0001437749-11-005969.txt : 20110815 0001437749-11-005969.hdr.sgml : 20110815 20110815091906 ACCESSION NUMBER: 0001437749-11-005969 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110815 DATE AS OF CHANGE: 20110815 EFFECTIVENESS DATE: 20110815 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Knott Asset Management, LLC CENTRAL INDEX KEY: 0001527925 IRS NUMBER: 271791146 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14544 FILM NUMBER: 111033391 BUSINESS ADDRESS: STREET 1: 43 THORNDIKE STREET CITY: CAMBRIDGE STATE: MA ZIP: 02141 BUSINESS PHONE: 617-575-7100 MAIL ADDRESS: STREET 1: 43 THORNDIKE STREET CITY: CAMBRIDGE STATE: MA ZIP: 02141 13F-HR 1 knott_13fhr-063011.txt FORM 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2011 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: Knott Asset Management, LLC Address: 43 Thorndike Street. Cambridge, MA 02141 Form 13F File Number: 28-XXXXX 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. Signing this Report on Behalf of Reporting Manager: Name: Daniel Phipps Title: Chief Operating Officer Phone: (617) 575-7103 Signature, Place, and Date of Signing: /s/ Daniel Phipps Cambridge, MA August 15, 2011 ------------------------- -------------------- ----------------- Daniel Phipps City, State Date Report Type: [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: NONE FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 66 Form 13F Information Table Value Total: $142,344 (thousands) List of Other Included Managers: NONE -2- FORM 13F INFORMATION TABLE FORM 13-F 06/30/2011 REPORTING MANAGER: KNOTT ASSET MANAGEMENT, LLC FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AT&T Inc. COM 00206R102 5556 176882 SH SOLE 176882 Abbott Laboratories COM 002824100 5865 111467 SH SOLE 111467 Alaska Communications Systems COM 01167P101 84 9500 SH SOLE 9500 67 7500 SH OTHER 7500 Apple Computer Inc. COM 037833100 6633 19761 SH SOLE 19761 336 1000 SH OTHER 1000 Best Buy Company Inc COM 086516101 5273 167865 SH SOLE 167865 BlackRock, Inc. COM 09247X101 4283 22330 SH SOLE 22330 67 350 SH OTHER 350 Bunge Limited COM G16962105 4450 64545 SH SOLE 64545 Carnival Corp COM 143658300 4563 121260 SH SOLE 121260 132 3500 SH OTHER 3500 CenturyLink COM 156700106 461 11400 SH SOLE 11400 647 16000 SH OTHER 16000 Consol Energy Inc. COM 20854P109 4783 98660 SH SOLE 98660 97 2000 SH OTHER 2000 Danaher Corp COM 235851102 3060 57752 SH SOLE 57752 411 7750 SH OTHER 7750 Digital Realty Trust Inc. COM 253868103 31 500 SH SOLE 500 309 5000 SH OTHER 5000 Enbridge Energy Partners COM 29250R106 245 8150 SH SOLE 8150 361 12000 SH OTHER 12000 Enterprise Products Part LP COM 293792107 332 7675 SH SOLE 7675 346 8000 SH OTHER 8000 Exxon Mobil Corp. COM 30231G102 6618 81324 SH SOLE 81324 FedEx Corp COM 31428X106 4471 47140 SH SOLE 47140 95 1000 SH OTHER 1000 Frontier Communications Co COM 35906A108 190 23500 SH SOLE 23500 242 30000 SH OTHER 30000 Gabelli Glo Gold Nat Res Inc COM 36244N109 1685 94825 SH SOLE 94825 1422 80000 SH OTHER 80000 Gilead Sciences Inc COM 375558103 3950 95379 SH SOLE 95379 Gold Miners ETF MV COM 57060U100 4508 82575 SH SOLE 82575 491 9000 SH OTHER 9000 Gold Miners Junior ETF COM 57060U589 2487 72130 SH SOLE 72130 500 14500 SH OTHER 14500 Goldman Sachs Group Inc COM 38141G104 5260 39521 SH SOLE 39521 Google Inc COM 38259P508 5829 11511 SH SOLE 11511 329 650 SH OTHER 650 GreenHaven Contin. Commodity COM 395258106 218 6500 SH OTHER 6500 Hewlett Packard Co COM 428236103 2752 75618 SH SOLE 75618 Inergy LP COM 456615103 253 7150 SH SOLE 7150 JPMorgan Chase & Co COM 46625H100 3969 96946 SH SOLE 96946 Landstar System Inc. COM 515098101 3764 80975 SH SOLE 80975 139 3000 SH OTHER 3000 Linn Energy, LLC COM 536020100 604 15450 SH SOLE 15450 1094 28000 SH OTHER 28000 Medco Health Solutions COM 58405U102 1974 34930 SH SOLE 34930 Microsoft Corp COM 594918104 4863 187034 SH SOLE 187034 Nabors Industries Ltd. COM G6359F103 3322 134840 SH SOLE 134840 Noble Corp COM H5833N103 3659 92841 SH SOLE 92841 Oneok Partners, L.P. COM 68268N103 107 1250 SH SOLE 1250 793 9300 SH OTHER 9300 Potash Corp /Saskatch COM 73755L107 2910 51060 SH SOLE 51060 Qualcomm Inc. COM 747525103 4247 74790 SH SOLE 74790 131 2315 SH OTHER 2315 Rangold Resources Ltd. COM 752344309 97 1150 SH SOLE 1150 126 1500 SH OTHER 1500 Suncor Energy COM 867224107 5083 129995 SH SOLE 129995 239 6125 SH OTHER 6125 Teva Pharmaceutical Inds COM 881624209 4475 92794 SH SOLE 92794 Total SA COM 89151E109 4304 74417 SH SOLE 74417 318 5500 SH OTHER 5500 Visa Inc COM 92826C839 5867 69627 SH SOLE 69627 Windstream Corporation COM 97381W104 180 13900 SH SOLE 13900 389 30000 SH OTHER 30000
-3-