0001193125-12-061015.txt : 20120214
0001193125-12-061015.hdr.sgml : 20120214
20120214163659
ACCESSION NUMBER: 0001193125-12-061015
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111231
FILED AS OF DATE: 20120214
DATE AS OF CHANGE: 20120214
EFFECTIVENESS DATE: 20120214
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: 12610763
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
d300628d13fhr.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, 2011
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, 2012
------------------------------ ---------------------- ----------------------
[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: 60
Form 13F Information Table Value Total: 1239046
(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
---------------------------- ---------------- --------- -------- -------- ------ -------- ---------- -------- -------- ------ ----
AIR LEASE CORP CL A 00912X302 16957 715174 SH DEFINED 715174 0 0
ANACOR PHARMACEUTICALS INC COM 032420101 9466 1796183 SH DEFINED 1796183 0 0
ARENA PHARMACEUTICALS INC COM 040047102 8415 4500000 SH DEFINED 4500000 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 58956 2878437 SH DEFINED 2878437 0 0
AVANIR PHARMACEUTICALS INC CL A NEW 05348P401 306 149500 SH DEFINED 149500 0 0
BANK OF AMERICA CORPORATION COM 060505104 21120 3798494 SH DEFINED 3798494 0 0
BRF-BRASIL FOODS S A SPONSORED ADR 10552T107 24085 1231982 SH DEFINED 1231982 0 0
CAPITAL ONE FINL CORP COM 14040H105 10696 252912 SH DEFINED 252912 0 0
CARMAX INC COM 143130102 6096 200000 SH DEFINED 200000 0 0
CHINA ZENIX AUTO INTL LTD ADS 16951E104 7445 2721200 SH DEFINED 2721200 0 0
CITIGROUP INC COM NEW 172967424 47703 1813110 SH DEFINED 1813110 0 0
CYTOKINETICS INC COM 23282W100 4560 5000000 SH DEFINED 5000000 0 0
DRYSHIPS INC. NOTE 5.000%12/0 262498AB4 11060 16000000 PRN DEFINED 16000000 0 0
E TRADE FINANCIAL CORP COM NEW 269246401 43010 5403208 SH DEFINED 5403208 0 0
EXPEDIA INC DEL COM NEW 30212P303 3967 136699 SH DEFINED 136699 0 0
FAMILY DLR STORES INC COM 307000109 12754 221200 SH DEFINED 221200 0 0
FIRST SOLAR INC COM 336433107 5189 153700 SH PUT DEFINED 153700 0 0
FORTUNE BRANDS HOME & SEC IN COM 34964C106 3857 226467 SH DEFINED 226467 0 0
GOLDMAN SACHS GROUP INC COM 38141G104 18334 202745 SH DEFINED 202745 0 0
HALOZYME THERAPEUTICS INC COM 40637H109 17205 1809136 SH DEFINED 1809136 0 0
HUMAN GENOME SCIENCES INC NOTE 3.000%11/1 444903AN8 8891 10000000 PRN DEFINED 10000000 0 0
ILLUMINA INC NOTE 0.625% 2/1 452327AB5 33415 22000000 PRN DEFINED 22000000 0 0
INGERSOLL-RAND GLOBAL HLDG C NOTE 4.500% 4/1 45687AAD4 17253 10000000 PRN DEFINED 10000000 0 0
INHIBITEX INC COM 45719T103 2214 202406 SH DEFINED 202406 0 0
INTERMUNE INC NOTE 5.000% 3/0 45884XAD5 4652 4475000 PRN DEFINED 4475000 0 0
INTERMUNE INC NOTE 2.500% 9/1 45884XAE3 17739 23500000 PRN DEFINED 23500000 0 0
INTERMUNE INC COM 45884X103 70216 5572720 SH DEFINED 5572720 0 0
ISHARES TR MSCI EMERG MKT 464287234 3794 100000 SH PUT DEFINED 100000 0 0
JPMORGAN CHASE & CO COM 46625H100 89384 2688236 SH DEFINED 2688236 0 0
LINKEDIN CORP COM CL A 53578A108 11014 174800 SH DEFINED 174800 0 0
LINKEDIN CORP COM CL A 53578A108 12602 200000 SH PUT DEFINED 200000 0 0
MBIA INC COM 55262C100 29241 2522959 SH DEFINED 2522959 0 0
MEDIVATION INC COM 58501N101 108664 2480666 SH DEFINED 2480666 0 0
OREXIGEN THERAPEUTICS INC COM 686164104 7423 5123061 SH DEFINED 5123061 0 0
PACIFIC DRILLING SA LUXEMBOU REG SHS L7257P106 21891 2615369 SH DEFINED 2615369 0 0
PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 17050 686100 SH DEFINED 686100 0 0
PHARMACYCLICS INC COM 716933106 16578 1118632 SH DEFINED 1118632 0 0
PHARMASSET INC COM 71715N106 40766 317987 SH DEFINED 317987 0 0
REPROS THERAPEUTICS INC COM NEW 76028H209 5340 1166180 SH DEFINED 1166180 0 0
REPROS THERAPEUTICS INC *W EXP 02/04/201 76028H118 4005 874635 SH DEFINED 874635 0 0
REPROS THERAPEUTICS INC *W EXP 02/04/201 76028H126 1492 714286 SH DEFINED 714286 0 0
Page 1
ROWAN COS INC COM 779382100 45317 1494116 SH DEFINED 1494116 0 0
SCORPIO TANKERS INC SHS Y7542C106 10226 2091290 SH DEFINED 2091290 0 0
SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 44200 3400000 SH PUT DEFINED 3400000 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 9412 75000 SH PUT DEFINED 75000 0 0
SUNTECH PWR HLDGS CO LTD ADR 86800C104 88 39706 SH DEFINED 39706 0 0
SUNTECH PWR HLDGS CO LTD ADR 86800C104 110 50000 SH PUT DEFINED 50000 0 0
SYNTA PHARMACEUTICALS CORP COM 87162T206 4450 952789 SH DEFINED 952789 0 0
TCF FINL CORP COM 872275102 10694 1036200 SH DEFINED 1036200 0 0
TENET HEALTHCARE CORP COM 88033G100 15390 3000000 SH DEFINED 3000000 0 0
THE9 LTD ADR 88337K104 6914 1022223 SH DEFINED 1022223 0 0
TOP SHIPS INC SHS Y8897Y123 230 213270 SH DEFINED 213270 0 0
TPC GROUP INC COM 89236Y104 56800 2705145 SH DEFINED 2705145 0 0
TRANSOCEAN LTD REG SHS H8817H100 50481 1314959 SH DEFINED 1314959 0 0
TRANZYME INC COM 89413J102 3275 1333333 SH DEFINED 1333333 0 0
UNIVERSAL DISPLAY CORP COM 91347P105 16510 450000 SH PUT DEFINED 450000 0 0
VIVUS INC COM 928551100 83141 8527301 SH DEFINED 8527301 0 0
YPF SOCIEDAD ANONIMA SPON ADR CL D 984245100 25169 725752 SH DEFINED 725752 0 0
ZIOPHARM ONCOLOGY INC COM 98973P101 1834 415976 SH DEFINED 415976 0 0
SUMMARY:
Total Number of Securities is 60
Total Value in 1000s is 1239046
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