-----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, WyurxeuE6Z+qAyNRpmJGe0C1pR/QBHq8pum8P1M+fuUABZ/2a6ElMO1aEQdM5akG U/90YzwzxAWuJXv6gdnMSw== 0001193125-11-035588.txt : 20110214 0001193125-11-035588.hdr.sgml : 20110214 20110214192237 ACCESSION NUMBER: 0001193125-11-035588 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110214 DATE AS OF CHANGE: 20110214 EFFECTIVENESS DATE: 20110214 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: 11611101 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 - HOLDINGS REPORT 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, 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 February 14, 2011 - ------------------------------ ---------------------- ---------------------- [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: 70 Form 13F Information Table Value Total: 1798122 (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 - ---------------------------------------------------------------------------------------------------------------------------------- AMAG PHARMACEUTICALS INC COM 00163U106 18104 1000196 SH DEFINED 1000196 0 0 ANACOR PHARMACEUTICALS INC COM 032420101 9129 2000000 SH DEFINED 2000000 0 0 ANADYS PHARMACEUTICALS INC COM 03252Q408 14552 11386445 SH DEFINED 11386445 0 0 ARCELORMITTAL SA LUXEMBOURG NOTE 5.000% 5/1 03938LAK0 22548 15500000 PRN DEFINED 15500000 0 0 ARMOUR RESIDENTIAL REIT INC *W EXP 11/07/201 042315119 0 1651796 SH DEFINED 1651796 0 0 ASBURY AUTOMOTIVE GROUP INC COM 043436104 50273 2863571 SH DEFINED 2863571 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 70136 1515464 SH DEFINED 1515464 0 0 AUTONATION INC COM 05329W102 38928 1380413 SH DEFINED 1380413 0 0 AVANIR PHARMACEUTICALS INC CL A NEW 05348P401 8302 2034780 SH DEFINED 2034780 0 0 BRF-BRASIL FOODS S A SPONSORED ADR 10552T107 4861 287982 SH DEFINED 287982 0 0 CITIGROUP INC COM 172967101 98674 20861340 SH DEFINED 20861340 0 0 CITIZENS REPUBLIC BANCORP IN COM 174420109 6195 10072732 SH DEFINED 10072732 0 0 CONOCOPHILLIPS COM 20825C104 29712 436300 SH DEFINED 436300 0 0 CYTOKINETICS INC COM 23282W100 6762 3405459 SH DEFINED 3405459 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 187 14861 SH DEFINED 14861 0 0 DORAL FINL CORP COM NEW 25811P886 181 59765 SH DEFINED 59765 0 0 DRYSHIPS INC. NOTE 5.000%12/0 262498AB4 28469 27500000 PRN DEFINED 27500000 0 0 DYAX CORP COM 26746E103 4237 1961376 SH DEFINED 1961376 0 0 DYNEGY INC DEL COM 26817G300 9961 1772505 SH DEFINED 1772505 0 0 E TRADE FINANCIAL CORP COM NEW 269246401 53426 3339128 SH DEFINED 3339128 0 0 ELLINGTON FINANCIAL LLC COM 288522303 7410 333168 SH DEFINED 333168 0 0 GASCO ENERGY INC COM 367220100 457 1306270 SH DEFINED 1306270 0 0 GENERAL MTRS CO JR PFD CNV SRB 37045V209 31103 575562 SH DEFINED 575562 0 0 GENZYME CORP COM 372917104 21645 304000 SH DEFINED 304000 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 23761 141300 SH CALL DEFINED 141300 0 0 HALOZYME THERAPEUTICS INC COM 40637H109 15335 2038174 SH DEFINED 2038174 0 0 HEARTWARE INTL INC NOTE 3.500%12/1 422368AA8 4422 4000000 PRN DEFINED 4000000 0 0 HUMAN GENOME SCIENCES INC NOTE 2.250%10/1 444903AK4 11490 7146000 PRN DEFINED 7146000 0 0 HUMAN GENOME SCIENCES INC COM 