# EDGAR Filing Document

**Accession Number:** 0001290162
**File Stem:** 0000950123-23-002471
**Filing Date:** 2023-2
**Character Count:** 9036
**Document Hash:** 60f627abab1a8ae4c45abaf7a036aea6
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000950123-23-002471.hdr.sgml**: 20230214

**ACCESSION NUMBER**: 0000950123-23-002471

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230214

**DATE AS OF CHANGE**: 20230214

**EFFECTIVENESS DATE**: 20230214

**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:** 23626123

**BUSINESS ADDRESS:**
- **STREET 1:** 888 SEVENTH AVENUE
- **STREET 2:** 43RD FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10106
- **BUSINESS PHONE:** 212-705-8800

**MAIL ADDRESS:**
- **STREET 1:** 888 SEVENTH AVENUE
- **STREET 2:** 43RD FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10106

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**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<br>**Address:** 888 SEVENTH AVENUE<br>43RD FLOOR<br>NEW YORK, NY 10106

**Form 13F File Number:** 028-11172

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:** Meg Eisner<br>**Title:** Authorized Signatory<br>**Phone:** (212) 705-8888

**Signature, Place, and Date of Signing:**

/s/ Meg Eisner  New York, NY  02-14-2023<br>[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 are reported 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).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 0

**Form 13F Information Table Entry Total:** 52

**Form 13F Information Table Value Total:** $1896532155

      (round to nearest dollar)

