0000950123-16-020217.txt : 20160815 0000950123-16-020217.hdr.sgml : 20160815 20160815171303 ACCESSION NUMBER: 0000950123-16-020217 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160815 DATE AS OF CHANGE: 20160815 EFFECTIVENESS DATE: 20160815 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: 161833860 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 primary_doc.xml 13F-HR LIVE false true false 0001290162 XXXXXXXX 06-30-2016 06-30-2016 QVT Financial LP

1177 Avenue of the Americas 9th Floor NEW YORK NY 10036

13F HOLDINGS REPORT 028-11172 N Tracy Fu (212) 705-8888 /s/ Tracy Fu New York NY 08-15-2016 0 75 1452866 false INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F ACCELERON PHARMA INC COM 00434H108 23868 702410 SH DFND 702410 0 0 ADAPTIMMUNE THERAPEUTICS PLC SPONDS ADR 00653A107 6387 783645 SH DFND 783645 0 0 ADURO BIOTECH INC COM 00739L101 2171 191954 SH DFND 191954 0 0 AGENUS INC COM NEW 00847G705 14899 3678707 SH DFND 3678707 0 0 AKARI THERAPEUTICS PLC SPONSORED ADR 00972G108 2906 263921 SH DFND 263921 0 0 ARRAY BIOPHARMA INC NOTE 3.000% 6/0 04269XAA3 3955 4600000 PRN DFND 4600000 0 0 ARROWHEAD PHARMACEUTICALS IN COM 04280A100 10894 2047782 SH DFND 2047782 0 0 ASSEMBLY BIOSCIENCES INC COM 045396108 3740 807601 SH DFND 807601 0 0 AVEXIS INC COM 05366U100 8958 242756 SH DFND 242756 0 0 BEIGENE LTD SPONSORED ADR 07725L102 5066 170000 SH DFND 170000 0 0 BELLICUM PHARMACEUTICALS INC COM 079481107 6583 507939 SH DFND 507939 0 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 7566 97246 SH DFND 97246 0 0 BLUEBIRD BIO INC COM 09609G100 2554 59002 SH DFND 59002 0 0 BRF SA SPONSORED ADR 10552T107 8457 607112 SH DFND 607112 0 0 CHINA ZENIX AUTO INTL LTD ADS 16951E104 3862 6074805 SH DFND 6074805 0 0 CLOVIS ONCOLOGY INC NOTE 2.500% 9/1 189464AB6 30998 43295000 PRN DFND 43295000 0 0 CTRIP COM INTL LTD NOTE 1.000% 7/0 22943FAF7 13723 13000000 PRN DFND 13000000 0 0 CTRIP COM INTL LTD NOTE 1.250%10/1 22943FAD2 30619 25000000 PRN DFND 25000000 0 0 CYTRX CORP COM PAR $.001 232828509 12093 5423037 SH DFND 5423037 0 0 DHT HOLDINGS INC DEBT 4.500%10/0 23335SAB2 16000 17000000 PRN DFND 17000000 0 0 EPIZYME INC COM 29428V104 9953 971946 SH DFND 971946 0 0 EQUITY COMWLTH COM SH BEN INT 294628102 23304 800000 SH DFND 800000 0 0 FIBROCELL SCIENCE INC COM NEW 315721209 2201 1913662 SH DFND 1913662 0 0 FITBIT INC CL A 33812L102 7082 579502 SH DFND 579502 0 0 FIVE PRIME THERAPEUTICS INC COM 33830X104 2009 48582 SH DFND 48582 0 0 FRONTLINE LTD SHS NEW G3682E192 3202 408341 SH DFND 408341 0 0 GOLAR LNG LTD BERMUDA SHS G9456A100 4654 300283 SH DFND 300283 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 78129 525838 SH DFND 525838 0 0 HALOZYME THERAPEUTICS INC COM 40637H109 4319 500449 SH DFND 500449 0 0 IKANG HEALTHCARE GROUP INC SPONSORED ADR 45174L108 16362 892170 SH DFND 892170 0 0 INTEL CORP COM 458140100 30504 930004 SH DFND 930004 0 0 INTEL CORP SDCV 12/1 458140AD2 25841 20000000 PRN DFND 20000000 0 0 INTERCEPT PHARMACEUTICALS IN COM 45845P108 10450 73243 SH DFND 73243 0 0 