-----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, SNDYGZBWDS61nyAVuT7cEIY7c0ptD3EchEsBS0xowC8cGyK1YHZjcLMvJI+LT5SD qbH/SEx9hc3vZsqp/GBUCw== 0001193125-10-032352.txt : 20100216 0001193125-10-032352.hdr.sgml : 20100215 20100216163415 ACCESSION NUMBER: 0001193125-10-032352 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100216 DATE AS OF CHANGE: 20100216 EFFECTIVENESS DATE: 20100216 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: 10608576 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: December 31, 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 February 16, 2010 - -------------------------- ------------------------- ------------------------- [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: 95 Form 13F Information Table Value Total: 1843269 (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 ------------------------- --------------------- NAME OF TITLE OF VALUE SHR OR INVESTMENT OTHER ISSUER CLASS CUSIP (x$1000) PRN AMT SH/PRN PUT/CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ ALLSTATE CORP COM 020002101 34947 1163340 SH DEFINED 1163340 0 0 AMAG PHARMACEUTICALS INC COM 00163U106 37665 990401 SH DEFINED 990401 0 0 AMERICAN MED SYS HLDGS INC NOTE 4.000% 9/1 02744MAB4 8457 6889000 PRN DEFINED 6889000 0 0 ANADYS PHARMACEUTICALS INC COM 03252Q408 83 39121 SH DEFINED 39121 0 0 APOGENT TECHNOLOGIES INC DBCV 12/1 03760AAK7 53180 32924000 PRN DEFINED 32924000 0 0 ARCELORMITTAL SA LUXEMBOURG NOTE 5.000% 5/1 03938LAK0 17579 10500000 PRN DEFINED 10500000 0 0 ARMOUR RESIDENTIAL REIT INC *W EXP 11/07/201 042315119 411 2053546 SH DEFINED 2053546 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 67914 1586039 SH DEFINED 1586039 0 0 AUTONATION INC COM 05329W102 21258 1110087 SH DEFINED 1110087 0 0 BANK OF AMERICA CORPORATION UNIT 99/99/9999 060505419 35959 2410100 SH DEFINED 2410100 0 0 BANK OF AMERICA CORPORATION COM 060505104 68786 4567462 SH DEFINED 4567462 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 97315 981 SH DEFINED 981 0 0 BPW ACQUISITION CORP *W EXP 02/26/201 055637110 1612 1791513 SH DEFINED 1791513 0 0 CEPHALON INC NOTE 2.500% 5/0 156708AR0 21823 19500000 PRN DEFINED 19500000 0 0 CHINA HLDGS ACQUISITION CORP *W EXP 11/16/201 16942N114 744 594877 SH DEFINED 594877 0 0 CIT GROUP INC COM NEW 125581801 5851 211923 SH DEFINED 211923 0 0 CITIGROUP INC COM 172967101 21763 6575000 SH DEFINED 6575000 0 0 CLAYMORE DIVID & INCOME FD COM 18385J105 3584 229009 SH DEFINED 229009 0 0 CONOCOPHILLIPS COM 20825C104 10674 209000 SH DEFINED 209000 0 0 CYTOKINETICS INC COM 23282W100 6957 2390887 SH DEFINED 2390887 0 0 DDI CORP COM 0.0001 NEW 233162502 4634 1184562 SH DEFINED 1184562 0 0 DRYSHIPS INC. NOTE 5.000%12/0 262498AB4 10277 10000000 PRN DEFINED 10000000 0 0 DYAX CORP COM 26746E103 5697 1680456 SH DEFINED 1680456 0 0 EAGLE BULK SHIPPING INC