-----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, Q4XgpXtBtx7xfPjrxbu2uCDgpsD7Bve1VCcJYX6j7q9QVl2jb49hXAcynjTvCyzt i1atbud82rmukbwR+HFM9A== 0001389610-10-000004.txt : 20101110 0001389610-10-000004.hdr.sgml : 20101110 20101110131407 ACCESSION NUMBER: 0001389610-10-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101110 DATE AS OF CHANGE: 20101110 EFFECTIVENESS DATE: 20101110 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: 101179138 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 q3-13f_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: September 30, 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 Nov 10, 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: 92 Form 13F Information Table Value Total: $326,313 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 5,978 6,000,000 SH SOLE 01 02 03 04 05 06 07 SOLE A D C Telecommunications NOTE 000886AF8 3,275 3,300,000 SH SOLE 01 02 03 04 05 06 07 SOLE Airtran Hldgs Inc NOTE 00949P108 6,615 900,000 SH SOLE 01 02 03 04 05 06 07 SOLE Alcon Inc COM SHS H01301102 13,510 81,000 SH SOLE 01 02 03 04 05 06 07 SOLE American Capital Agency Corp COM 02503X105 9,515 358,117 SH SOLE 01 02 03 04 05 06 07 SOLE Americredit Corp COM 03060R101 951 38,869 SH SOLE 01 02 03 04 05 06 07 SOLE Anheuser Busch Inbev SA/NV ADR 03524A108 8,813 150,000 SH SOLE 01 02 03 04 05 06 07 SOLE Apache Corp COM 037411105 831 8,500 SH SOLE 01 02 03 04 05 06 07 SOLE Apple Inc COM 037833100 11,350 40,000 SH SOLE 01 02 03 04 05 06 07 SOLE Ascent Media Corp COM 043632108 5,176 193,781 SH SOLE 01 02 03 04 05 06 07 SOLE Bank of America Corporation PFD 060505682 9,727 9,900 SH SOLE 01 02 03 04 05 06 07 SOLE Burger King Hldgs Inc COM 121208201 2,388 100,000 SH SOLE 01 02 03 04 05 06 07 SOLE Dillards Inc CL A 254067101 12,293 520,000 SH SOLE 01 02 03 04 05 06 07 SOLE Genzyme Corp COM 372917104 3,540 50,000 SH SOLE 01 02 03 04 05 06 07 SOLE Hartford Finl Svcs Group Inc PFD 416515708 6,994 294,000 SH SOLE 01 02 03 04 05 06 07 SOLE Liberty Acquisitions Hldgs COM 53015Y107 18,174 1,766,150 SH SOLE 01 02 03 04 05 06 07 SOLE Market Vectors ETF Tr ETF 57060U100 11,186 200,000 SH SOLE 01 02 03 04 05 06 07 SOLE McAfee Inc COM 579064106 10,563 223,500 SH SOLE 01 02 03 04 05 06 07 SOLE National Bk Greece S A ADR 633643507 2 1,000 SH SOLE 01 02 03 04 05 06 07 SOLE National Bk of Greece S A SPONS ADR 633643408 6,316 315,170 SH SOLE 01 02 03 04 05 06 07 SOLE NBTY Inc COM 628782104 6,391 116,242 SH SOLE 01 02 03 04 05 06 07 SOLE Netezza Corp COM 64111N101 2,695 100,000 SH SOLE 01 02 03 04 05 06 07 SOLE North Amern Palladium Ltd COM 656912102 414 100,000 SH SOLE 01 02 03 04 05 06 07 SOLE Novell Inc COM 670006105 47 7,900 SH SOLE 01 