0000950123-16-014951.txt : 20160216
0000950123-16-014951.hdr.sgml : 20160215
20160216144131
ACCESSION NUMBER: 0000950123-16-014951
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20151231
FILED AS OF DATE: 20160216
DATE AS OF CHANGE: 20160216
EFFECTIVENESS DATE: 20160216
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: 161426763
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
12-31-2015
12-31-2015
QVT Financial LP
1177 Avenue of the Americas
9th Floor
NEW YORK
NY
10036
13F HOLDINGS REPORT
028-11172
N
Tracy Fu
Managing Member of the General Partner
(212) 705-8888
Tracy Fu
New York
NY
02-16-2016
0
80
1780963
false
INFORMATION TABLE
2
form13fInfoTable.xml
INFORMATION TABLE FOR FORM 13F
21VIANET GROUP INC
SPONSORED ADR
90138A103
11102
525189
SH
DFND
525189
0
0
ACCELERON PHARMA INC
COM
00434H108
31221
640300
SH
DFND
640300
0
0
ADAPTIMMUNE THERAPEUTICS PLC
SPONDS ADR
00653A107
8027
665566
SH
DFND
665566
0
0
AGENUS INC
COM NEW
00847G705
12169
2680321
SH
DFND
2680321
0
0
AKARI THERAPEUTICS PLC
SPONSORED ADR
00972G108
3641
263921
SH
DFND
263921
0
0
ARRAY BIOPHARMA INC
NOTE 3.000% 6/0
04269XAA3
2853
3000000
PRN
DFND
3000000
0
0
ARROWHEAD RESH CORP
COM NEW
042797209
12001
1951382
SH
DFND
1951382
0
0
ASSEMBLY BIOSCIENCES INC
COM
045396108
3617
535000
SH
DFND
535000
0
0
BELLICUM PHARMACEUTICALS INC
COM
079481107
6912
340986
SH
DFND
340986
0
0
BIOCRYST PHARMACEUTICALS
COM
09058V103
14016
1358097
SH
DFND
1358097
0
0
BIOMARIN PHARMACEUTICAL INC
COM
09061G101
2780
26540
SH
DFND
26540
0
0
BLUEBIRD BIO INC
COM
09609G100
3789
59002
SH
DFND
59002
0
0
BONA FILM GROUP LTD
SPONSORED ADS
09777B107
8457
639211
SH
DFND
639211
0
0
BRF SA
SPONSORED ADR
10552T107
8390
607112
SH
DFND
607112
0
0
CBRE GROUP INC
CL A
12504L109
22823
660000
SH
DFND
660000
0
0
CHINA ZENIX AUTO INTL LTD
ADS
16951E104
3639
6074805
SH
DFND
6074805
0
0
CITIZENS FINL GROUP INC
COM
174610105
20297
775000
SH
DFND
775000
0
0
CLOVIS ONCOLOGY INC
NOTE 2.500% 9/1
189464AB6
22114
25500000
PRN
DFND
25500000
0
0
CTRIP COM INTL LTD
NOTE 1.250%10/1
22943FAD2
46457
35000000
PRN
DFND
35000000
0
0
CYTRX CORP
COM PAR $.001
232828509
14480
5850399
SH
DFND
5850399
0
0
DHT HOLDINGS INC
SHS NEW
Y2065G121
3726
460522
SH
DFND
460522
0
0
DHT HOLDINGS INC
DEBT 4.500%10/0
23335SAB2
20220
17000000
PRN
DFND
17000000
0
0
E HOUSE CHINA HLDGS LTD
ADR
26852W103
5097
810400
SH
DFND
810400
0
0
EPIZYME INC
COM
29428V104
9537
595314
SH
DFND
595314
0
0
EQUITY COMWLTH
COM SH BEN INT
294628102
35081
1265079
SH
DFND
1265079
0
0
FIBROCELL SCIENCE INC
COM NEW
315721209
8344
1913662
SH
DFND
1913662
0
0
FIRST SOLAR INC
COM
336433107
6599
100000
SH
Put
DFND
100000
0
0
FIVE PRIME THERAPEUTICS INC
COM
33830X104
10244
246848
SH
DFND
246848
0
0
GOLAR LNG LTD BERMUDA
SHS
G9456A100
4741
300283
SH
DFND
300283
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
13517
75000
SH
DFND
75000
0
0
HALOZYME THERAPEUTICS INC
COM
40637H109
8427
486276
SH
DFND
486276
0
0
INTEL CORP
COM
458140100
14731
427600
SH
DFND
427600
0
0
INTEL CORP
SDCV 12/1
458140AD2
52080
40420000
PRN
DFND
40420000
0
0
INTERCEPT PHARMACEUTICALS IN
COM
45845P108
635
4251
SH
DFND
4251
0
0
ISHARES TR
NASDQ BIOTEC ETF
464287556
30234
89363
SH
DFND
89363
0
0
JPMORGAN CHASE & CO
