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QVT Financial

Filed: 16 Nov 21, 6:05am

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE

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COLUMN 1COLUMN 2COLUMN 3COLUMN 4COLUMN 5COLUMN 6COLUMN 7COLUMN 8
VALUESHRS ORSH/PUT/INVESTMENTOTHERVOTING AUTHORITY
NAME OF ISSUERTITLE OF CLASSCUSIP(x$1000)PRN AMTPRNCALLDISCRETIONMANAGERSOLESHAREDNONE
51JOB INCSPONSORED ADS31682710417,372249,852SH DFND 249,85200
ACADIA PHARMACEUTICALS INCCOM00422510832619,613SH DFND 19,61300
ACCELERON PHARMA INCCOM00434H10812,21870,996SH DFND 70,99600
ALIBABA GROUP HLDG LTDSPONSORED ADS01609W1022,86119,326SH DFND 19,32600
ALLOT LTDSHSM0854Q1059,180617,742SH DFND 0617,7420
ANTERIX INCCOM03676C10021,654356,738SH DFND 356,73800
APPHARVEST INC*W EXP 01/30/20203783T111675500,000SH DFND 500,00000
ARGENX SESPONSORED ADR04016X1019,81432,498SH DFND 32,49800
BAIDU INCSPON ADR REP A0567521081,59910,400SH DFND 10,40000
BAOZUN INCNOTE 1.625% 5/006684LAB92,8203,000,000PRN DFND 3,000,00000
BERKSHIRE HATHAWAY INC DELCL B NEW08467070213,08647,946SH DFND 47,94600
BEST INCNOTE 1.750%10/008653CAB211,08918,927,000PRN DFND 18,927,00000
BIOMARIN PHARMACEUTICAL INCCOM09061G1013424,429SH DFND 4,42900
CAL MAINE FOODS INCCOM NEW1280302021,93953,613SH DFND 53,61300
CLOVIS ONCOLOGY INCNOTE 4.500% 8/0189464AE013,52015,000,000PRN DFND 15,000,00000
EAGLE BULK SHIPPING INCNOTE 5.000% 8/0269442AB56,9874,850,000PRN DFND 4,850,00000
EURONAV NVSHSB3856410815,3091,568,517SH DFND 1,568,51700
FACEBOOK INCCL A30303M1025,64016,617SH DFND 16,61700
FISKER INCCL A COM STK33813J1063,443235,000SH DFND 235,00000
FISKER INCCL A COM STK33813J1065,860400,000SHPutDFND 400,00000
GDS HLDGS LTDNOTE 2.000% 6/036165LAB415,06011,500,000PRN DFND 11,500,00000
GOLAR LNG LTDNOTE 2.750% 2/138046YAB79961,000,000PRN DFND 1,000,00000
GOLDMAN SACHS GROUP INCCOM38141G10413,51035,739SH DFND 35,73900
GRAY TELEVISION INCCOM3893751066,651291,452SH DFND 291,45200
GRINDROD SHIPPING HOLDINGS LSHSY2889510311,151723,140SH DFND 723,14000
HOME DEPOT INCCOM4370761029,79129,826SH DFND 29,82600
ILLUMINA INCCOM4523271098922,200SH DFND 2,20000
ILLUMINA INCCOM45232710945,023111,000SHCallDFND 111,00000
IMMUNOGEN INCCOM45253H1017,8011,375,900SH DFND 1,375,90000
INSTIL BIO INCCOM45783C1011,76398,644SH DFND 98,64400
IOVANCE BIOTHERAPEUTICS INCCOM46226010016,733678,564SH DFND 678,56400
JD.COM INCSPON ADR CL A47215P1066,96096,348SH DFND 96,34800
JOYY INCNOTE 0.750% 6/198426TAD89461,000,000PRN DFND 1,000,00000
JPMORGAN CHASE & COCOM46625H1008,22750,262SH DFND 50,26200
LIBERTY GLOBAL PLCSHS CL AG5480U1044,020134,900SH DFND 134,90000
LIBERTY LATIN AMERICA LTDCOM CL CG9001E12813,055995,040SH DFND 995,04000
MAKEMYTRIP LIMITED MAURITIUSSHSV5633W10913,615500,730SH DFND 500,73000
MERSANA THERAPEUTICS INCCOM59045L10659162,657SH DFND 62,65700
MICROSTRATEGY INCCL A NEW59497240826,95346,600SHPutDFND 46,60000
MOHAWK INDS INCCOM6081901045,92433,394SH DFND 33,39400
MP MATERIALS CORPCOM CL A553368101648,73820,128,393SH DFND 20,128,39300
NELNET INCCL A64031N1086,29679,460SH DFND 79,46000
NEW YORK TIMES COCL A65011110715,616316,947SH DFND 316,94700
NEXSTAR MEDIA GROUP INCCL A65336K10325,185165,735SH DFND 165,73500
NIO INCNOTE 4.500% 2/062914VAB276,15320,000,000PRN DFND 20,000,00000
NOBLE CORP NEWSHSG6610J2095,006185,000SH DFND 185,00000
QUDIAN INCNOTE 1.000% 7/0747798AB214,57416,670,000PRN DFND 16,670,00000
RHNOTE 6/174967XAA158,20816,948,000PRN DFND 16,948,00000
SAREPTA THERAPEUTICS INCCOM8036071002883,117SH DFND 3,11700
SCULPTOR CAP MGMTCOM CL A8112461072,26181,068SH DFND 81,06800
SEA LTDNOTE 0.250% 9/181141RAG52,0262,000,000PRN DFND 2,000,00000
SELECT SECTOR SPDR TRFINANCIAL81369Y6054,603122,655SH DFND 122,65500
SFL CORPORATION LTDNOTE 4.875% 5/0824689AG83,9923,955,000PRN DFND 3,955,00000
SNOWFLAKE INCCL A8334451092,2387,400SH DFND 7,40000
SPDR S&P 500 ETF TRTR UNIT78462F10322,94953,476SH DFND 53,47600
STRIDE INCNOTE 1.125% 9/086333MAA68,0088,000,000PRN DFND 8,000,00000
TEEKAY TANKERS LTDCL AY8565N3002,669183,700SH DFND 183,70000
TRILLIUM THERAPEUTICS INCCOM NEW89620X5069,997569,333SH DFND 569,33300
VIACOMCBS INCCL B92556H20613,954353,165SH DFND 353,16500
VIPSHOP HOLDINGS LIMITEDSPONSORED ADS A92763W1031,118100,400SH DFND 100,40000
WORKDAY INCNOTE 0.250%10/098138HAF859,14134,500,000PRN DFND 34,500,00000