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, 2013
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 May 15, 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: 60
Form 13F Information Table Value Total: 1500962
(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 INVESTMENT OTHER
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT SH/PRN PUT/CALL DISCRETION MANAGERS SOLE SHARED NONE
---------------------------- ---------------- --------- -------- --------- ------ -------- ---------- -------- -------- ------ ----
ACHILLION PHARMACEUTICALS IN COM 00448Q201 93569 10967853 SH DEFINED 10967853 0 0
ANACOR PHARMACEUTICALS INC COM 032420101 8546 1322849 SH DEFINED 1322849 0 0
ARENA PHARMACEUTICALS INC COM 040047102 6795 827650 SH DEFINED 827650 0 0
ARMOUR RESIDENTIAL REIT INC *W EXP 11/07/201 042315119 0 1651796 SH DEFINED 1651796 0 0
ARRAY BIOPHARMA INC COM 04269X105 21113 4300000 SH DEFINED 4300000 0 0
ASBURY AUTOMOTIVE GROUP INC COM 043436104 28875 787006 SH DEFINED 787006 0 0
BANK OF AMERICA CORPORATION COM 060505104 8404 690000 SH PUT DEFINED 690000 0 0
BRF-BRASIL FOODS S A SPONSORED ADR 10552T107 22049 997220 SH DEFINED 997220 0 0
CAPITAL ONE FINL CORP COM 14040H105 44550 810735 SH DEFINED 810735 0 0
CBRE GROUP INC CL A 12504L109 9553 378326 SH DEFINED 378326 0 0
CHINA ZENIX AUTO INTL LTD ADS 16951E104 8411 3047200 SH DEFINED 3047200 0 0
CITIGROUP INC COM NEW 172967424 21083 476552 SH DEFINED 476552 0 0
CLOVIS ONCOLOGY INC COM 189464100 18170 633747 SH DEFINED 633747 0 0
CMS ENERGY CORP NOTE 5.500% 6/1 125896BD1 5128 2500000 PRN DEFINED 2500000 0 0
COMMUNITY HEALTH SYS INC NEW COM 203668108 16174 341300 SH DEFINED 341300 0 0
CREE INC COM 225447101 32826 600000 SH PUT DEFINED 600000 0 0
DST SYS INC DEL COM 233326107 35192 493783 SH DEFINED 493783 0 0
E TRADE FINANCIAL CORP COM NEW 269246401 39875 3723172 SH DEFINED 3723172 0 0
GREEN DOT CORP CL A 39304D102 9209 551100 SH DEFINED 551100 0 0
HALOZYME THERAPEUTICS INC COM 40637H109 19750 3425913 SH DEFINED 3425913 0 0
HCA HOLDINGS INC COM 40412C101 15618 384400 SH DEFINED 384400 0 0
ILLUMINA INC NOTE 0.625% 2/1 452327AB5 39861 16135000 PRN DEFINED 16135000 0 0
INFINITY PHARMACEUTICALS INC COM 45665G303 78304 1615510 SH DEFINED 1615510 0 0
INTERMUNE INC COM 45884X103 37441 4137144 SH DEFINED 4137144 0 0
INTERMUNE INC NOTE 2.500%12/1 45884XAF0 18862 18000000 PRN DEFINED 18000000 0 0
JPMORGAN CHASE & CO COM 46625H100 30564 644000 SH DEFINED 644000 0 0
KERYX BIOPHARMACEUTICALS INC COM 492515101 6425 912000 SH DEFINED 912000 0 0
LEGG MASON INC COM 524901105 27076 842168 SH DEFINED 842168 0 0
LIBERTY MEDIA CORP NEW DEB 3.125% 3/3 530718AF2 8157 5000000 PRN DEFINED 5000000 0 0
LOWES COS INC COM 548661107 21439 565380 SH DEFINED 565380 0 0
MEDIVATION INC COM 58501N101 30829 659304 SH DEFINED 659304 0 0
MEDIVATION INC NOTE 2.625% 4/0 58501NAA9 34705 28000000 PRN DEFINED 28000000 0 0
NATIONAL BK HLDGS CORP CL A 633707104 7568 413550 SH DEFINED 413550 0 0
OCWEN FINL CORP COM NEW 675746309 20450 539300 SH PUT DEFINED 539300 0 0
ONCOGENEX PHARMACEUTICALS IN COM 68230A106 4207 400000 SH DEFINED 400000 0 0
OPTIMER PHARMACEUTICALS INC COM 68401H104 14635 1229800 SH DEFINED 1229800 0 0
PACIFIC DRILLING SA LUXEMBOU REG SHS L7257P106 3331 329815 SH DEFINED 329815 0 0
PALATIN TECHNOLOGIES INC COM PAR $ .01 696077403 1982 3873000 SH DEFINED 3873000 0 0
PEREGRINE SEMICONDUCTOR CORP COM 71366R703 4885 500000 SH DEFINED 500000 0 0
PHARMACYCLICS INC COM 716933106 54093 672721 SH DEFINED 672721 0 0
QLT INC COM 746927102 5525 625000 SH DEFINED 625000 0 0
REALTY INCOME CORP COM 756109104 9070 200000 SH CALL DEFINED 200000 0 0
REPROS THERAPEUTICS INC *W EXP 02/08/201 76028H126 9078 708969 SH DEFINED 708969 0 0
REPROS THERAPEUTICS INC COM NEW 76028H209 15916 1040588 SH DEFINED 1040588 0 0
REPROS THERAPEUTICS INC *W EXP 02/08/201 76028H118 13369 874635 SH DEFINED 874635 0 0
ROWAN COMPANIES PLC SHS CL A G7665A101 39669 1121854 SH DEFINED 1121854 0 0
SALESFORCE COM INC NOTE 0.750% 1/1 79466LAB0 110580 52500000 PRN DEFINED 52500000 0 0
SBA COMMUNICATIONS CORP NOTE 4.000%10/0 78388JAM8 41930 17500000 PRN DEFINED 17500000 0 0
SCORPIO TANKERS INC SHS Y7542C106 31895 3723284 SH DEFINED 3723284 0 0
SYNTA PHARMACEUTICALS CORP COM 87162T206 11516 1339085 SH DEFINED 1339085 0 0
TENET HEALTHCARE CORP COM NEW 88033G407 74976 1575793 SH DEFINED 1575793 0 0
THE9 LTD ADR 88337K104 1723 752963 SH DEFINED 752963 0 0
TRANSOCEAN LTD REG SHS H8817H100 31812 612243 SH DEFINED 612243 0 0
TRANZYME INC COM 89413J102 574 1145655 SH DEFINED 1145655 0 0
UNIVERSAL DISPLAY CORP COM 91347P105 8829 300000 SH PUT DEFINED 300000 0 0
VERASTEM INC COM 92337C104 2524 271101 SH DEFINED 271101 0 0
VIVUS INC COM 928551100 91814 8346697 SH DEFINED 8346697 0 0
WELLS FARGO & CO NEW COM 949746101 16072 434500 SH DEFINED 434500 0 0
WESCO INTL INC DBCV 6.000% 9/1 95082PAH8 50000 19000000 PRN DEFINED 19000000 0 0
YPF SOCIEDAD ANONIMA SPON ADR CL D 984245100 24386 1706509 SH DEFINED 1706509 0 0
SUMMARY:
Total Number of Securities is 60
Total Value in 1000s is 1500962