13F-HR 1 d482781d13fhr.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, 2012 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, 2013 ------------------------ ------------------------- ------------------------- [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: 59 Form 13F Information Table Value Total: 1505421 (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 SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ----------------------------- ---------------- ------------ -------- -------- ---- ------ ---------- -------- --------- ------ ---- ACHILLION PHARMACEUTICALS IN COM 00448Q201 56614 7067853 SH DEFINED 7067853 0 0 ANACOR PHARMACEUTICALS INC COM 032420101 6535 1322849 SH DEFINED 1322849 0 0 ARENA PHARMACEUTICALS INC COM 040047102 14931 1655300 SH DEFINED 1655300 0 0 ARMOUR RESIDENTIAL REIT INC *W EXP 11/07/201 042315119 0 1651796 SH DEFINED 1651796 0 0 ARRAY BIOPHARMA INC COM 04269X105 15996 4300000 SH DEFINED 4300000 0 0 ASBURY AUTOMOTIVE GROUP INC COM 043436104 44243 1381287 SH DEFINED 1381287 0 0 BRF-BRASIL FOODS S A SPONSORED ADR 10552T107 29495 1397220 SH DEFINED 1397220 0 0 CAPITAL ONE FINL CORP COM 14040H105 45668 788335 SH DEFINED 788335 0 0 CHINA ZENIX AUTO INTL LTD ADS 16951E104 8200 3047200 SH DEFINED 3047200 0 0 CITIGROUP INC COM NEW 172967424 18852 476552 SH DEFINED 476552 0 0 CLOVIS ONCOLOGY INC COM 189464100 10112 632000 SH DEFINED 632000 0 0 CMS ENERGY CORP NOTE 5.500% 6/1125896BD1 4444 2500000 PRN DEFINED 2500000 0 0 COMMUNITY HEALTH SYS INC NEW COM 203668108 7378 240000 SH DEFINED 240000 0 0 CREE INC COM 225447101 23786 700000 SH PUT DEFINED 700000 0 0 DOW CHEM CO COM 260543103 80704 2496300 SH PUT DEFINED 2496300 0 0 DST SYS INC DEL COM 233326107 29923 493783 SH DEFINED 493783 0 0 E TRADE FINANCIAL CORP COM NEW 269246401 32427 3623172 SH DEFINED 3623172 0 0 EASTMAN CHEM CO COM 277432100 105607 1551900 SH PUT DEFINED 1551900 0 0 GILEAD SCIENCES INC NOTE 0.625% 5/0375558AH6 35150 18223000 PRN DEFINED 18223000 0 0 HALOZYME THERAPEUTICS INC COM 40637H109 25443 3791813 SH DEFINED 3791813 0 0 HCA HOLDINGS INC COM 40412C101 10780 357300 SH DEFINED 357300 0 0
HOME INNS & HOTELS MGMT INC SPON ADR 43713W107 3430 118688 SH DEFINED 118688 0 0 ILLUMINA INC NOTE 0.625% 2/1452327AB5 41120 16135000 PRN DEFINED 16135000 0 0 INFINITY PHARMACEUTICALS INC COM 45665G303 56543 1615510 SH DEFINED 1615510 0 0 INTERMUNE INC NOTE 5.000% 3/045884XAD5 3259 3193000 PRN DEFINED 3193000 0 0 INTERMUNE INC COM 45884X103 55219 5698544 SH DEFINED 5698544 0 0 JPMORGAN CHASE & CO COM 46625H100 28316 644000 SH DEFINED 644000 0 0 LEGG MASON INC COM 524901105 21661 842168 SH DEFINED 842168 0 0 LOWES COS INC COM 548661107 29974 843850 SH DEFINED 843850 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 66150 1158700 SH PUT DEFINED 1158700 0 0 MBIA INC COM 55262C100 12604 1605654 SH DEFINED 1605654 0 0 MEDIVATION INC NOTE 2.625% 4/058501NAA9 35990 28000000 PRN DEFINED 28000000 0 0 MEDIVATION INC COM 58501N101 45284 885151 SH DEFINED 885151 0 0 OCWEN FINL CORP COM NEW 675746309 3954 114300 SH PUT DEFINED 114300 0 0 ONCOGENEX PHARMACEUTICALS IN COM 68230A106 4671 400000 SH DEFINED 400000 0 0 PACIFIC DRILLING SA LUXEMBOU REG SHS L7257P106 6664 705915 SH DEFINED 705915 0 0 PALATIN TECHNOLOGIES INC COM PAR $ .01 696077403 2091 3873000 SH DEFINED 3873000 0 0 PEREGRINE SEMICONDUCTOR CORP COM 71366R703 6223 406486 SH DEFINED 406486 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 6683 343256 SH DEFINED 343256 0 0 PHARMACYCLICS INC COM 716933106 44648 772721 SH DEFINED 772721 0 0 PUMA BIOTECHNOLOGY INC COM 74587V107 1237 65998 SH DEFINED 65998 0 0 QLT INC COM 746927102 4912 625000 SH DEFINED 625000 0 0 REPROS THERAPEUTICS INC COM NEW 76028H209 22397 1685271 SH DEFINED 1685271 0 0 REPROS THERAPEUTICS INC *W EXP 02/08/201 76028H126 7784 714286 SH DEFINED 714286 0 0 REPROS THERAPEUTICS INC *W EXP 02/08/201 76028H118 11700 874635 SH DEFINED 874635 0 0 ROWAN COMPANIES PLC SHS CL A G7665A101 35080 1121854 SH DEFINED 1121854 0 0 SALESFORCE COM INC NOTE 0.750% 1/179466LAB0 65154 32500000 PRN DEFINED 32500000 0 0 SCORPIO TANKERS INC SHS Y7542C106 12467 1948284 SH DEFINED 1948284 0 0 SUNTECH PWR HLDGS CO LTD ADR 86800C104 76 50000 SH PUT DEFINED 50000 0 0 SYNTA PHARMACEUTICALS CORP COM 87162T206 12079 1339085 SH DEFINED 1339085 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 41285 1271493 SH DEFINED 1271493 0 0 THE9 LTD ADR 88337K104 2051 789922 SH DEFINED 789922 0 0
TRANSOCEAN LTD REG SHS H8817H100 31009 694343 SH DEFINED 694343 0 0 TRANZYME INC COM 89413J102 619 1145655 SH DEFINED 1145655 0 0 UNIVERSAL DISPLAY CORP COM 91347P105 8475 330800 SH PUT DEFINED 330800 0 0 VERASTEM INC COM 92337C104 2288 271101 SH DEFINED 271101 0 0 VIVUS INC COM 928551100 112013 8346697 SH DEFINED 8346697 0 0 WESCO INTL INC DBCV 6.000% 9/195082PAH8 32445 13000000 PRN DEFINED 13000000 0 0 YPF SOCIEDAD ANONIMA SPON ADR CL D 984245100 21578 1483009 SH DEFINED 1483009 0 0 SUMMARY: Total Number of Securities is 59 Total Value in 1000s is 1505421