444903108 3873 162121 SH DEFINED 162121 0 0 ICAGEN INC COM NEW 45104P500 949 536108 SH DEFINED 536108 0 0 ILLUMINA INC NOTE 0.625% 2/1 452327AB5 63869 22000000 PRN DEFINED 22000000 0 0 INCYTE CORP NOTE 4.750%10/0 45337CAJ1 37588 18000000 PRN DEFINED 18000000 0 0 INFORMATICA CORP NOTE 3.000% 3/1 45666QAB8 13377 6052000 PRN DEFINED 6052000 0 0 INHIBITEX INC COM 45719T103 21513 9193753 SH DEFINED 9193753 0 0 INTERMUNE INC NOTE 5.000% 3/0 45884XAD5 3171 1500000 PRN DEFINED 1500000 0 0 INTERMUNE INC COM 45884X103 131234 3605332 SH DEFINED 3605332 0 0 ISHARES INC MSCI BRAZIL 464286400 1548 20000 SH PUT DEFINED 20000 0 0 ISHARES TR MSCI EMERG MKT 464287234 29062 610000 SH PUT DEFINED 610000 0 0 JPMORGAN CHASE & CO COM 46625H100 128913 3038969 SH DEFINED 3038969 0 0 MACROVISION CORP NOTE 2.625% 8/1 555904AB7 11094 5000000 PRN DEFINED 5000000 0 0 MBIA INC COM 55262C100 7638 637000 SH PUT DEFINED 637000 0 0 MEDIVATION INC COM 58501N101 69559 5094766 SH DEFINED 5094766 0 0 MOLECULAR INSIGHT PHARM INC COM 60852M104 58 364581 SH DEFINED 364581 0 0 OPTIMER PHARMACEUTICALS INC COM 68401H104 12575 1170367 SH DEFINED 1170367 0 0 PAPA JOHNS INTL INC COM 698813102 13850 500000 SH DEFINED 500000 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 24564 649150 SH DEFINED 649150 0 0 PETROLEO BRASILEIRO SA PETRO SP ADR NON VTG 71654V101 29002 848761 SH DEFINED 848761 0 0 PHARMASSET INC COM 71715N106 59306 1433134 SH DEFINED 1433134 0 0 PRIDE INTL INC DEL COM 74153Q102 3153 95541 SH DEFINED 95541 0 0 REGENERON PHARMACEUTICALS COM 75886F107 41261 1256807 SH DEFINED 1256807 0 0 ROWAN COS INC COM 779382100 24235 694226 SH DEFINED 694226 0 0 SEANERGY MARITIME HLDGS CORP *W EXP 09/24/201 Y73760111 0 498093 SH DEFINED 498093 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 2392 150000 SH PUT DEFINED 150000 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 121352 874800 SH DEFINED 874800 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 16360 130100 SH PUT DEFINED 130100 0 0 TD AMERITRADE HLDG CORP COM 87236Y108 39276 2068246 SH DEFINED 2068246 0 0 TENET HEALTHCARE CORP COM 88033G100 20070 3000000 SH DEFINED 3000000 0 0 THE9 LTD ADR 88337K104 9784 1479788 SH DEFINED 1479788 0 0 TOP SHIPS INC COM NEW Y8897Y305 2092 2132709 SH DEFINED 2132709 0 0 TPC GROUP INC COM 89236Y104 69730 2705145 SH DEFINED 2705145 0 0 TRANSOCEAN INC NOTE 1.500%12/1 893830AW9 66148 68300000 PRN DEFINED 68300000 0 0 TRANSOCEAN LTD REG SHS H8817H100 22769 327560 SH DEFINED 327560 0 0 TRINA SOLAR LIMITED SPON ADR 89628E104 10394 443812 SH DEFINED 443812 0 0 UNITED THERAPEUTICS CORP DEL NOTE 0.500%10/1 91307CAD4 33755 20000000 PRN DEFINED 20000000 0 0 VERENIUM CORP NOTE 9.000% 4/0 92340PAB6 7313 7584000 PRN DEFINED 7584000 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 17231 491900 SH PUT DEFINED 491900 0 0 WUHAN GENERAL GRP CHINA INC COM 982569105 167 738689 SH DEFINED 738689 0 0 XENOPORT INC COM 98411C100 16904 1984067 SH DEFINED 1984067 0 0 XOMA LTD SHS G9825R206 4828 941068 SH DEFINED 941068 0 0 ZIOPHARM ONCOLOGY INC COM 98973P101 15905 3592802 SH DEFINED 3592802 0 0
SUMMARY: Total Number of Securities is 70 Total Value in 1000s is 1798122 -----END PRIVACY-ENHANCED MESSAGE-----