02 03 04 05 06 07 SOLE Pactiv Corp COM 695257105 5,739 174,000 SH SOLE 01 02 03 04 05 06 07 SOLE Potash Corp Sask Inc COM 73755L107 6,470 45,000 SH SOLE 01 02 03 04 05 06 07 SOLE Provident Energy TR TR UNIT 74386K104 10,778 1,514,600 SH SOLE 01 02 03 04 05 06 07 SOLE Psychiatric Solutions Inc COM 74439H108 2,490 74,204 SH SOLE 01 02 03 04 05 06 07 SOLE Sandisk Corp COM 80004C101 12,919 352,500 SH SOLE 01 02 03 04 05 06 07 SOLE Sandisk Corp NOTE 8004CAC5 1,845 2,000,000 SH SOLE 01 02 03 04 05 06 07 SOLE Silver Wheaton Corp COM 828336107 2,003 75,000 SH SOLE 01 02 03 04 05 06 07 SOLE Sonde Res Corp COM 835426107 1,759 580,323 SH SOLE 01 02 03 04 05 06 07 SOLE Wellcare Health Plans Inc COM 94946T106 5 171 SH SOLE 01 02 03 04 05 06 07 SOLE Wells Fargo & Co New Perp Pfd 949746804 15,138 15,048 SH SOLE 01 02 03 04 05 06 07 SOLE Whiting Pete Corp New Perp Pfd 966387201 693 3,000 SH SOLE 01 02 03 04 05 06 07 SOLE Windstream Corp COM 97381W104 3,676 299,094 SH SOLE 01 02 03 04 05 06 07 SOLE Zymogenetics Inc COM 98985T109 3,900 400,000 SH SOLE 01 02 03 04 05 06 07 SOLE Anheuser Busch Inbev SA/NV SPONS ADR 03524A108 670 11,400 SH SOLE 02 03 04 05 06 07 SOLE Apple Inc COM 037833100 936 3,300 SH SOLE 02 03 04 05 06 07 SOLE Aspen Insurance Holdings SHS G05384105 3,199 105,650 SH SOLE 02 03 04 05 06 07 SOLE Aspen Insurance Holdings PFD G05384113 1,006 18,000 SH SOLE 02 03 04 05 06 07 SOLE Banco Santander SA ADR 05964H105 1,407 111,100 SH SOLE 02 03 04 05 06 07 SOLE Bank Montreal Que COM 063671101 1,073 18,500 SH SOLE 02 03 04 05 06 07 SOLE Bank of America Corporation COM 060505104 762 58,120 SH SOLE 02 03 04 05 06 07 SOLE Beazer Homes USA Inc NT SUB 07556Q402 2,265 100,000 SH SOLE 02 03 04 05 06 07 SOLE Bristol Myers Squibb Co COM 110122108 1,570 57,900 SH SOLE 02 03 04 05 06 07 SOLE CDN Imperial Bk of Commerce cOM 136069101 1,164 16,000 SH SOLE 02 03 04 05 06 07 SOLE Celestica Inc SHS 15101Q108 1,340 159,150 SH SOLE 02 03 04 05 06 07 SOLE Citigroup Inc COM 172967101 1,463 375,145 SH SOLE 02 03 04 05 06 07 SOLE Citigroup Inc UNIT 172967416 2,252 19,000 SH SOLE 02 03 04 05 06 07 SOLE Dillards Inc CL A 254067101 1,040 44,000 SH SOLE 02 03 04 05 06 07 SOLE Disney Walt Co COM DISNEY 254687106 1,656 50,000 SH SOLE 02 03 04 05 06 07 SOLE Firstservice Corp SDCV 33761NAA7 547 500,000 SH SOLE 02 03 04 05 06 07 SOLE Flaherty & Crmn/Clymr Pfd COM SHS 338478100 923 55,000 SH SOLE 02 03 04 05 06 07 SOLE General Electric Co COM 369604103 697 42,900 SH SOLE 02 03 04 05 06 07 SOLE Genworth Finl Inc COM CL A 37247D106 3,077 251,800 SH SOLE 02 03 04 05 06 07 SOLE Hartford Finl Svcs Group CONV PFD 416515708 476 20,000 SH SOLE 02 03 04 05 06 07 SOLE Ingersoll-Rand PLC SHS G47791101 