-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Vgl1ugZHsHSmZYttDTRHNi7vIG9/RTeHzPrGHMHzgbTxXyq55z8JSG3ma0Pt7Crr PSkWQgPXgYEcBzUwGVF+4w== 0001389610-09-000039.txt : 20091120 0001389610-09-000039.hdr.sgml : 20091120 20091120132533 ACCESSION NUMBER: 0001389610-09-000039 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091120 DATE AS OF CHANGE: 20091120 EFFECTIVENESS DATE: 20091120 FILER: COMPANY DATA: COMPANY CONFORMED NAME: VERTEX ONE ASSET MANAGEMENT INC. CENTRAL INDEX KEY: 0001389610 IRS NUMBER: 000000000 STATE OF INCORPORATION: A1 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-12402 FILM NUMBER: 091198020 BUSINESS ADDRESS: STREET 1: 1920-1177 WEST HASTINGS STREET CITY: VANCOUVER STATE: A1 ZIP: V6E 2K3 BUSINESS PHONE: 604-681-5787 MAIL ADDRESS: STREET 1: 1920-1177 WEST HASTINGS STREET CITY: VANCOUVER STATE: A1 ZIP: V6E 2K3 13F-HR/A 1 q3-13f_2009b.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2009 Check Here if Amendment |X|; Amendment Number: 1 This Amendment (Check only one.):|X| is a restatement. |_| adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Vertex One Asset Management Inc. Address: 1920-1177 West Hastings Street Vancouver, British Columbia V6E 2K3 Form 13F File Number: 028-12402 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: Jeffrey D. McCord Title: Managing Director Phone: 604-681-5787 Signature, Place, and Date of Signing: Jeffrey D. McCord Vancouver, British Columbia November 16, 2009 - ----------------- --------------------------- ------------ [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 [If there are no entries in this list, omit this section.] FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: Seven Form 13F Information Table Entry Total: 71 Form 13F Information Table Value Total: $361,251 USD (in thousands) 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.] No. Form 13F File Number Name 01 028-12401 Vertex Fund 02 028-12398 Rocky Mountain Investments Ltd. 03 028-12399 Simkor Investments Ltd. 04 028-12406 589321 BC Ltd. 05 028-12408 Jeffrey McCord 06 028-12407 John Thiessen 07 028-12403 Matthew Wood
TITLE OF VALUE X PRN SH/ PUT/ INVST OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP ($1,000) AMT PUT CALL DISCR MANAGERS SOLE SHARED NONE - --------------------------------------------------------------------------------------------------------------------------------- Advanced Micro Devices Inc NOTE 007903AL1 3,015 4,000,000 SH SOLE 01 02 03 04 05 06 07 SOLE Affiliated Computer Services CL A 008190100 3,548 65,500 SH SOLE 01 02 03 04 05 06 07 SOLE Arcelormittal SA Luxembourg NOTE 03938LAK0 145 100,000 SH SOLE 01 02 03 04 05 06 07 SOLE Ascent Media Corp COM SER A 043632108 6,063 236,853 SH SOLE 01 02 03 04 05 06 07 SOLE Bank of America Corporation COM 060505104 36,836 2,177,090 SH SOLE 01 02 03 04 05 06 07 SOLE BHP Billiton Ltd Spons ADR 088606108 8,265 150,000 SH SOLE 01 02 03 04 05 06 07 SOLE Cadence Design System Inc NOTE 127387AF5 6,061 7,600,000 SH SOLE 01 02 03 04 05 06 07 SOLE CBS Corp New CL B 124857202 37,368 3,101,100 SH SOLE 01 02 03 04 05 06 07 SOLE CenturyTel Inc COM 156700106 3,360 100,000 SH SOLE 01 02 03 04 05 06 07 SOLE Compton Pete Corp COM 204940100 3,600 2,780,000 SH SOLE 01 02 03 04 05 06 07 SOLE Dillards Inc CL A 254067101 1,058 75,000 SH SOLE 01 02 03 04 05 06 07 SOLE Dollar Finl Corp NOTE 256664AB9 2,755 3,350,000 SH SOLE 01 02 03 04 05 06 07 SOLE Echostar Corp CL A 278768106 1,846 100,000 SH SOLE 01 02 03 04 05 06 07 SOLE Great Plains Energy Inc UNIT 391164803 159 2,500 SH SOLE 01 02 03 04 05 06 07 SOLE Huntsman Corp COM 447011107 913 100,176 SH SOLE 01 02 03 04 05 06 07 SOLE IAC Interactivecorp COM PAR 44919P508 541 26,799 SH SOLE 01 02 03 04 05 06 07 SOLE International Coal Grp Inc NOTE 45928HAD8 7,713 7,200,000 SH SOLE 01 02 03 04 05 06 07 SOLE Invesco Ltd SHS G491BT108 13,321 585,276 SH SOLE 01 02 03 04 05 06 07 SOLE Ishares TR High Yld 464288513 12,117 140,328 SH SOLE 01 02 03 04 05 06 07 SOLE Keycorp New COM 493267108 6,656 1,023,970 SH SOLE 01 02 03 04 05 06 07 SOLE Lexmark Intl New CL A 529771107 