0000950123-17-005146.txt : 20170515
0000950123-17-005146.hdr.sgml : 20170515
20170515124606
ACCESSION NUMBER: 0000950123-17-005146
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170331
FILED AS OF DATE: 20170515
DATE AS OF CHANGE: 20170515
EFFECTIVENESS DATE: 20170515
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: 17842758
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
03-31-2017
03-31-2017
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
/s/ Tracy Fu
New York
NY
05-15-2017
0
77
3219915
false
INFORMATION TABLE
2
form13fInfoTable.xml
INFORMATION TABLE FOR FORM 13F
ACADIA PHARMACEUTICALS INC
COM
004225108
6431
187055
SH
DFND
187055
0
0
ACCELERON PHARMA INC
COM
00434H108
12717
480437
SH
DFND
480437
0
0
ADAPTIMMUNE THERAPEUTICS PLC
SPONDS ADR
00653A107
6940
1360647
SH
DFND
1360647
0
0
AGENUS INC
COM NEW
00847G705
15451
4098534
SH
DFND
4098534
0
0
AKARI THERAPEUTICS PLC
SPONSORED ADR
00972G108
1887
209121
SH
DFND
209121
0
0
ALLERGAN PLC
PFD CONV SER A
G0177J116
42377
50000
SH
DFND
50000
0
0
ALLIANCE DATA SYSTEMS CORP
COM
018581108
21106
84765
SH
DFND
84765
0
0
AMBARELLA INC
SHS
G037AX101
15733
287577
SH
DFND
287577
0
0
ANTERO RES CORP
COM
03674X106
8518
373413
SH
DFND
373413
0
0
ANTHEM INC
NOTE 2.750%10/1
94973VBG1
37914
16500000
PRN
DFND
16500000
0
0
ARBUTUS BIOPHARMA CORP
COM
03879J100
52044
16013540
SH
DFND
0
16013540
0
ARROWHEAD PHARMACEUTICALS IN
COM
04280A100
4729
2556256
SH
DFND
2556256
0
0
ASSEMBLY BIOSCIENCES INC
COM
045396108
15649
694817
SH
DFND
694817
0
0
AVEXIS INC
COM
05366U100
16754
220356
SH
DFND
220356
0
0
AXOVANT SCIENCES LTD
COM
G0750W104
1120500
75000000
SH
DFND
0
75000000
0
BEIGENE LTD
SPONSORED ADR
07725L102
6224
170000
SH
DFND
170000
0
0
BELLICUM PHARMACEUTICALS INC
COM
079481107
3711
300723
SH
DFND
300723
0
0
BIOGEN INC
COM
09062X103
3215
11760
SH
DFND
11760
0
0
BIOMARIN PHARMACEUTICAL INC
COM
09061G101
5137
58517
SH
DFND
58517
0
0
BIOVERATIV INC
COM
09075E100
320
5879
SH
DFND
5879
0
0
BLUEBIRD BIO INC
COM
09609G100
7183
79016
SH
DFND
79016
0
0
CABOT OIL & GAS CORP
COM
127097103
13010
544142
SH
DFND
544142
0
0
CAL MAINE FOODS INC
COM NEW
128030202
9388
255100
SH
DFND
255100
0
0
CARMAX INC
COM
143130102
24285
410089
SH
DFND
410089
0
0
CASCADIAN THERAPEUTICS INC
COM NEW
14740B606
3312
800000
SH
DFND
800000
0
0
CTRIP COM INTL LTD
NOTE 1.250%10/1
22943FAD2
32323
24500000
PRN
DFND
24500000
0
0
CTRIP COM INTL LTD
NOTE 1.000% 7/0
22943FAF7
14066
12650000
PRN
DFND
12650000
0
0
DHT HOLDINGS INC
SHS NEW
Y2065G121
5391
1206051
SH
DFND
1206051
0
0
DHT HOLDINGS INC
DEBT 4.500%10/0
23335SAB2
11190
11440000
PRN
DFND
11440000
0
0
EPIZYME INC
COM
29428V104
6096
355445
SH
DFND
355445
0
0
EQUITY COMWLTH
COM SH BEN INT
294628102
17317
554688
SH
DFND
554688
0
0
EURONAV NV ANTWERPEN
SHS
B38564108
10672
1350924
SH
DFND
1350924
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
18823
81940
SH
DFND
81940
0
0
GRAY TELEVISION INC
COM
389375106
10693
737454
SH
DFND
737454
0
0
GULFMARK OFFSHORE INC
CL A NEW
402629208
213
607500
SH
DFND