**List of Other Included Managers:**

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.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| ACADIA PHARMACEUTICALS INC | COM | 004225108 |  | 312239 | 19613 | SH |  | DFND |  | 19613 | 0 | 0 |
| ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 |  | 423977 | 4813 | SH |  | DFND |  | 4813 | 0 | 0 |
| ALLOT LTD | SHS | M0854Q105 |  | 6044854 | 1757225 | SH |  | DFND |  | 0 | 1757225 | 0 |
| ANTERIX INC | COM | 03676C100 |  | 16211782 | 503941 | SH |  | DFND |  | 503941 | 0 | 0 |
| APPHARVEST INC | *W EXP 01/29/202 | 03783T111 |  | 47550 | 500000 | SH |  | DFND |  | 500000 | 0 | 0 |
| ARGENX SE | SPONSORED ADR | 04016X101 |  | 12311217 | 32498 | SH |  | DFND |  | 32498 | 0 | 0 |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 |  | 14810519 | 47946 | SH |  | DFND |  | 47946 | 0 | 0 |
| BILIBILI INC | NOTE 0.500%12/0 | 090040AF3 |  | 1476608 | 2000000 | PRN |  | DFND |  | 2000000 | 0 | 0 |
| BIOMARIN PHARMACEUTICAL INC | COM | 09061G101 |  | 458357 | 4429 | SH |  | DFND |  | 4429 | 0 | 0 |
| CARNIVAL CORP | COMMON STOCK | 143658300 |  | 8060000 | 1000000 | SH |  | DFND |  | 1000000 | 0 | 0 |
| CARNIVAL CORP | COMMON STOCK | 143658300 |  | 8060000 | 1000000 | SH | Put | DFND |  | 1000000 | 0 | 0 |
| CHESAPEAKE ENERGY CORP | COM | 165167735 |  | 17392297 | 184299 | SH |  | DFND |  | 184299 | 0 | 0 |
| EAGLE BULK SHIPPING INC | NOTE 5.000% 8/0 | 269442AB5 |  | 8029102 | 4850000 | PRN |  | DFND |  | 4850000 | 0 | 0 |
| ENVIVA INC | COM | 29415B103 |  | 6621250 | 125000 | SH | Put | DFND |  | 125000 | 0 | 0 |
| FISKER INC | CL A COM STK | 33813J106 |  | 4362000 | 600000 | SH | Put | DFND |  | 600000 | 0 | 0 |
| FRONTLINE LTD | SHS NEW | G3682E192 |  | 1992599 | 164135 | SH |  | DFND |  | 164135 | 0 | 0 |
| GDS HLDGS LTD | NOTE 2.000% 6/0 | 36165LAB4 |  | 16791979 | 17500000 | PRN |  | DFND |  | 17500000 | 0 | 0 |
| GOLDMAN SACHS GROUP INC | COM | 38141G104 |  | 27491690 | 80062 | SH |  | DFND |  | 80062 | 0 | 0 |
| GRAY TELEVISION INC | COM | 389375106 |  | 3261348 | 291452 | SH |  | DFND |  | 291452 | 0 | 0 |
| H WORLD GROUP LTD | NOTE 3.000% 5/0 | 44332NAB2 |  | 2425950 | 2000000 | PRN |  | DFND |  | 2000000 | 0 | 0 |
| ILLUMINA INC | COM | 452327109 |  | 5176320 | 25600 | SH |  | DFND |  | 25600 | 0 | 0 |
| IMMUNOGEN INC | COM | 45253H101 |  | 6824464 | 1375900 | SH |  | DFND |  | 1375900 | 0 | 0 |
| IOVANCE BIOTHERAPEUTICS INC | COM | 462260100 |  | 4336024 | 678564 | SH |  | DFND |  | 678564 | 0 | 0 |
| IQIYI INC | NOTE 2.000% 4/0 | 46267XAD0 |  | 24822724 | 30279000 | PRN |  | DFND |  | 30279000 | 0 | 0 |
| IQIYI INC | SPONSORED ADS | 46267X108 |  | 2650000 | 500000 | SH | Put | DFND |  | 500000 | 0 | 0 |
| JD.COM INC | SPON ADR CL A | 47215P106 |  | 1811540 | 32274 | SH |  | DFND |  | 32274 | 0 | 0 |
| JOYY INC | NOTE 0.750% 6/1 | 98426TAD8 |  | 953235 | 1000000 | PRN |  | DFND |  | 1000000 | 0 | 0 |
| MAKEMYTRIP LIMITED MAURITIUS | SHS | V5633W109 |  | 13536346 | 490981 | SH |  | DFND |  | 490981 | 0 | 0 |
| MAKEMYTRIP LIMITED MAURITIUS | NOTE 2/1 | 56087FAB0 |  | 6459602 | 6500000 | PRN |  | DFND |  | 6500000 | 0 | 0 |
| MERSANA THERAPEUTICS INC | COM | 59045L106 |  | 367170 | 62657 | SH |  | DFND |  | 62657 | 0 | 0 |
| MICROSTRATEGY INC | CL A NEW | 594972408 |  | 6628874 | 46824 | SH |  | DFND |  | 46824 | 0 | 0 |
| MICROSTRATEGY INC | CL A NEW | 594972408 |  | 6597162 | 46600 | SH | Put | DFND |  | 46600 | 0 | 0 |
| MP MATERIALS CORP | COM CL A | 553368101 |  | 327818314 | 13501578 | SH |  | DFND |  | 13501578 | 0 | 0 |
| NELNET INC | CL A | 64031N108 |  | 19480849 | 214665 | SH |  | DFND |  | 214665 | 0 | 0 |
| NEW YORK TIMES CO | CL A | 650111107 |  | 10288100 | 316947 | SH |  | DFND |  | 316947 | 0 | 0 |
| NEXSTAR MEDIA GROUP INC | COMMON STOCK | 65336K103 |  | 29008597 | 165735 | SH |  | DFND |  | 165735 | 0 | 0 |
| NIO INC | NOTE 4.500% 2/0 | 62914VAB2 |  | 28215702 | 22250000 | PRN |  | DFND |  | 22250000 | 0 | 0 |
| NIO INC | SPON ADS | 62914V106 |  | 4875000 | 500000 | SH | Put | DFND |  | 500000 | 0 | 0 |
| NOBLE CORP PLC | ORD SHS A | G65431127 |  | 12219925 | 324050 | SH |  | DFND |  | 324050 | 0 | 0 |
| NUSCALE PWR CORP | *W EXP 05/02/202 | 67079K118 |  | 795000 | 500000 | SH |  | DFND |  | 500000 | 0 | 0 |
| PALO ALTO NETWORKS INC | NOTE 0.750% 7/0 | 697435AD7 |  | 23730125 | 15000000 | PRN |  | DFND |  | 15000000 | 0 | 0 |
| PARAMOUNT GLOBAL | CLASS B COM | 92556H206 |  | 8633799 | 511481 | SH |  | DFND |  | 511481 | 0 | 0 |
| REDFIN CORP | NOTE 1.750% 7/1 | 75737FAA6 |  | 4748368 | 5000000 | PRN |  | DFND |  | 5000000 | 0 | 0 |
| ROIVANT SCIENCES LTD | SHS | G76279101 |  | 979106873 | 122541536 | SH |  | DFND |  | 122541536 | 0 | 0 |
| SAREPTA THERAPEUTICS INC | COM | 803607100 |  | 403901 | 3117 | SH |  | DFND |  | 3117 | 0 | 0 |
| SEA LTD | NOTE 0.250% 9/1 | 81141RAG5 |  | 12992516 | 17600000 | PRN |  | DFND |  | 17600000 | 0 | 0 |
| SELINA HOSPITALITY PLC | ORDINARY SHARES | G8059B101 |  | 67750 | 25000 | SH |  | DFND |  | 25000 | 0 | 0 |
| SELINA HOSPITALITY PLC | *W EXP 10/27/202 | G8059B119 |  | 11593 | 144913 | SH |  | DFND |  | 144913 | 0 | 0 |
| SPDR S 500 ETF TR | TR UNIT | 78462F103 |  | 181654250 | 475000 | SH | Put | DFND |  | 475000 | 0 | 0 |
| STRIDE INC | NOTE 1.125% 9/0 | 86333MAA6 |  | 8971723 | 10000000 | PRN |  | DFND |  | 10000000 | 0 | 0 |
| TEEKAY TANKERS LTD | CL A | Y8565N300 |  | 3335491 | 108260 | SH |  | DFND |  | 108260 | 0 | 0 |
| VERTEX ENERGY INC | COM | 92534K107 |  | 3425500 | 552500 | SH | Put | DFND |  | 552500 | 0 | 0 |

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