-----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, IyftBR8vi4TELpadk8jqhZREaggz/1546dPTWJ0XAbMBy72eMtIkGF1HJKSFUqEH ys+2zrllXkOtpF64psf9YQ== 0001193125-10-122313.txt : 20100517 0001193125-10-122313.hdr.sgml : 20100517 20100517170750 ACCESSION NUMBER: 0001193125-10-122313 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100517 DATE AS OF CHANGE: 20100517 EFFECTIVENESS DATE: 20100517 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: 10839800 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: March 31, 2010 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 May 17, 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: 87 Form 13F Information Table Value Total: 2079516 (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 - ------------------------------------------------------------------------------------------------------------------------------------ AKAMAI TECHNOLOGIES INC NOTE 1.000%12/1 00971TAE1 17696 8679000 PRN DEFINED 8679000 0 0 ALLSTATE CORP COM 020002101 19741 611000 SH DEFINED 611000 0 0 ALLSTATE CORP COM 020002101 6462 200000 SH CALL DEFINED 200000 0 0 AMAG PHARMACEUTICALS INC COM 00163U106 44165 1265103 SH DEFINED 1265103 0 0 AMERICAN MED SYS HLDGS INC NOTE 4.000% 9/1 02744MAB4 5165 4389000 PRN DEFINED 4389000 0 0 AMERIGROUP CORP COM 03073T102 2021 60800 SH CALL DEFINED 60800 0 0 ANADYS PHARMACEUTICALS INC COM 03252Q408 7650 3023560 SH DEFINED 3023560 0 0 APOGENT TECHNOLOGIES INC DBCV 12/1 03760AAK7 57359 32924000 PRN DEFINED 32924000 0 0 ARCELORMITTAL SA LUXEMBOURG NOTE 5.000% 5/1 03938LAK0 16969 10500000 PRN DEFINED 10500000 0 0 ASBURY AUTOMOTIVE GROUP INC COM 043436104 12097 909525 SH DEFINED 909525 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 95151 2139666 SH DEFINED 2139666 0 0 AUTONATION INC COM 05329W102 77271 4273846 SH DEFINED 4273846 0 0 BANK OF AMERICA CORPORATION COM 060505104 110659 6199389 SH DEFINED 6199389 0 0 CEPHALON INC NOTE 2.000% 6/0 156708AP4 9051 6000000 PRN DEFINED 6000000 0 0 CEPHALON INC NOTE 2.500% 5/0 156708AR0 16903 14500000 PRN DEFINED 14500000 0 0 CHUBB CORP COM 171232101 45265 873000 SH CALL DEFINED 873000 0 0 CITIGROUP INC COM 172967101 26389 6515700 SH DEFINED 6515700 0 0 CITIZENS REPUBLIC BANCORP IN COM 174420109 7554 6626520 SH DEFINED 6626520 0 0 CONOCOPHILLIPS COM 20825C104 25892 506000 SH DEFINED 506000 0 0 CYTOKINETICS INC COM 23282W100 8939 2793387 SH DEFINED 2793387 0 0 DDI CORP COM 0.0001 NEW 233162502 3373 743683 SH DEFINED 743683 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 1093 74889 SH DEFINED 74889 0 0
Page 1 DRYSHIPS INC. NOTE 5.000%12/0 262498AB4 15651 15000000 PRN DEFINED 15000000 0 0 DYAX CORP COM 26746E103 4366 1280456 SH DEFINED 1280456 0 0 EAGLE BULK SHIPPING INC COM Y2187A101 2289 431000 SH DEFINED 431000 0 0 EMPIRE RESORTS INC NOTE 8.000% 7/3 292052AB3 3570 6231000 PRN DEFINED 6231000 0 0 ENSCO INTL PLC SPONSORED ADR 29358Q109 4971 111000 SH DEFINED 111000 0 0 ESSEX RENT CORP *W EXP 03/04/201 297187114 205 117108 SH DEFINED 117108 0 0 EXCEED COMPANY LTD *W EXP 11/08/201 G32335112 1022 223055 SH DEFINED 223055 0 0 FBR CAPITAL MARKETS CORP COM 30247C301 2019 442712 SH DEFINED 442712 0 0 FIRST SOLAR INC COM 336433107 28823 235000 SH DEFINED 235000 0 0 FLAGSTONE REINSURANCE HLDGS SHS G3529T105 7076 649931 SH DEFINED 649931 0 0 HALOZYME THERAPEUTICS INC COM 40637H109 25453 3185644 SH DEFINED 3185644 0 0 HUMAN GENOME SCIENCES INC NOTE 2.250% 8/1 444903AM0 13522 7500000 PRN DEFINED 7500000 0 0 HUMAN GENOME SCIENCES INC NOTE 2.250%10/1 444903AK4 30491 15146000 PRN DEFINED 15146000 0 0 ICAGEN INC COM 45104P104 3088 4288882 SH DEFINED 4288882 0 0 ILLUMINA INC NOTE 0.625% 2/1 452327AB5 36201 20000000 PRN DEFINED 20000000 0 0 INHIBITEX INC COM 45719T103 13883 9193753 SH DEFINED 9193753 0 0 INTERMUNE INC NOTE 5.000% 3/0 45884XAD5 