED 12646000 0 0 ICAGEN INC COM 45104P104 5774 5716704 SH DEFINED 5716704 0 0 ILLUMINA INC NOTE 0.625% 2/1 452327AB5 39458 20000000 PRN DEFINED 20000000 0 0 INTER ATLANTIC FINANCIAL INC COM 45890H100 4062 517472 SH DEFINED 517472 0 0 INTER ATLANTIC *W EXP FINANCIAL INC 10/02/201 45890H118 118 513300 SH DEFINED 513300 0 0 INTERMUNE INC COM 45884X103 14686 921879 SH DEFINED 921879 0 0 INVITROGEN CORP NOTE 2.000% 8/0 46185RAJ9 7753 5533000 PRN DEFINED 5533000 0 0 LIBERTY ACQUISITION HLDGS CO COM 53015Y107 27273 2870886 SH DEFINED 2870886 0 0 LIBERTY ACQUISITION *W EXP HLDGS CO 12/12/201 53015Y115 967 1585371 SH DEFINED 1585371 0 0 MEDIVATION INC COM 58501N101 105062 4074842 SH DEFINED 4074842 0 0 MELCO CROWN ENTMT LTD ADR 585464100 3021 434000 SH DEFINED 434000 0 0 MERGE HEALTHCARE INC COM 589499102 142 34478 SH DEFINED 34478 0 0
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - -------------------- -------------- --------- -------- ---------------------------- ---------- -------- --------------------- AMOUNT AND TYPE OF SECURITY VOTING AUTHORITY ---------------------------- --------------------- VALUE SHR OR INVESTMENT OTHER NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT SH/PRN PUT/CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------------- -------------- --------- -------- --------- --------- -------- ---------- -------- --------- ------ ---- MERIX CORP NOTE 4.000% 5/1 590049AB8 1708 2605000 PRN DEFINED 2605000 0 0 METABASIS THERAPEUTICS INC COM 59101M105 167 389319 SH DEFINED 389319 0 0 MICROSOFT CORP COM 594918104 29469 1145750 SH DEFINED 1145750 0 0 MOLECULAR INSIGHT PHARM INC COM 60852M104 2016 364581 SH DEFINED 364581 0 0 MORGAN STANLEY COM NEW 617446448 13809 447170 SH DEFINED 447170 0 0 NAVIOS MARITIME ACQUIS CORP SHS Y62159101 12394 1295140 SH DEFINED 1295140 0 0 NAVIOS MARITIME *W EXP ACQUIS CORP 06/25/201 Y62159119 1039 1550900 SH DEFINED 1550900 0 0 NAVIOS MARITIME HOLDINGS INC COM Y62196103 3069 625073 SH DEFINED 625073 0 0 NRDC ACQUISITION *W EXP CORP 10/17/201 62941R110 1985 1965000 SH DEFINED 1965000 0 0 OMNICOM GROUP INC NOTE 7/3 681919AV8 43479 44500000 PRN DEFINED 44500000 0 0 OVERTURE ACQUISITION CORP SHS G6830P100 5491 554650 SH DEFINED 554650 0 0 PG&E CORP NOTE 9.500% 6/3 69331CAD0 142710 52298000 PRN DEFINED 52298000 0 0 PHARMASSET INC COM 71715N106 52092 2737913 SH DEFINED 2737913 0 0 POPULAR INC COM 733174106 7076 2500400 SH DEFINED 2500400 0 0 PRIDE INTL INC DEL COM 74153Q102 16573 544451 SH DEFINED 544451 0 0 PROSPECT *W EXP ACQUISITION CORP 11/14/201 74347T111 1505 2508400 SH DEFINED 2508400 0 0 PROSPECT ACQUISITION CORP COM 74347T103 5061 511248 SH DEFINED 511248 0 0 RAMBUS INC DEL NOTE 5.000% 6/1 750917AC0 4912 4000000 PRN DEFINED 4000000 0 0 REGENERON PHARMACEUTICALS COM 75886F107 31281 1620775 SH DEFINED 1620775 0 0 SANTA MONICA MEDIA *W EXP CORP 03/27/201 802501114 0 466784 SH DEFINED 466784 0 0 SANTA MONICA MEDIA CORP COM 802501106 0 1147951 SH DEFINED 1147951 0 0 SAPPHIRE INDUSTRIALS CORP COM 80306T109 78585 7921875 SH DEFINED 7921875 0 0 SAPPHIRE *W EXP INDUSTRIALS CORP 01/17/201 80306T117 1384 3075000 SH DEFINED 3075000 0 0 SEANERGY MARITIME *W EXP HLDGS CORP 09/24/201 Y73760111 118 656360 SH