607500
0
0
HERBALIFE LTD
NOTE 2.000% 8/1
42703MAB9
24030
25000000
PRN
DFND
25000000
0
0
HOME DEPOT INC
COM
437076102
11306
77000
SH
DFND
77000
0
0
HUNTER MARITIME ACQUISITION
UNIT 99/99/9999
Y37828103
10400
1000000
SH
DFND
1000000
0
0
IKANG HEALTHCARE GROUP INC
SPONSORED ADR
45174L108
22788
1560843
SH
DFND
1560843
0
0
INTEL CORP
SDCV 12/1
458140AD2
82656
60247000
PRN
DFND
60247000
0
0
INTEL CORP
COM
458140100
21184
587314
SH
DFND
587314
0
0
INTERCEPT PHARMACEUTICALS IN
COM
45845P108
6263
55380
SH
DFND
55380
0
0
INTERNATIONAL SEAWAYS INC
COM
Y41053102
350
18309
SH
DFND
18309
0
0
ISHARES TR
NASDQ BIOTEC ETF
464287556
68081
232145
SH
DFND
232145
0
0
ISHARES TR
U.S. PFD STK ETF
464288687
1981
51194
SH
DFND
51194
0
0
ISHARES TR
IBOXX HI YD ETF
464288513
1581
18014
SH
DFND
18014
0
0
JPMORGAN CHASE & CO
COM
46625H100
9661
109985
SH
DFND
109985
0
0
LION BIOTECHNOLOGIES INC
COM
53619R102
10019
1385309
SH
DFND
1385309
0
0
MAKEMYTRIP LIMITED MAURITIUS
SHS
V5633W109
68951
2053014
SH
DFND
2053014
0
0
MICROCHIP TECHNOLOGY INC
SDCV 2.125%12/1
595017AB0
21032
6752000
PRN
DFND
6752000
0
0
MYOVANT SCIENCES LTD
COM
G637AM102
437096
37231342
SH
DFND
0
37231342
0
NEW YORK TIMES CO
CL A
650111107
26594
1846822
SH
DFND
1846822
0
0
NORDIC AMERICAN TANKERS LIMI
COM
G65773106
6595
806200
SH
Put
DFND
806200
0
0
NORTHSTAR REALTY EUROPE CORP
COM
66706L101
18764
1664363
SH
DFND
1664363
0
0
NOVELLUS SYS INC
NOTE 2.625% 5/1
670008AD3
5973
1570000
PRN
DFND
1570000
0
0
NXP SEMICONDUCTORS N V
DBCV 1.000%12/0
62952QAB6
11601
10000000
PRN
DFND
10000000
0
0
PALATIN TECHNOLOGIES INC
COM PAR $ .01
696077403
985
4296847
SH
DFND
4296847
0
0
PAYPAL HLDGS INC
COM
70450Y103
17319
402573
SH
DFND
402573
0
0
PDVWIRELESS INC
COM
69290R104
16931
894031
SH
DFND
894031
0
0
PRICELINE GRP INC
NOTE 1.000% 3/1
741503AQ9
5426
2880000
PRN
DFND
2880000
0
0
REGENXBIO INC
COM
75901B107
3733
193432
SH
DFND
193432
0
0
RICE ENERGY INC
COM
762760106
11217
473300
SH
DFND
473300
0
0
SAREPTA THERAPEUTICS INC
COM
803607100
6562
221691
SH
DFND
221691
0
0
SHIP FINANCE INTERNATIONAL L
NOTE 3.250% 2/0
G81075AE6
43486
39986000
PRN
DFND
39986000
0
0
SINCLAIR BROADCAST GROUP INC
CL A
829226109
16079
397023
SH
DFND
397023
0
0
SPDR SERIES TRUST
S&P BIOTECH
78464A870
404231
5829700
SH
Put
DFND
5829700
0
0
SPDR SERIES TRUST
S&P RETAIL ETF
78464A714
6444
152557
SH
DFND
152557
0
0
SPDR SERIES TRUST
S&P REGL BKG
78464A698
3358
61491
SH
DFND
61491
0
0
TAL ED GROUP
NOTE 2.500% 5/1
874080AB0
117703
29000000
PRN
DFND
29000000
0
0
TEEKAY TANKERS LTD
CL A
Y8565N102
6648
3243074
SH
DFND
3243074
0
0
TESARO INC
COM
881569107
5567
36179
SH
DFND
36179
0
0
TIME WARNER INC
COM NEW
887317303
15782
161518
SH
DFND
161518
0
0
TRACON PHARMACEUTICALS INC
COM
89237H100
1273
339539
SH
DFND
339539
0
0
VECTOR GROUP LTD
FRNT 1/1
92240MAY4
730
500000
PRN
DFND
500000
0
0
VERISIGN INC
SDCV 3.250% 8/1
92343EAD4
73120
28600000
PRN
DFND
28600000
0
0
WELLS FARGO & CO NEW
COM
949746101
7888
141712
SH
DFND
141712
0
0
XENCOR INC
COM
98401F105
7208
301325
SH
DFND
301325
0
0