COM
46625H100
8378
126879
SH
DFND
126879
0
0
LION BIOTECHNOLOGIES INC
COM
53619R102
11068
1433700
SH
DFND
1433700
0
0
LUMBER LIQUIDATORS HLDGS INC
COM
55003T107
51544
2969100
SH
Put
DFND
2969100
0
0
MAKEMYTRIP LIMITED MAURITIUS
SHS
V5633W109
25341
1549113
SH
DFND
1549113
0
0
MARVELL TECHNOLOGY GROUP LTD
ORD
G5876H105
20276
2298882
SH
DFND
2298882
0
0
MEDGENICS INC
COM NEW
58436Q203
5223
867608
SH
DFND
867608
0
0
MICROCHIP TECHNOLOGY INC
SDCV 2.125%12/1
595017AB0
30037
15764000
PRN
DFND
15764000
0
0
MICRON TECHNOLOGY INC
NOTE 1.625% 2/1
595112AU7
12924
9000000
PRN
DFND
9000000
0
0
MIRATI THERAPEUTICS INC
COM
60468T105
7936
251137
SH
DFND
251137
0
0
NAVIGATOR HOLDINGS LTD
SHS
Y62132108
24090
1891962
SH
DFND
1891962
0
0
NEW YORK TIMES CO
CL A
650111107
28193
2100798
SH
DFND
2100798
0
0
NORTHSTAR REALTY EUROPE CORP
COM
66706L101
19477
1649225
SH
DFND
1649225
0
0
NOVELLUS SYS INC
NOTE 2.625% 5/1
670008AD3
68694
29193000
PRN
DFND
29193000
0
0
OCERA THERAPEUTICS INC
COM
67552A108
2908
932086
SH
DFND
932086
0
0
PALATIN TECHNOLOGIES INC
COM PAR $ .01
696077403
2316
4982174
SH
DFND
4982174
0
0
PDVWIRELESS INC
COM
69290R104
21693
864301
SH
DFND
864301
0
0
PRONAI THERAPEUTICS INC
COM
74346L101
1053
70000
SH
DFND
70000
0
0
PTC THERAPEUTICS INC
COM
69366J200
3810
117600
SH
DFND
117600
0
0
RADIAN GROUP INC
NOTE 2.250% 3/0
750236AN1
21263
16405000
PRN
DFND
16405000
0
0
REALOGY HLDGS CORP
COM
75605Y106
27136
740000
SH
DFND
740000
0
0
REGENXBIO INC
COM
75901B107
5185
351525
SH
DFND
351525
0
0
SANDISK CORP
COM
80004C101
29469
387805
SH
DFND
387805
0
0
SAREPTA THERAPEUTICS INC
COM
803607100
4778
123850
SH
DFND
123850
0
0
SELECT SECTOR SPDR TR
SBI INT-ENERGY
81369Y506
4524
75000
SH
DFND
75000
0
0
SOLARCITY CORP
COM
83416T100
20756
406816
SH
DFND
406816
0
0
SOLARCITY CORP
COM
83416T100
20714
406000
SH
Put
DFND
406000
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
81548
400000
SH
Put
DFND
400000
0
0
SPDR SERIES TRUST
S&P BIOTECH
78464A870
392594
5592500
SH
Put
DFND
5592500
0
0
TAIWAN SEMICONDUCTOR MFG LTD
SPONSORED ADR
874039100
20475
900000
SH
Put
DFND
900000
0
0
TEEKAY TANKERS LTD
CL A
Y8565N102
12531
1821389
SH
DFND
1821389
0
0
TENET HEALTHCARE CORP
COM NEW
88033G407
23316
769520
SH
DFND
769520
0
0
TRACON PHARMACEUTICALS INC
COM
89237H100
3357
363292
SH
DFND
363292
0
0
VERISIGN INC
SDCV 3.250% 8/1
92343EAD4
102966
40000000
PRN
DFND
40000000
0
0
VIPSHOP HLDGS LTD
NOTE 1.500% 3/1
92763WAA1
18584
17500000
PRN
DFND
17500000
0
0
WAYFAIR INC
CL A
94419L101
9524
200000
SH
DFND
200000
0
0
WAYFAIR INC
CL A
94419L101
9524
200000
SH
Put
DFND
200000
0
0
WELLS FARGO & CO NEW
COM
949746101
21468
394921
SH
DFND
394921
0
0
WESCO INTL INC
DBCV 6.000% 9/1
95082PAH8
61446
39000000
PRN
DFND
39000000
0
0
WL ROSS HLDG CORP
COM SHS
92939D104
9960
1000000
SH
DFND
1000000
0
0
XENCOR INC
COM
98401F105
5657
386925
SH
DFND
386925
0
0
YOUKU TUDOU INC
SPONSORED ADR
98742U100
21853
805499
SH
DFND
805499
0
0
YY INC
NOTE 2.250% 4/0
98426TAB2
4874
5000000
PRN
DFND
5000000
0
0
ZILLOW GROUP INC
CL C CAP STK
98954M200
9979
425000
SH
DFND
425000
0
0
ZILLOW GROUP INC
CL A
98954M101
9114
350000
SH
DFND
350000
0
0
ZILLOW GROUP INC
CL C CAP STK
98954M200
1409
60000
SH
Put
DFND
60000
0
0