2,161 100,334 SH SOLE 01 02 03 04 05 06 07 SOLE Liberty Media Corp New Ser A 53071M500 7,778 250,000 SH SOLE 01 02 03 04 05 06 07 SOLE Merck & Co Inc COM 589331107 15,654 494,919 SH SOLE 01 02 03 04 05 06 07 SOLE Metavante Technologies Inc COM 591407101 2,376 68,900 SH SOLE 01 02 03 04 05 06 07 SOLE Micron Technology Inc NOTE 595112AJ2 177 100,000 SH SOLE 01 02 03 04 05 06 07 SOLE Mylan Inc PFD CONV 628530206 4,223 4,078 SH SOLE 01 02 03 04 05 06 07 SOLE Natco Group Inc CL A 63227W203 3,886 87,764 SH SOLE 01 02 03 04 05 06 07 SOLE Rogers Communications Inc CL B 775109200 1,408 50,000 SH SOLE 01 02 03 04 05 06 07 SOLE Sandisk Corp NOTE 80004CAC5 13,616 17,400,000 SH SOLE 01 02 03 04 05 06 07 SOLE Seahawk Drilling Inc COM 81201R107 1,555 50,000 SH SOLE 01 02 03 04 05 06 07 SOLE SLM Corp COM 78442P106 18,627 2,136,156 SH SOLE 01 02 03 04 05 06 07 SOLE Specialty Underwriters Allia COM 84751T309 473 71,668 SH SOLE 01 02 03 04 05 06 07 SOLE Sun Microsystems Inc COM NEW 866810203 12,081 1,329,075 SH SOLE 01 02 03 04 05 06 07 SOLE Take-Two Interactive Softwar NOTE 874054AA7 317 250,000 SH SOLE 01 02 03 04 05 06 07 SOLE Targa Resources Partners LP COM UNIT 87611X105 10,116 539,246 SH SOLE 01 02 03 04 05 06 07 SOLE Teradyne Inc NOTE 880770AE2 370 200,000 SH SOLE 01 02 03 04 05 06 07 SOLE Varian Inc COM 922206107 5,106 100,000 SH SOLE 01 02 03 04 05 06 07 SOLE Wells Fargo & Co NEW PFD CNV A 949746804 13,438 15,048 SH SOLE 01 02 03 04 05 06 07 SOLE Advanced Micro Devices Inc NOTE 007903AL1 377 500,000 SH SOLE 02 03 04 05 06 07 SOLE Aspen Insurance Holdings Ltd SHS G05384105 2,647 100,000 SH SOLE 02 03 04 05 06 07 SOLE Banco Santander SA ADR 05964H105 450 27,892 SH SOLE 02 03 04 05 06 07 SOLE Bank of America Corporation COM 060505104 919 54,320 SH SOLE 02 03 04 05 06 07 SOLE Biovail Corp COM 09067J109 1,154 75,000 SH SOLE 02 03 04 05 06 07 SOLE Bristol Myers Squibb Co COM 110122108 784 34,800 SH SOLE 02 03 04 05 06 07 SOLE Celestica Inc SHS 15101Q108 950 100,000 SH SOLE 02 03 04 05 06 07 SOLE Citigroup Inc COM 172967101 1,519 313,845 SH SOLE 02 03 04 05 06 07 SOLE Disney Walt Co COM DISNEY 254687106 6,181 225,100 SH SOLE 02 03 04 05 06 07 SOLE Fairfax Finl Hldgs Ltd SUB VTG 303901102 12,229 33,000 SH SOLE 02 03 04 05 06 07 SOLE General Electric Co COM 369604103 673 41,000 SH SOLE 02 03 04 05 06 07 SOLE Genworth Finl Inc COM CL A 37247D106 2,916 244,000 SH SOLE 02 03 04 05 06 07 SOLE HSBC Hldgs PLC SPON ADR 404280406 731 12,750 SH SOLE 02 03 04 05 06 07 SOLE Ingersoll-Rand Company Ltd CL A G4776G101 5,370 175,100 SH SOLE 02 03 04 05 06 07 SOLE Johnson & Johnson COM 478160104 6,497 106,700 SH SOLE 02 03 04 05 06 07 SOLE JPMorgan & Chase & Co COM 46625H100 833 19,000 SH SOLE 02 03 04 05 06 07 SOLE Keycorp New COM 493267108 618 95,000 SH SOLE 02 03 04 05 06 07 SOLE Markel Corp COM 570535104 303 918 SH SOLE 02 03 04 05 06 07 SOLE Marshall & Ilsley Corp New COM 571837103 807 100,000 SH SOLE 02 03 04 05 06 07 SOLE Mattel Inc COM 577081102 6,892 373,300 SH SOLE 02 03 04 05 06 07 SOLE Montpelier Re Holdings Ltd COM G62185106 7,791 477,400 SH SOLE 02 03 04 05 06 07 SOLE Partnerre Ltd COM G6852T105 8,887 115,500 SH SOLE 02 03 04 05 06 07 SOLE Pfizer Inc COM 717081103 5,261 317,900 SH SOLE 02 03 04 05 06 07 SOLE Platinum Underwriter Hldgs COM G7127P100 8,487 236,800 SH SOLE 02 03 04 05 06 07 SOLE Plum Creek Timber Co Inc COM 729251108 914 29,840 SH SOLE 02 03 04 05 06 07 SOLE QLT Inc COM 746927102 1,216 330,000 SH SOLE 02 03 04 05 06 07 SOLE Regions Financial Corp New COM 7591EP100 932 150,000 SH SOLE 02 03 04 05 06 07 SOLE Rockwell Automation Inc COM 773903109 980 23,000 SH SOLE 02 03 04 05 06 07 SOLE Schering Plough Corp COM 806605101 1,542 54,600 SH SOLE 02 03 04 05 06 07 SOLE Suntrust Bks Inc COM 867914103 879 39,000 SH SOLE 02 03 04 05 06 07 SOLE Wells Fargo& Co New COM 949746101 505 17,919 SH SOLE 02 03 04 05 06 07 SOLE XL Cap Ltd CL A G98255105 1,856 106,300 SH SOLE 02 03 04 05 06 07 SOLE Zions Bancorporation COM 989701107 449 25,000 SH SOLE 02 03 04 05 06 07 SOLE
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