0001437749-12-001053.txt : 20120203
0001437749-12-001053.hdr.sgml : 20120203
20120203092426
ACCESSION NUMBER: 0001437749-12-001053
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111231
FILED AS OF DATE: 20120203
DATE AS OF CHANGE: 20120203
EFFECTIVENESS DATE: 20120203
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: 12568078
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-123111.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: December 31, 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: 28-14544
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: Vincent Esposito
Title: Chief Compliance Officer
Phone: (617) 575-7102
Signature, Place, and Date of Signing:
/s/ Vincent Esposito Cambridge, MA February 3, 2012
------------------------- -------------------- ----------------
Vincent Esposito 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: 94
Form 13F Information Table Value Total: $85,459 (thousands)
List of Other Included Managers: NONE
-2-
FORM 13F INFORMATION TABLE
FORM 13-F 12/31/2011
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
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
Abbott Laboratories COM 002824100 2935 52193 SH SOLE 52193
Acuity Brands COM 00508Y102 354 6680 SH SOLE 6680
Alaska Communications Systems COM 01167P101 36 12000 SH SOLE 12000
23 7500 SH OTHER 7500
American Intl Group COM 026874784 224 9660 SH SOLE 9660
Apple Computer Inc. COM 037833100 3069 7579 SH SOLE 7579
162 400 SH OTHER 400
Automatic Data Processing Inc. COM 053015103 293 5425 SH SOLE 5425
Banco Santander Centr COM 05964H105 431 57335 SH SOLE 57335
Best Buy Company Inc COM 086516101 1726 73863 SH SOLE 73863
BioMed Realty Trust Inc. COM 09063H107 111 6150 SH SOLE 6150
181 10000 SH OTHER 10000
BlackRock, Inc. COM 09247X101 1720 9648 SH SOLE 9648
Bombardier Inc Cl B US Traded COM 097751200 333 81925 SH SOLE 81925
Bunge Limited COM G16962105 1664 29085 SH SOLE 29085
Canadian Oil Sands Trust US Tr COM 13643E105 233 10235 SH SOLE 10235
CenturyLink COM 156700106 487 13100 SH SOLE 13100
614 16500 SH OTHER 16500
Citigroup, Inc. COM 172967424 198 7525 SH SOLE 7525
Consol Energy Inc. COM 20854P109 1625 44278 SH SOLE 44278
147 4000 SH OTHER 4000
Danaher Corp COM 235851102 1419 30168 SH SOLE 30168
47 1000 SH OTHER 1000
Deere & Company COM 244199105 1695 21918 SH SOLE 21918
364 4700 SH OTHER 4700
Digital Realty Trust Inc. COM 253868103 143 2150 SH SOLE 2150
467 7000 SH OTHER 7000
EV Energy Partners LP COM 26926V107 277 4200 SH SOLE 4200
349 5300 SH OTHER 5300
Enbridge Energy Partners COM 29250R106 229 6900 SH SOLE 6900
398 12000 SH OTHER 12000
Enterprise Products COM 293792107 361 7775 SH SOLE 7775
371 8000 SH OTHER 8000
Exxon Mobil Corp. COM 30231G102 1524 17975 SH SOLE 17975
FedEx Corp COM 31428X106 2106 25223 SH SOLE 25223
42 500 SH OTHER 500
Freeport-McMoRan Copper & Gold COM 35671D857 1865 50698 SH SOLE 50698
74 2000 SH OTHER 2000
Frontier Communications Corp. COM 35906A108 147 28500 SH SOLE 28500
154 30000 SH OTHER 30000
Gamco Global Gold Natural Reso COM 36465A109 1475 104525 SH SOLE 104525
1129 80000 SH OTHER 80000
Gold Miners ETF MV COM 57060U100 2079 40425 SH SOLE 40425
463 9000 SH OTHER 9000
Gold Miners Junior ETF COM 57060U589 215 8700 SH SOLE 8700
358 14500 SH OTHER 14500
Goldman Sachs Group Inc COM 38141G104 386 4270 SH SOLE 4270
Google Inc COM 38259P508 4349 6733 SH SOLE 6733
194 300 SH OTHER 300
HCC Insurance Holding COM 404132102 1216 44205 SH SOLE 44205
Haier Electronics Group Ord HK COM G42313125 236 274000 SH SOLE 274000
Hess Corporation COM 42809H107 1168 20565 SH SOLE 20565
IBM Corp COM 459200101 857 4660 SH SOLE 4660
JPMorgan Chase & Co COM 46625H100 1489 44773 SH SOLE 44773
Johnson & Johnson COM 478160104 920 14025 SH SOLE 14025
Joy Global Inc COM 481165108 1844 24598 SH SOLE 24598
L-3 Communications COM 502424104 1584 23755 SH SOLE 23755
Laboratory Co Amer Hldgs COM 50540R409 1754 20400 SH SOLE 20400
Linn Energy, LLC COM 536020100 624 16450 SH SOLE 16450
1061 28000 SH OTHER 28000
Medco Health Solutions COM 58405U102 951 17018 SH SOLE 17018
Microsoft Corp COM 594918104 2242 86365 SH SOLE 86365
Nabors Industries Ltd COM G6359F103 1017 58635 SH SOLE 58635
National Oilwell Varco Inc. COM 637071101 1380 20302 SH SOLE 20302
Noble Corp COM H5833N103 1600 52950 SH SOLE 52950
Nucor Corporation COM 670346105 461 11645 SH SOLE 11645
Oneok Partners, L.P. COM 68268N103 179 3100 SH SOLE 3100
1074 18600 SH OTHER 18600
Potash Corp /Saskatch COM 73755L107 2633 63794 SH SOLE 63794
103 2500 SH OTHER 2500
Qualcomm Inc. COM 747525103 1934 35363 SH SOLE 35363
164 3000 SH OTHER 3000
Rangold Resources Ltd. COM 752344309 153 1500 SH SOLE 1500
153 1500 SH OTHER 1500
S&P Depositary Receipts SP 500 COM 78462F103 720 5735 SH SOLE 5735
SPDR Gold Trust ETF COM 78463V107 1122 7380 SH SOLE 7380
Sanofi-Aventis ADS COM 80105N105 560 15315 SH SOLE 15315
StoneMor Partners COM 86183Q100 95 4050 SH SOLE 4050
141 6000 SH OTHER 6000
Suncor Energy COM 867224107 1814 62918 SH SOLE 62918
202 7000 SH OTHER 7000
Swiss Gold Shares ETFS Physica COM 26922Y105 1746 11270 SH SOLE 11270
31 200 SH OTHER 200
Teck Resources Ltd Cl B COM 878742204 306 8685 SH SOLE 8685
Teleflex Inc. COM 879369106 1351 22045 SH SOLE 22045
Teva Pharmaceutical Inds COM 881624209 1971 48830 SH SOLE 48830
Total SA COM 89151E109 2522 49337 SH SOLE 49337
Tsingtao Brewery Spons ADR COM 898529102 257 4640 SH SOLE 4640
Visa Inc COM 92826C839 2468 24311 SH SOLE 24311
Vodafone Group plc ADS COM 92857W209 2904 103610 SH SOLE 103610
WPP Group plc COM 92933H101 320 6120 SH SOLE 6120
Windstream Corporation COM 97381W104 181 15400 SH SOLE 15400
352 30000 SH OTHER 30000
Equity Resource Fund XXIV (AI) n 2947669D4 95 95000 SH SOLE 95000
-3-