-----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, A1XUkRpQVD6oIFK8ni+gGEhwHr3RZlNk+R3s0Qw+iml1CvQmnOQlbKn9XRlUm/bi OD5So03YaNNiLkNYDoBz8g== 0001389610-09-000021.txt : 20090514 0001389610-09-000021.hdr.sgml : 20090514 20090514133619 ACCESSION NUMBER: 0001389610-09-000021 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090514 DATE AS OF CHANGE: 20090514 EFFECTIVENESS DATE: 20090514 FILER: COMPANY DATA: COMPANY CONFORMED NAME: VERTEX ONE ASSET MANAGEMENT INC. CENTRAL INDEX KEY: 0001389610 IRS NUMBER: 000000000 STATE OF INCORPORATION: A1 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12402 FILM NUMBER: 09825595 BUSINESS ADDRESS: STREET 1: 1920-1177 WEST HASTINGS STREET CITY: VANCOUVER STATE: A1 ZIP: V6E 2K3 BUSINESS PHONE: 604-681-5787 MAIL ADDRESS: STREET 1: 1920-1177 WEST HASTINGS STREET CITY: VANCOUVER STATE: A1 ZIP: V6E 2K3 13F-HR 1 q1-13f_2009.txt 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, 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: Vertex One Asset Management Inc. Address: 1920-1177 West Hastings Street Vancouver, British Columbia V6E 2K3 Form 13F File Number: 028-12402 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: Jeffrey D. McCord Title: Managing Director Phone: 604-681-5787 Signature, Place, and Date of Signing: Jeffrey D. McCord Vancouver, British Columbia May 14, 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 [If there are no entries in this list, omit this section.] FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: Seven Form 13F Information Table Entry Total: 70 Form 13F Information Table Value Total: $296,004 USD (in thousands) List of Other Included Managers: 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.] No. Form 13F File Number Name 01 028-12401 Vertex Fund 02 028-12398 Rocky Mountain Investments Ltd. 03 028-12399 Simkor Investments Ltd. 04 028-12406 589321 BC Ltd. 05 028-12408 Jeffrey McCord 06 028-12407 John Thiessen 07 028-12403 Matthew Wood
TITLE OF VALUE X PRN SH/ PUT/ INVST OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP ($1,000) AMT PUT CALL DISCR MANAGERS SOLE SHARED NONE - --------------------------------------------------------------------------------------------------------------------------------- Aladdin Knowledge Sys ORD M0392N101 1,811 157,520 SH SOLE 01 02 03 04 05 06 07 SOLE Apple Inc COM 037833100 9,435 90,000 SH SOLE 01 02 03 04 05 06 07 SOLE Ascent Media Corp COM SER A 043632108 5,756 230,801 SH SOLE 01 02 03 04 05 06 07 SOLE Avanex Corp COM NEW 05348W307 349 200,000 SH SOLE 01 02 03 04 05 06 07 SOLE Banco Santander SA ADR 05964H105 192 27,892 SH SOLE 02 03 04 05 06 07 SOLE Bank Montreal Que COM 063671101 1,573 60,000 SH SOLE 02 03 04 05 06 07 SOLE Bank of America Corp COM 060505104 15,648 2,300,000 SH SOLE 01 02 03 04 05 06 07 SOLE Bank of America Corp COM 060505104 370 54,320 SH SOLE 02 03 04 05 06 07 SOLE BCE Inc COM NEW 05534B760 796 40,000 SH SOLE 01 02 03 04 05 06 07 SOLE BCE Inc COM NEW 05534B760 2,296 115,000 SH SOLE 02 03 04 05 06 07 SOLE Biovail Corp COM 09067J109 1,035 95,000 SH SOLE 02 03 04 05 06 07 SOLE Bristol Myers Squibb Co COM 110122108 763 34,800 SH SOLE 02 03 04 05 06 07 SOLE Cadence Design System NOTE 127387AD0 3,643 5,000,000 SH SOLE 01 02 03 04 05 06 07 SOLE Celestica Inc SUB VTG 15101Q108 354 100,000 SH SOLE 02 03 04 05 06 07 SOLE Centennial Communctnsp CL A NEW 15133V208 17,428 2,115,000 SH SOLE 01 02 03 04 05 06 07 SOLE Chesapeake Energy Corp PREF CONV 165167818 126 800 SH SOLE 01 02 03 04 05 06 07 SOLE Chipotle Mexican Grill CL B 169656204 3,276 57,300 SH SOLE 01 02 03 04 05 06 07 SOLE Citigroup Inc COM 172967101 884 350,000 SH SOLE 01 02 03 04 05 06 07 SOLE CV Therapeutics Inc COM 126667104 9,055 456,547 SH SOLE 01 02 03 04 05 06 07 SOLE CV Therapeutics Inc NOTE 126667AG9 6,131 6,200,000 SH SOLE 01 02 03 04 05 06 07 SOLE CV Therapeutics Inc NOTE 126667AF1 14 16,333 