-----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, Pu7MzftXUUKO7rTqYZyVLP3gg8LusitKOFZEFsb4ggGM/Q/0m8sX3IGGw7znUmfi AsWYvm0E9c/dR9QoMBQdUg== 0001389610-10-000002.txt : 20100513 0001389610-10-000002.hdr.sgml : 20100513 20100513162120 ACCESSION NUMBER: 0001389610-10-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100513 DATE AS OF CHANGE: 20100513 EFFECTIVENESS DATE: 20100513 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 SEC ACT: 1934 Act SEC FILE NUMBER: 028-12402 FILM NUMBER: 10828813 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 1 q1-13f_2010.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: March 31, 2010 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: 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 May 13, 2010 - ----------------- --------------------------- ------------ [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: 91 Form 13F Information Table Value Total: $350,188 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 - --------------------------------------------------------------------------------------------------------------------------------- A D C Telecommunications NOTE 000886AE1 1,643 2,000,000 SH SOLE 01 02 03 04 05 06 07 SOLE Advanced Micro Devices Inc NOTE 007903AL1 5,783 6,000,000 SH SOLE 01 02 03 04 05 06 07 SOLE Alliancebernstein Holding LP UNIT 01881G106 9,272 302,408 sH SOLE 01 02 03 04 05 06 07 SOLE American Capital Agency Corp COM 02503X105 10,457 408,467 SH SOLE 01 02 03 04 05 06 07 SOLE Arcelormittal SA Luxembourg NOTE 03938LAK0 159 100,000 SH SOLE 01 02 03 04 05 06 07 SOLE Ascent Media Corp COM SER A 043632108 6,435 236,131 SH SOLE 01 02 03 04 05 06 07 SOLE CBS Corp New CL B 124857202 37,581 2,695,900 SH SOLE 01 02 03 04 05 06 07 SOLE CenturyTel Inc COM 156700106 3,535 99,699 SH SOLE 01 02 03 04 05 06 07 SOLE Ciena Corp NOTE 171779AE1 680 1,000,000 SH SOLE 01 02 03 04 05 06 07 SOLE Dillards Inc CL A 254067101 9,912 420,000 SH SOLE 01 02 03 04 05 06 07 SOLE Dollar Finl Corp NOTE 256664AB9 46 50,000 SH SOLE 01 02 03 04 05 06 07 SOLE Energy Partners Ltd COM NEW 29270U303 14,229 1,168,231 SH SOLE 01 02 03 04 05 06 07 SOLE Ferro Corp NOTE 315405AL4 2,999 3,100,000 SH SOLE 01 02 03 04 05 06 07 SOLE Ford Mtr Co Del NOTE 345370CN8 1,351 900,000 SH SOLE 01 02 03 04 05 06 07 SOLE Hot Topic Inc COM 441339108 1,300 200,000 SH SOLE 01 02 03 04 05 06 07 SOLE International Coal Grp Inc NOTE 45928HAD8 7,138 6,200,000 SH SOLE 01 02 03 04 05 06 07 SOLE KHD Humboldt Wedag Intl Ltd COM 482462108 233 27,142 sH SOLE 01 02 03 04 05 06 07 SOLE Lexmark Intl New CL A 529771107 3,609 100,031 SH SOLE 01 02 03 04 05 06 07 SOLE Liberty Acquisitions Hldgs COM 53015Y107 9,890 1,000,000 SH SOLE 01 02 03 04 05 06 07 SOLE Market Vectors ETF Tr ETF 57060U100 6,662 150,000 SH SOLE 01 02 03 04 05 06 07 