COM Y2187A101 2133 431000 SH DEFINED 431000 0 0 EMPIRE RESORTS INC NOTE 8.000% 7/3 292052AB3 4889 6231000 PRN DEFINED 6231000 0 0 EXCEED COMPANY LTD *W EXP 11/08/201 G32335112 782 256255 SH DEFINED 256255 0 0 FBR CAPITAL MARKETS CORP COM 30247C301 5929 959312 SH DEFINED 959312 0 0 FLAGSTONE REINSURANCE HLDGS SHS G3529T105 11650 1120952 SH DEFINED 1120952 0 0 GLOBAL SHIP LEASE INC NEW *W EXP 08/24/201 Y27183113 5 174764 SH DEFINED 174764 0 0 HALOZYME THERAPEUTICS INC COM 40637H109 26531 4519844 SH DEFINED 4519844 0 0 HECKMANN CORP *W EXP 11/09/201 422680116 1909 2120970 SH DEFINED 2120970 0 0 HUMAN GENOME SCIENCES INC NOTE 2.250%10/1 444903AK4 25763 12646000 PRN DEFINED 12646000 0 0 ICAGEN INC COM 45104P104 2235 4944385 SH DEFINED 4944385 0 0 ILLUMINA INC NOTE 0.625% 2/1 452327AB5 29397 20000000 PRN DEFINED 20000000 0 0 INHIBITEX INC COM 45719T103 8458 9193753 SH DEFINED 9193753 0 0 INTERMUNE INC COM 45884X103 14610 1120379 SH DEFINED 1120379 0 0
Page 1 INVITROGEN CORP NOTE 2.000% 8/0 46185RAJ9 8597 5533000 PRN DEFINED 5533000 0 0 IRIDIUM COMMUNICATIONS INC *W EXP 02/14/201 46269C110 131 46953 SH DEFINED 46953 0 0 JEFFERIES GROUP INC NEW DBCV 3.875%11/0 472319AG7 4002 4000000 PRN DEFINED 4000000 0 0 JPMORGAN CHASE & CO COM 46625H100 14793 355000 SH DEFINED 355000 0 0 KNIGHTSBRIDGE TANKERS LTD ORD G5299G106 2130 160628 SH DEFINED 160628 0 0 LEAR CORP COM NEW 521865204 5052 74694 SH DEFINED 74694 0 0 LIBERTY ACQUISITION HLDGS CO *W EXP 12/12/201 53015Y115 1045 1514026 SH DEFINED 1514026 0 0 LIBERTY ACQUISITION HLDGS CO COM 53015Y107 26930 2784856 SH DEFINED 2784856 0 0 MEDIVATION INC COM 58501N101 134173 3751251 SH DEFINED 3751251 0 0 MERGE HEALTHCARE INC COM 589499102 92 27273 SH DEFINED 27273 0 0 MERIX CORP NOTE 4.000% 5/1 590049AB8 1812 2605000 PRN DEFINED 2605000 0 0 METABASIS THERAPEUTICS INC COM 59101M105 150 389319 SH DEFINED 389319 0 0 MOLECULAR INSIGHT PHARM INC COM 60852M104 820 364581 SH DEFINED 364581 0 0 NAVIOS MARITIME ACQUIS CORP SHS Y62159101 11847 1205191 SH DEFINED 1205191 0 0 NAVIOS MARITIME ACQUIS CORP *W EXP 06/25/201 Y62159119 797 1328951 SH DEFINED 1328951 0 0 NAVIOS MARITIME HOLDINGS INC COM Y62196103 3782 625073 SH DEFINED 625073 0 0 OMNICOM GROUP INC NOTE 7/3 681919AV8 43982 44500000 PRN DEFINED 44500000 0 0 OVERTURE ACQUISITION CORP SHS G6830P100 5120 512044 SH DEFINED 512044 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 9536 200000 SH DEFINED 200000 0 0 PG&E CORP NOTE 9.500% 6/3 69331CAD0 155771 52298000 PRN DEFINED 52298000 0 0 PHARMASSET INC COM 71715N106 42280 2269473 SH DEFINED 2269473 0 0 PRIDE INTL INC DEL COM 74153Q102 17373 544451 SH DEFINED 544451 0 0 RAMBUS INC DEL NOTE 5.000% 6/1 750917AC0 6028 4000000 PRN DEFINED 4000000 0 0 REGENERON PHARMACEUTICALS COM 75886F107 39167 1619807 SH DEFINED 1619807 0 0 REGIONS FINANCIAL CORP NEW COM 7591EP100 26037 