SH SOLE 01 02 03 04 05 06 07 SOLE Disney Walt Co COM DISNEY 254687106 4,088 225,100 SH SOLE 02 03 04 05 06 07 SOLE Emageon Inc COM 29076V109 454 250,000 SH SOLE 01 02 03 04 05 06 07 SOLE Embarq Corp COM 29078E105 18,903 500,650 SH SOLE 01 02 03 04 05 06 07 SOLE Fairfax Finl Hldgs Ltd SUB VTG 303901102 9,069 35,000 SH SOLE 02 03 04 05 06 07 SOLE Firstservice Corp SUB VTG 33761N109 123 8,300 SH SOLE 02 03 04 05 06 07 SOLE General Electric Co COM 369604103 415 41,000 SH SOLE 02 03 04 05 06 07 SOLE Genworth Finl Inc COM CL A 37247D106 131 69,000 SH SOLE 02 03 04 05 06 07 SOLE Goldman Sachs Group Inc COM 38141G104 3,175 30,000 SH SOLE 01 02 03 04 05 06 07 SOLE Gran Tierra Energy Inc COM 38500T101 3,430 1,342,962 SH SOLE 01 02 03 04 05 06 07 SOLE HSBC Hldgs PLC SPON ADR 404280406 360 12,750 SH SOLE 02 03 04 05 06 07 SOLE Huntsman Corp COM 447011107 3,295 1,055,200 SH SOLE 01 02 03 04 05 06 07 SOLE IAC Interactivecorp COM PAR 44919P508 3,039 200,000 SH SOLE 01 02 03 04 05 06 07 SOLE Iamgold Corp COM 450913108 17 2,600 SH SOLE 01 02 03 04 05 06 07 SOLE Ingersoll-Rand Company CL A G4776G101 2,416 175,100 SH SOLE 02 03 04 05 06 07 SOLE IPC Hldgs Ltd ORD G4933P101 6,990 258,500 SH SOLE 02 03 04 05 06 07 SOLE Ishares Silver Trust ISHARES 46428Q109 2,554 200,000 SH SOLE 01 02 03 04 05 06 07 SOLE Ishares Tr HIGH YLD 464288513 3,382 50,000 SH SOLE 01 02 03 04 05 06 07 SOLE Johnson & Johnson COM 478160104 5,612 106,700 SH SOLE 02 03 04 05 06 07 SOLE JPMorgan & Chase & Co COM 46625H100 505 19,000 SH SOLE 02 03 04 05 06 07 SOLE Keycorp New COM 493267108 354 45,000 SH SOLE 02 03 04 05 06 07 SOLE Liberty Media Corp New ENT COM 53071M500 7,523 378,000 SH SOLE 01 02 03 04 05 06 07 SOLE Lululemon Athletica Inc COM 550021109 1,203 139,000 SH SOLE 02 03 04 05 06 07 SOLE Magellan Midstream COM LP 55907R108 4,830 276,680 SH SOLE 01 02 03 04 05 06 07 SOLE Markel Corp COM 570535104 261 918 SH SOLE 02 03 04 05 06 07 SOLE Market VectorsETF Tr ETF 57060U100 2,759 75,000 SH SOLE 01 02 03 04 05 06 07 SOLE Marshall & Ilsley Corp COM 571837103 169 30,000 SH SOLE 02 03 04 05 06 07 SOLE Mattel Inc COM 577081102 4,996 433,300 SH SOLE 02 03 04 05 06 07 SOLE MBIA Inc COM 55262C100 183 40,000 SH SOLE 02 03 04 05 06 07 SOLE Montpelier Re Holdings COM G62185106 6,187 477,400 SH SOLE 02 03 04 05 06 07 SOLE Nova Chemicals Corp COM 66977W109 13,650 2,375,000 SH SOLE 01 02 03 04 05 06 07 SOLE Odyssey Re Hldgs Corp COM 67612W108 1,880 49,550 SH SOLE 02 03 04 05 06 07 SOLE Partnerre Ltd COM G6852T105 7,169 115,500 SH SOLE 02 03 04 05 06 07 SOLE Petro-Cda COM 71644E102 16,784 625,000 SH SOLE 01 02 03 04 05 06 07 SOLE Pfizer Inc COM 717081103 4,330 317,900 SH SOLE 02 03 04 05 06 07 SOLE Provident Bankshares Corp COM 743859100 41 6,175 SH SOLE 01 02 03 04 05 06 07 SOLE QLT Inc COM 746927102 593 330,000 SH SOLE 02 03 04 05 06 07 SOLE Rockwell Automation Inc COM 773903109 502 23,000 SH SOLE 02 03 04 05 06 07 SOLE Rohn & Haas Co COM 775371107 7,865 100,000 SH SOLE 01 02 03 04 05 06 07 SOLE Sandisk Corp NOTE 80004CAC5 6,880 11,400,000 SH SOLE 01 02 03 04 05 06 07 SOLE Schering Plough Corp COM 806605101 8,380 356,700 SH SOLE 01 02 03 04 05 06 07 SOLE Schering Plough Corp COM 806605101 1,286 54,600 SH SOLE 02 03 04 05 06 07 SOLE Scopus Video Networks Ltd SHS M8260H106 277 49,385 SH SOLE 01 02 03 04 05 06 07 SOLE SFBC Intl Inc NOTE 784121AB1 987 1,000,000 SH SOLE 01 02 03 04 05 06 07 SOLE Suntrust Bks Inc COM 867914103 223 19,000 SH SOLE 02 03 04 05 06 07 SOLE Thinkorswim Group Inc COM 88409C105 10,345 1,200,000 SH SOLE 01 02 03 04 05 06 07 SOLE Wells Fargo& Co New COM 949746101 255 17,919 SH SOLE 02 03 04 05 06 07 SOLE Wyeth COM 983024100 36,372 846,862 SH SOLE 01 02 03 04 05 06 07 SOLE XL Cap Ltd CL A G98255105 580 106,300 SH SOLE 02 03 04 05 06 07 SOLE Zions Bancorporation COM 989701107 246 25,000 SH SOLE 02 03 04 05 06 07 SOLE
-----END PRIVACY-ENHANCED MESSAGE-----