4,160 116,500 SH SOLE 02 03 04 05 06 07 SOLE Ishares Silver Trust ISHARES 46428Q109 1,279 60,000 SH SOLE 02 03 04 05 06 07 SOLE JPMorgan Chase & Co COM 46625H100 723 19,000 SH SOLE 02 03 04 05 06 07 SOLE Keycorp New COM 493267108 873 109,700 SH SOLE 02 03 04 05 06 07 SOLE Keycorp New PFD 493267405 322 3,000 SH SOLE 02 03 04 05 06 07 SOLE Kingsway Finl Svcs Inc COM 496904103 203 125,000 SH SOLE 02 03 04 05 06 07 SOLE Level 3 Communications Inc NOTE 52729NBF6 25 25,000 SH SOLE 02 03 04 05 06 07 SOLE Lifetime Brands Inc NOTE 53222QAB9 2,893 2,900,000 SH SOLE 02 03 04 05 06 07 SOLE Lilly Eli Co COM 532457108 511 14,000 SH SOLE 02 03 04 05 06 07 SOLE Manulife Finl Corp COM 56501R106 190 15,000 SH SOLE 02 03 04 05 06 07 SOLE Marshall & Ilsley Corp New COM 571837103 806 114,500 SH SOLE 02 03 04 05 06 07 SOLE Mattel Inc COM 577081102 9,138 389,500 SH SOLE 02 03 04 05 06 07 SOLE Merck & Co Inc New COM 58933Y105 2,123 57,670 SH SOLE 02 03 04 05 06 07 SOLE Montpelier Re Holdings Ltd SHS G62185106 8,508 491,200 SH SOLE 02 03 04 05 06 07 SOLE National Bk Greece S A SPONS ADR 633643408 200 10,000 SH SOLE 02 03 04 05 06 07 SOLE Old Rep Intl Corp COM 680223104 1,413 102,000 SH SOLE 02 03 04 05 06 07 SOLE Oncolytics Biotech Inc COM 682310107 312 65,000 SH SOLE 02 03 04 05 06 07 SOLE Partnerre Ltd COM G6852T105 9,590 119,600 SH SOLE 02 03 04 05 06 07 SOLE Pfizer Inc COM 717081103 6,087 354,500 SH SOLE 02 03 04 05 06 07 SOLE Platinum Underwriter Hldgs COM G7127P100 10,549 242,400 SH SOLE 02 03 04 05 06 07 SOLE Plum Creek Timber Co Inc COM 729251108 1,716 48,600 SH SOLE 02 03 04 05 06 07 SOLE QLT Inc COM 746927102 2,287 361,800 SH SOLE 02 03 04 05 06 07 SOLE Regions Financial Corp New COM 7591EP100 222 164,600 SH SOLE 02 03 04 05 06 07 SOLE San disk Corp NOTE 80004CAC5 830 900,000 SH SOLE 02 03 04 05 06 07 SOLE Seadrill Limited SHS G7945E105 2,229 76,888 SH SOLE 02 03 04 05 06 07 SOLE Silver Wheaton Corp COM 828336107 668 25,000 SH SOLE 02 03 04 05 06 07 SOLE Sun Life Finl Inc COM 866796105 601 22,900 SH SOLE 02 03 04 05 06 07 SOLE Suntrust Bks Inc COM 867914103 1,067 41,300 SH SOLE 02 03 04 05 06 07 SOLE Synovus Finl Corp COM 87161C105 197 80,000 SH SOLE 02 03 04 05 06 07 SOLE Synovus Finl Corp UNIT 87161C204 478 20,000 SH SOLE 02 03 04 05 06 07 SOLE Validus Holdings Ltd COM SHS G9319H102 90 3,400 SH SOLE 02 03 04 05 06 07 SOLE Wells Fargo& Co New COM 949746101 450 17,919 SH SOLE 02 03 04 05 06 07 SOLE Weyerhaeuser Co COM 962166104 19 1,226 SH SOLE 02 03 04 05 06 07 SOLE XL Group PLC COM G98290102 2,558 118,100 SH SOLE 02 03 04 05 06 07 SOLE Zions Bancorporation COM 989701107 1,314 61,533 SH SOLE 02 03 04 05 06 07 SOLE
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