13G Filing: QVT Financial and pdvWireless, Inc. (PDVW)

(f)

[ ] An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);

(g)

[ ] A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);

(h)

[ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

(i)

[ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

(j)

[ ] A non-U.S. institution in accordance with §240.13d1(b)(1)(ii)(J);

(k)

[ ] Group, in accordance with §240.13d1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with §240.13d1(b)(1)(ii)(J), please specify the type of institution:
.

Item 4.

Ownership.

(a)

Amount beneficially owned:

QVT Financial LP (QVT Financial) is the investment manager for private investment funds (collectively, the Funds). The Funds aggregately beneficially own 864,301 shares of Common Stock. Accordingly, QVT
Financial may be deemed to be the beneficial owner of an aggregate amount of 864,301 shares of Common Stock, consisting of the shares beneficially owned by the Funds.

QVT Financial GP LLC, as General Partner of QVT Financial, may be deemed to beneficially own the same number of shares of Common Stock reported by QVT Financial. QVT Associates GP LLC, as General Partner of the Funds, may be
deemed to beneficially own the aggregate number of shares of Common Stock owned by the Funds, and accordingly, QVT Associates GP LLC may be deemed to be the beneficial owner of an aggregate amount of 864,301 shares of Common Stock.

The percentage disclosed in Item 11 of the Cover Pages for each reporting person is calculated on the basis of 14,291,662 shares of Common Stock outstanding, which was the total number of shares issued and outstanding reported in
the Issuers Quarterly Report on Form 10-Q, for the quarterly period ended December 31, 2015, filed with the Securities and Exchange Commission on February 16, 2016.

(b)

Percent of class:

See Item 11 of the Cover Pages to this Schedule 13G.

(c)

Number of shares as to which the person has:

(i) Sole power to vote or to direct the vote

0

(ii) Shared power to vote or to direct the vote

See item (a) above.

13G Filing: QVT Financial and pdvWireless, Inc. (PDVW)

Published on February 22, 2016 at 1:45 pm by Meena Krishnamsetty in Hedge Funds, News

Page 6 of 9 SEC Filing

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