SOLE Market Vectors ETF Tr JR GOLD 57060U589 2,572 100,000 SH SOLE 01 02 03 04 05 06 07 SOLE Micron Technology Inc NOTE 595112AJ2 216 100,000 SH SOLE 01 02 03 04 05 06 07 SOLE Mylan Inc PFD CONV 628530206 4,186 3,078 SH SOLE 01 02 03 04 05 06 07 SOLE National Bk Greece S A ADR SER A 633643507 13,668 600,000 SH SOLE 01 02 03 04 05 06 07 SOLE Penney J C Inc COM 708160106 12,868 400,000 SH SOLE 01 02 03 04 05 06 07 SOLE Sandisk Corp NOTE 80004CAC5 3,823 4,400,000 SH SOLE 01 02 03 04 05 06 07 SOLE SLM Corp COM 78442P106 19,108 1,526,165 SH SOLE 01 02 03 04 05 06 07 SOLE SPDR Series Trust ETF 78464A417 7,926 199,200 SH SOLE 01 02 03 04 05 06 07 SOLE Sprint Nextel Corp COM 852061100 9,500 2,500,000 SH SOLE 01 02 03 04 05 06 07 SOLE Targa Resources Partners LP COM UNIT 87611X105 9,488 357,918 SH SOLE 01 02 03 04 05 06 07 SOLE Telmex Internacional Sab De SPONS ADR 879690105 5,753 298,400 SH SOLE 01 02 03 04 05 06 07 SOLE Teradyne Inc NOTE 880770AE2 435 200,000 SH SOLE 01 02 03 04 05 06 07 SOLE Terra Inds Inc COM 880915103 7,093 155,000 SH SOLE 01 02 03 04 05 06 07 SOLE Transglobe Energy COM 893662106 292 50,000 SH SOLE 01 02 03 04 05 06 07 SOLE USEC Inc 3.00% NOTE 90333EAC2 813 1,000,000 SH SOLE 01 02 03 04 05 06 07 SOLE Wells Fargo & Co New Pfd Cnv A 949746804 14,702 15,048 SH SOLE 01 02 03 04 05 06 07 SOLE Whiting Pete Corp New Pfd Conv 966387201 594 3,000 SH SOLE 01 02 03 04 05 06 07 SOLE Windstream Corp COM 97381W104 3,257 299,094 SH SOLE 01 02 03 04 05 06 07 SOLE Advanced Micro Devices Inc NOTE 007903AL1 771 800,000 SH SOLE 02 03 04 05 06 07 SOLE Aspen Insurance Holdings Ltd SHS G05384105 3,090 107,150 SH SOLE 02 03 04 05 06 07 SOLE Aspen Insurance Holdings Ltd PFD G05384113 994 18,000 SH SOLE 02 03 04 05 06 07 SOLE Banco Santander SA ADR 05964H105 370 27,892 SH SOLE 02 03 04 05 06 07 SOLE Bank Montreal Que COM 063671101 650 10,700 SH SOLE 02 03 04 05 06 07 SOLE Bank of America Corporation COM 060505104 1,038 58,120 SH SOLE 02 03 04 05 06 07 SOLE BCE Inc COM NEW 05534B760 130 4,400 SH SOLE 02 03 04 05 06 07 SOLE Beazer Homes USA Inc NT SUB 07556Q402 1,750 70,000 SH SOLE 02 03 04 05 06 07 SOLE Biovail Corp COM 09067J109 1,489 88,900 SH SOLE 02 03 04 05 06 07 SOLE Bristol Myers Squibb Co COM 110122108 1,439 53,900 SH SOLE 02 03 04 05 06 07 SOLE CBS Corp New CL B 124857202 418 30,000 SH SOLE 02 03 04 05 06 07 SOLE CDN Imperial Bk of Commerce COM 136069101 358 4,900 SH SOLE 02 03 04 05 06 07 SOLE Celestica Inc S VTG SHS 15101Q108 1,482 135,450 SH SOLE 02 03 04 05 06 07 SOLE Ciena Corp NOTE 171779AE1 680 1,000,000 SH SOLE 02 03 04 05 06 07 SOLE Citigroup Inc COM 172967101 1,378 340,145 SH SOLE 02 03 04 05 06 07 SOLE Citigroup Inc UNIT 172967416 2,316 19,000 SH SOLE 02 03 04 05 06 07 SOLE Dillards Inc CL A 254067101 555 23,500 SH SOLE 02 03 04 05 06 07 