4922000 SH DEFINED 4922000 0 0 RESOLUTE ENERGY CORP *W EXP 09/25/201 76116A116 1378 606931 SH DEFINED 606931 0 0 RETAIL OPPORTUNITY INVTS COR *W EXP 10/23/201 76131N119 2050 1782201 SH DEFINED 1782201 0 0 SAPPHIRE INDUSTRIALS CORP *W EXP 01/17/201 80306T117 344 2868823 SH DEFINED 2868823 0 0 SAPPHIRE INDUSTRIALS CORP COM 80306T109 73179 7288750 SH DEFINED 7288750 0 0 SEANERGY MARITIME HLDGS CORP *W EXP 09/24/201 Y73760111 96 598093 SH DEFINED 598093 0 0 SHANDA INTERACTIVE ENTMT LTD NOTE 2.000% 9/1 81941QAD6 14201 9286000 PRN DEFINED 9286000 0 0 SMITHFIELD FOODS INC NOTE 4.000% 6/3 832248AR9 25183 25500000 PRN DEFINED 25500000 0 0 SOTHEBYS NOTE 3.125% 6/1 835898AC1 4868 5000000 PRN DEFINED 5000000 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 92490 861900 SH DEFINED 861900 0 0 SPDR TR UNIT SER 1 78462F103 7667 68800 SH PUT DEFINED 68800 0 0 SPORTS PPTYS ACQUISITION COR COM 84920F107 7295 735250 SH DEFINED 735250 0 0 SPORTS PPTYS ACQUISITION COR *W EXP 01/17/201 84920F115 34 145908 SH DEFINED 145908 0 0 STREAM GLOBAL SVCS INC *W EXP 10/17/201 86323M118 301 584877 SH DEFINED 584877 0 0 TAKE-TWO INTERACTIVE SOFTWAR NOTE 4.375% 6/0 874054AA7 5907 5000000 PRN DEFINED 5000000 0 0 TD AMERITRADE HLDG CORP COM 87236Y108 18692 964500 SH DEFINED 964500 0 0 TEEKAY CORPORATION COM Y8564W103 9470 408000 SH DEFINED 408000 0 0 THE9 LTD ADR 88337K104 9003 1246888 SH DEFINED 1246888 0 0 TOP SHIPS INC COM NEW Y8897Y305 2154 2132709 SH DEFINED 2132709 0 0 TRANSOCEAN INC NOTE 1.500%12/1 893830AW9 119224 123300000 PRN DEFINED 123300000 0 0 TRANSOCEAN INC NOTE 1.500%12/1 893830AV1 36003 37000000 PRN DEFINED 37000000 0 0 TRIAN ACQUISITION I CORP COM 89582E108 23115 2349114 SH DEFINED 2349114 0 0 TRIAN ACQUISITION I CORP *W EXP 01/23/201 89582E116 0 2764884 SH DEFINED 2764884 0 0 TWO HBRS INVT CORP *W EXP 07/13/201 90187B119 512 1189755 SH DEFINED 1189755 0 0
Page 2 ULTIMATE ESCAPES INC *W EXP 10/23/201 90385N113 90 745961 SH DEFINED 745961 0 0 UNITED STATES STL CORP NEW NOTE 4.000% 5/1 912909AE8 9402 5000000 PRN DEFINED 5000000 0 0 VANTAGE DRILLING COMPANY *W EXP 05/24/201 G93205121 20 200096 SH DEFINED 200096 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 21078 491900 SH PUT DEFINED 491900 0 0 VISA INC COM CL A 92826C839 33104 378500 SH DEFINED 378500 0 0 WELLS FARGO & CO NEW COM 949746101 40458 1498986 SH DEFINED 1498986 0 0 WESTERN LIBERTY BANCORP *W EXP 11/27/201 961443116 812 1354115 SH DEFINED 1354115 0 0 WUHAN GENERAL GRP CHINA INC COM 982569105 783 622824 SH DEFINED 622824 0 0 XENOPORT INC COM 98411C100 34640 1867374 SH DEFINED 1867374 0 0 XOMA LTD ORD G9825R107 7069 10116033 SH DEFINED 10116033 0 0 ZIOPHARM ONCOLOGY INC COM 98973P101 9739 3871000 SH DEFINED 3871000 0 0
SUMMARY: Total Number of Securities is 95 Total Value in 1000s is 1843269 Page 3 -----END PRIVACY-ENHANCED MESSAGE-----