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
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