ISHARES TR NASDQ BIOTEC ETF 464287556 15483 60164 SH DFND 60164 0 0 JPMORGAN CHASE & CO COM 46625H100 11185 180000 SH DFND 180000 0 0 LION BIOTECHNOLOGIES INC COM 53619R102 12946 1598309 SH DFND 1598309 0 0 MAKEMYTRIP LIMITED MAURITIUS SHS V5633W109 28997 2034024 SH DFND 2034024 0 0 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 13448 1411162 SH DFND 1411162 0 0 MATTRESS FIRM HLDG CORP COM 57722W106 4386 130738 SH DFND 130738 0 0 MEDGENICS INC COM NEW 58436Q203 4557 848800 SH DFND 848800 0 0 MICROCHIP TECHNOLOGY INC SDCV 2.125%12/1 595017AB0 66912 31764000 PRN DFND 31764000 0 0 MICRON TECHNOLOGY INC COM 595112103 23392 1700000 SH Call DFND 1700000 0 0 MIRATI THERAPEUTICS INC COM 60468T105 2783 509750 SH DFND 509750 0 0 NEW YORK TIMES CO CL A 650111107 28168 2327896 SH DFND 2327896 0 0 NORDIC AMERICAN TANKERS LIMI COM G65773106 15711 1131120 SH DFND 1131120 0 0 NORDIC AMERICAN TANKERS LIMI COM G65773106 25176 1812500 SH Put DFND 1812500 0 0 NORTHSTAR REALTY EUROPE CORP COM 66706L101 21910 2368606 SH DFND 2368606 0 0 OCERA THERAPEUTICS INC COM 67552A108 1488 932086 SH DFND 932086 0 0 PALATIN TECHNOLOGIES INC COM PAR $ .01 696077403 1248 4039374 SH DFND 4039374 0 0 PDVWIRELESS INC COM 69290R104 17702 902599 SH DFND 902599 0 0 PRONAI THERAPEUTICS INC COM 74346L101 139 70000 SH DFND 70000 0 0 QIHOO 360 TECHNOLOGY CO LTD ADS 74734M109 53672 734731 SH DFND 734731 0 0 REALOGY HLDGS CORP COM 75605Y106 10611 365645 SH DFND 365645 0 0 REGENXBIO INC COM 75901B107 3395 424368 SH DFND 424368 0 0 SAREPTA THERAPEUTICS INC COM 803607100 7839 411077 SH DFND 411077 0 0 SHIP FINANCE INTERNATIONAL L NOTE 3.250% 2/0 G81075AE6 40307 38000000 PRN DFND 38000000 0 0 SOLARCITY CORP COM 83416T100 9735 406816 SH DFND 406816 0 0 SOLARCITY CORP COM 83416T100 9716 406000 SH Put DFND 406000 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 230110 4255000 SH Put DFND 4255000 0 0 SPRAGUE RES LP COM UNIT REP LTD 849343108 964 39979 SH DFND 39979 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 10492 400000 SH Put DFND 400000 0 0 TAL ED GROUP NOTE 2.500% 5/1 874080AB0 57491 24000000 PRN DFND 24000000 0 0 TEEKAY TANKERS LTD CL A Y8565N102 10891 3654776 SH DFND 3654776 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 21959 794457 SH DFND 794457 0 0 TRACON PHARMACEUTICALS INC COM 89237H100 1411 363292 SH DFND 363292 0 0 VERISIGN INC SDCV 3.250% 8/1 92343EAD4 101651 40000000 PRN DFND 40000000 0 0 WEBMD HEALTH CORP NOTE 2.500% 1/3 94770VAF9 13892 12500000 PRN DFND 12500000 0 0 WELLPOINT INC NOTE 2.750%10/1 94973VBG1 30326 16500000 PRN DFND 16500000 0 0 WELLS FARGO & CO NEW COM 949746101 15619 330000 SH DFND 330000 0 0 WESCO INTL INC DBCV 6.000% 9/1 95082PAH8 24524 13550000 PRN DFND 13550000 0 0 XENCOR INC COM 98401F105 7348 386925 SH DFND 386925 0 0 XILINX INC COM 983919101 10926 236855 SH DFND 236855 0 0 YY INC NOTE 2.250% 4/0 98426TAB2 4931 5000000 PRN DFND 5000000 0 0 ZILLOW GROUP INC CL A 98954M101 21990 600000 SH DFND 600000 0 0 ZILLOW GROUP INC CL C CAP STK 98954M200 24126 665000 SH DFND 665000 0 0