SOLE Disney Walt Co COM DISNEY 254687106 7,889 226,000 SH SOLE 02 03 04 05 06 07 SOLE Energy Partners Ltd COM NEW 29270U303 521 42,800 SH SOLE 02 03 04 05 06 07 SOLE General Electric Co COM 369604103 781 42,900 SH SOLE 02 03 04 05 06 07 SOLE Genworth Finl Inc COM CL A 37247D106 4,526 246,800 SH SOLE 02 03 04 05 06 07 SOLE Hot Topic Inc COM 441339108 117 18,000 sH SOLE 02 03 04 05 06 07 SOLE Ingersoll-Rand PLC SHS G47791101 4,620 132,500 SH SOLE 02 03 04 05 06 07 SOLE JPMorgan Chase & Co COM 46625H100 877 19,600 SH SOLE 02 03 04 05 06 07 SOLE Keycorp New COM 493267108 850 109,700 SH SOLE 02 03 04 05 06 07 SOLE Keycorp New PFD 493267405 284 3,000 SH SOLE 02 03 04 05 06 07 SOLE KHD Humboldt Wedag Intl Ltd COM 482462108 12 1,428 SH SOLE 02 03 04 05 06 07 SOLE Lexmark Intl New CL A 529771107 253 7,000 SH SOLE 02 03 04 05 06 07 SOLE Lifetime Brands Inc NOTE 53222QAB9 2,635 2,900,000 SH SOLE 02 03 04 05 06 07 SOLE Lilly Eli Co COM 532457108 507 14,000 SH SOLE 02 03 04 05 06 07 SOLE Manulife Finl Corp COM 56501R106 296 15,000 SH SOLE 02 03 04 05 06 07 SOLE Markel Corp COM 570535104 344 918 SH SOLE 02 03 04 05 06 07 SOLE Marshall & Ilsley Corp New COM 571837103 922 114,500 SH SOLE 02 03 04 05 06 07 SOLE Mattel Inc COM 577081102 8,580 377,300 SH SOLE 02 03 04 05 06 07 SOLE Merck & Co Inc New COM 58933Y105 2,042 54,670 SH SOLE 02 03 04 05 06 07 SOLE Montpelier Re Holdings Ltd SHS G62185106 8,302 493,900 SH SOLE 02 03 04 05 06 07 SOLE Old Rep Intl Corp COM 680223104 456 36,000 SH SOLE 02 03 04 05 06 07 SOLE Partnerre Ltd COM G6852T105 9,583 120,200 SH SOLE 02 03 04 05 06 07 SOLE Penney J C Inc COM 708160106 450 14,000 SH SOLE 02 03 04 05 06 07 SOLE Pfizer Inc COM 717081103 5,976 348,500 SH SOLE 02 03 04 05 06 07 SOLE Platinum Underwriter Hldgs COM G7127P100 8,989 242,400 SH SOLE 02 03 04 05 06 07 SOLE Plum Creek Timber Co Inc COM 729251108 1,891 48,600 SH SOLE 02 03 04 05 06 07 SOLE QLT Inc COM 746927102 1,855 361,800 SH SOLE 02 03 04 05 06 07 SOLE Regions Financial Corp New COM 7591EP100 1,293 164,600 SH SOLE 02 03 04 05 06 07 SOLE Sprint Nextel Corp COM SER 1 852061100 380 100,000 SH SOLE 02 03 04 05 06 07 SOLE Sun Life Finl Inc COM 866796105 522 16,200 SH SOLE 02 03 04 05 06 07 SOLE Suntrust Bks Inc COM 867914103 1,107 41,300 SH SOLE 02 03 04 05 06 07 SOLE Transglobe Energy Corp COM 893662106 292 50,000 SH SOLE 02 03 04 05 06 07 SOLE Validus Holdings Ltd COM SHS G9319H102 466 16,900 SH SOLE 02 03 04 05 06 07 SOLE Wells Fargo& Co New COM 949746101 558 17,919 SH SOLE 02 03 04 05 06 07 SOLE Weyerhaeuser Co COM 962166104 319 7,050 SH SOLE 02 03 04 05 06 07 SOLE XL Cap Ltd CL A G98255105 2,232 118,100 SH SOLE 02 03 04 05 06 07 SOLE Zions Bancorporation COM 989701107 1,345 61,533 SH SOLE 02 03 04 05 06 07 SOLE
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