3706 1500000 PRN DEFINED 1500000 0 0 INTERMUNE INC COM 45884X103 33041 741339 SH DEFINED 741339 0 0 INVITROGEN CORP NOTE 2.000% 8/0 46185RAJ9 8518 5533000 PRN DEFINED 5533000 0 0 ISHARES SILVER TRUST ISHARES 46428Q109 285 16600 SH DEFINED 16600 0 0 ISHARES TR INDEX RUSSELL 2000 464287655 2021 29814 SH DEFINED 29814 0 0 ISHARES TR INDEX MSCI EMERG MKT 464287234 8424 200000 SH PUT DEFINED 200000 0 0 JPMORGAN CHASE & CO COM 46625H100 126732 2831999 SH DEFINED 2831999 0 0 KNIGHTSBRIDGE TANKERS LTD ORD G5299G106 8362 493628 SH DEFINED 493628 0 0 MASTERCARD INC CL A 57636Q104 67551 265948 SH DEFINED 265948 0 0 MEDIVATION INC COM 58501N101 42366 4251251 SH DEFINED 4251251 0 0 MOLECULAR INSIGHT PHARM INC COM 60852M104 478 364581 SH DEFINED 364581 0 0 MOODYS CORP COM 615369105 2112 71000 SH PUT DEFINED 71000 0 0 NAVIOS MARITIME ACQUIS CORP SHS Y62159101 11895 1205191 SH DEFINED 1205191 0 0 NAVIOS MARITIME HOLDINGS INC COM Y62196103 4150 625073 SH DEFINED 625073 0 0 NORTHWEST AIRLS CORP NOTE 7.625%11/1 66799ADQ3 0 12000000 PRN DEFINED 12000000 0 0 OPTIMER PHARMACEUTICALS INC COM 68401H104 7368 600000 SH DEFINED 600000 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 30694 689750 SH DEFINED 689750 0 0
Page 2 PG&E CORP NOTE 9.500% 6/3 69331CAD0 149159 52298000 PRN DEFINED 52298000 0 0 PHARMASSET INC COM 71715N106 45181 1873162 SH DEFINED 1873162 0 0 POPULAR INC COM 733174106 20701 7113600 SH DEFINED 7113600 0 0 PRIDE INTL INC DEL COM 74153Q102 20910 694451 SH DEFINED 694451 0 0 REGENERON PHARMACEUTICALS COM 75886F107 39452 1489307 SH DEFINED 1489307 0 0 RESOLUTE ENERGY CORP *W EXP 09/25/201 76116A116 1009 406931 SH DEFINED 406931 0 0 RETAIL OPPORTUNITY INVTS COR *W EXP 10/23/201 76131N119 1836 1782201 SH DEFINED 1782201 0 0 SEANERGY MARITIME HLDGS CORP *W EXP 09/24/201 Y73760111 63 598093 SH DEFINED 598093 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 128399 8050100 SH PUT DEFINED 8050100 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 95656 877980 SH DEFINED 877980 0 0 SPDR S&P 500 ETF TR UNIT SER 1 S&P 78462F103 11805 100900 SH PUT DEFINED 100900 0 0 STREAM GLOBAL SVCS INC *W EXP 10/17/201 86323M118 374 584877 SH DEFINED 584877 0 0 TAKE-TWO INTERACTIVE SOFTWAR NOTE 4.375% 6/0 874054AA7 5884 5000000 PRN DEFINED 5000000 0 0 TD AMERITRADE HLDG CORP COM 87236Y108 30778 1614778 SH DEFINED 1614778 0 0 TEEKAY CORPORATION COM Y8564W103 9278 408000 SH DEFINED 408000 0 0 THE9 LTD ADR 88337K104 9883 1479788 SH DEFINED 1479788 0 0 TOP SHIPS INC COM NEW Y8897Y305 2346 2132709 SH DEFINED 2132709 0 0 TRANSOCEAN INC NOTE 1.500%12/1 893830AW9 118723 123300000 PRN DEFINED 123300000 0 0 TWO HBRS INVT CORP *W EXP 07/13/201 90187B119 172 613755 SH DEFINED 613755 0 0 UNITED STATES STL CORP NEW NOTE 4.000% 5/1 912909AE8 10572 5000000 PRN DEFINED 5000000 0 0 UNITED THERAPEUTICS CORP DEL NOTE 0.500%10/1 91307CAD4 29958 20000000 PRN DEFINED 20000000 0 0 VERENIUM CORP NOTE 9.000% 4/0 92340PAB6 5123 7584000 PRN DEFINED 7584000 0 0 VERENIUM CORP COM NEW 92340P209 364 71930 SH DEFINED 71930 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 20104 491900 SH PUT DEFINED 491900 0 0 VIASYSTEMS GROUP INC COM PAR$.01 92553H803 1403 64584 SH DEFINED 64584 0 0 VISA INC COM CL A 92826C839 7078 77750 SH DEFINED 77750 0 0 WELLS FARGO & CO NEW COM 949746101 99759 3205619 SH DEFINED 3205619 0 0 WESTWAY GROUP INC *W EXP 99/99/999 96169B118 103 448171 SH DEFINED 448171 0 0 WUHAN GENERAL GRP CHINA INC COM 982569105 459 880491 SH DEFINED 880491 0 0 XENOPORT INC COM 98411C100 23535 2541574 SH DEFINED 2541574 0 0 XOMA LTD ORD G9825R107 8062 14116033 SH DEFINED 14116033 0 0 ZIOPHARM ONCOLOGY INC COM 98973P101 14189 3286000 SH DEFINED 3286000 0 0 SUMMARY: Total Number of Securities is 87 Total Value in 1000s is 2079516
Page 3 -----END PRIVACY-ENHANCED MESSAGE-----