DEFINED 656360 0 0 SECURE AMER ACQUISITION CORP COM 81372L103 6363 806417 SH DEFINED 806417 0 0 SECURE AMER *W EXP ACQUISITION CORP 10/23/201 81372L111 122 812000 SH DEFINED 812000 0 0 SEPRACOR INC NOTE 12/1 817315AU8 5940 6000000 PRN DEFINED 6000000 0 0 SINA CORP ORD G81477104 11472 302200 SH DEFINED 302200 0 0 SMITHFIELD FOODS INC NOTE 4.000% 6/3 832248AR9 28623 30500000 PRN DEFINED 30500000 0 0 SOTHEBYS NOTE 3.125% 6/1 835898AC1 4376 5000000 PRN DEFINED 5000000 0 0 SP ACQUISITION *W EXP HOLDINGS INC 10/10/201 78470A112 112 1250000 SH DEFINED 1250000 0 0 SP ACQUISITION HOLDINGS INC COM 78470A104 43297 4472850 SH DEFINED 4472850 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 23193 234630 SH DEFINED 234630 0 0 SPDR TR UNIT SER 1 78462F103 3569 33800 SH PUT DEFINED 33800 0 0 SPORTS PPTYS ACQUISITION COR COM 84920F107 7862 798600 SH DEFINED 798600 0 0 SPORTS PPTYS *W EXP ACQUISITION COR 01/17/201 84920F115 28 157500 SH DEFINED 157500 0 0 SPREADTRUM COMMUNICATIONS IN ADR 849415203 2827 618693 SH DEFINED 618693 0 0 STREAM GLOBAL SVCS *W EXP INC 10/17/201 86323M118 160 641200 SH DEFINED 641200 0 0 TAKE-TWO INTERACTIVE NOTE 4.375% SOFTWAR 6/0 874054AA7 6399 5000000 PRN DEFINED 5000000 0 0 TEEKAY CORPORATION COM Y8564W103 8923 408000 SH DEFINED 408000 0 0 TERREMARK WORLDWIDE NOTE 6.625% INC 6/1 881448AF1 20649 23160000 PRN DEFINED 23160000 0 0 THE9 LTD ADR 88337K104 9421 1215588 SH DEFINED 1215588 0 0 TM ENTMT & MEDIA INC *W EXP 10/17/201 87260T116 174 600000 SH DEFINED 600000 0 0 TM ENTMT & MEDIA INC COM 87260T108 7931 1014200 SH DEFINED 1014200 0 0 TOP SHIPS INC COM NEW Y8897Y305 3300 2682774 SH DEFINED 2682774 0 0 TRANSOCEAN INC NOTE 1.500%12/1 893830AV1 26347 27000000 PRN DEFINED 27000000 0 0 TRANSOCEAN INC NOTE 1.500%12/1 893830AW9 127915 133300000 PRN DEFINED 133300000 0 0 TRANSOCEAN LTD REG SHS H8817H100 2617 30600 SH DEFINED 30600 0 0 TREMISIS ENERGY ACQ CORP II COM 89472N101 2330 297138 SH DEFINED 297138 0 0 TREMISIS ENERGY ACQ *W EXP CORP II 12/05/201 89472N119 50 250000 SH DEFINED 250000 0 0 TRIAN ACQUISITION I CORP COM 89582E108 24643 2532700 SH DEFINED 2532700 0 0 TRIAN ACQUISITION I *W EXP CORP 01/23/201 89582E116 1350 3000000 SH DEFINED 3000000 0 0 TRIPLECROWN ACQUISITION CORP COM 89677G109 59527 6136808 SH DEFINED 6136808 0 0 TRIPLECROWN *W EXP ACQUISITION CORP 10/22/201 89677G117 452 5016900 SH DEFINED 5016900 0 0 UNITED REFINING ENERGY CORP COM 911360105 30797 3095178 SH DEFINED 3095178 0 0 UNITED REFINING *W EXP ENERGY CORP 12/11/201 911360113 1200 4000000 SH DEFINED 4000000 0 0 UNITED STATES STL NOTE 4.000% CORP NEW 5/1 912909AE8 8039 5000000 PRN DEFINED 5000000 0 0 VANTAGE DRILLING *W EXP COMPANY 05/24/201 G93205121 36 226450 SH DEFINED 226450 0 0 VERTEX PHARMACEUTICALS NOTE 4.750% INC 2/1 92532FAM2 15008 9000000 PRN DEFINED 9000000 0 0 WELLS FARGO & CO NEW COM 949746101 33821 1200187 SH DEFINED 1200187 0 0 WUHAN GENERAL GRP CHINA INC COM 982569105 818 622824 SH DEFINED 622824 0 0 XENOPORT INC COM 98411C100 14360 676405 SH DEFINED 676405 0 0 XOMA LTD ORD G9825R107 8194 10116033 SH DEFINED 10116033 0 0 SUMMARY: Total Number of Securities is 118 Total Value in 1000s is 1755520
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