-----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, RZwVRTxkZ86lfSysyx/2Tu42h8Nbr09Wv3pIYOlrbptSbEGaRhVkjvb8pf+nkE1G 11oWzJPWyhRDgRytlC4dlg== 0001047469-08-006559.txt : 20080514 0001047469-08-006559.hdr.sgml : 20080514 20080514114202 ACCESSION NUMBER: 0001047469-08-006559 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080331 FILED AS OF DATE: 20080514 DATE AS OF CHANGE: 20080514 EFFECTIVENESS DATE: 20080514 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KNOTT DAVID M CENTRAL INDEX KEY: 0000808722 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03121 FILM NUMBER: 08830260 MAIL ADDRESS: STREET 1: 485 UNDERHILL BLVD STREET 2: STE 205 CITY: SYOSSET STATE: NY ZIP: 11791-3419 13F-HR 1 a2185777z13f-hr.txt FORM 13F-HR ---------------------------- | OMB APPROVAL | |----------------------------| | OMB Number: 3235-0006 | | Expires: October 31, 2000 | | Estimated average | | burden hours | | per response.......24.7 | ---------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2008 ----------------------- 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: David M. Knott ------------------------------- Address: 485 Underhill Boulevard ------------------------------- Suite 205 ------------------------------- Syosset, NY 11791 ------------------------------- Form 13F File Number: 28-03121 --------------------- 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: David M. Knott ------------------------------- Title: Investment Manager ------------------------------- Phone: (516) 364-0303 ------------------------------- Signature, Place, and Date of Signing: /s/ David M. Knott Syosset, New York May 13, 2008 ------------------------------- ----------------- -------------- [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).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 -------------------- Form 13F Information Table Entry Total: 391 -------------------- Form 13F Information Table Value Total: $ 2,189,354 -------------------- (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. Dorset Management Corporation ("Dorset")
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ 2020 Chinacap Acquirco, Inc. Common 90212G208 638000 85,000 SH OTHER Dorset 85,000 2020 Chinacap Acquirco, Inc. Common 90212G208 2,418,220 322,000 SH DEFINED Dorset 322,000 2020 Chinacap Acquirco, Inc. Common 90212G208 111,148 14,800 SH DEFINED Dorset 14,800 2020 Chinacap Acquirco, Inc. Common 90212G208 24,032 3,200 SH DEFINED Dorset 3,200 Allied Capital Corporation Common 01903Q108 460,750 25,000 SH OTHER Dorset 25,000 Alpha Security Group Corporation Common 02078A209 5,413,986 562,200 SH DEFINED Dorset 562,200 Alpha Security Group Corporation Common 02078A209 294,678 30,600 SH DEFINED Dorset 30,600 Alpha Security Group Corporation Common 02078A209 69,336 7,200 SH DEFINED Dorset 7,200 Alphatec Holdings, Inc. Common 02081G102 5,186,132 1,033,094 SH DEFINED Dorset 1,033,094 Alphatec Holdings, Inc. Common 02081G102 240,107 47,830 SH DEFINED Dorset 47,830 Alphatec Holdings, Inc. Common 02081G102 52,308 10,420 SH DEFINED Dorset 10,420 American Eagle Outfitters Common 02553E106 1,877,000 107,181 SH OTHER Dorset 107,181 American Express Common 025816109 2,222,000 50,832 SH OTHER Dorset 50,832 American Express @ 50 exp 1/17/09 Common 025816109 571,000 1,409 SH OTHER Dorset 1,409 American International Group Inc. Common 026874107 134,075 3,100 SH OTHER 3,100 American International Group Inc. Common 026874107 648,750 15,000 SH SOLE 15,000 American International Group Inc. Common 026874107 48,046,165 1,110,894 SH DEFINED Dorset 1,110,894 American International Group Inc. Common 026874107 4,549,900 105,200 SH DEFINED Dorset 105,200 American International Group Inc. Common 026874107 627,125 14,500 SH DEFINED Dorset 14,500 Amerityre Corporation Common 03073V107 102,414 50,700 SH DEFINED Dorset 50,700 Amerityre Corporation Common 03073V107 4,646 2,300 SH DEFINED Dorset 2,300 Amerityre Corporation Common 03073V107 1,010 500 SH DEFINED Dorset 500 Anadarko Petroleum Corporation Common 032511107 226,908 3,600 SH OTHER 3,600 Anadarko Petroleum Corporation Common 032511107 693,330 11,000 SH SOLE 11,000 Anadarko Petroleum Corporation Common 032511107 126,324,726 2,004,200 SH DEFINED Dorset 2,004,200 Anadarko Petroleum Corporation Common 032511107 101,976,237 1,617,900 SH DEFINED Dorset 1,617,900 Anadarko Petroleum Corporation Common 032511107 1,663,992 26,400 SH DEFINED Dorset 26,400 Arcade Acquisition Corporation Common 038798203 574,000 75,000 SH OTHER Dorset 75,000 Arcade Acquisition Corporation Common 038798203 2,167,245 283,300 SH DEFINED Dorset 283,300 Arcade Acquisition Corporation Common 038798203 97,920 12,800 SH DEFINED Dorset 12,800 Arcade Acquisition Corporation Common 038798203 29,835 3,900 SH DEFINED Dorset 3,900 Aristotle Corp. Common 040448201 35,287 3,380 SH DEFINED Dorset 3,380 Ascend Acquisition Corportation Common 04350H100 753,000 130,300 SH OTHER Dorset 130,300 Ascend Acquisition Corportation Common 04350H100 1,677,934 290,300 SH DEFINED Dorset 290,300 Ascend Acquisition Corportation Common 04350H100 167,620 29,000 SH DEFINED Dorset 29,000 Ascend Acquisition Corportation Common 04350H100 10,982 1,900 SH DEFINED Dorset 1,900 Aveta, Inc. Common 05365U101 2,771,000 554,200 SH DEFINED Dorset 554,200 Aveta, Inc. Common 05365U101 118,000 23,600 SH DEFINED Dorset 23,600 Aveta, Inc. Common 05365U101 35,000 7,000 SH DEFINED Dorset 7,000 Baker Hughes Incorporated Common 057224107 71,925,000 1,050,000 SH DEFINED Dorset 1,050,000 Bear Stearns Companies Inc. Common 073902108 3,390,368 323,200 SH DEFINED Dorset 323,200 Bear Stearns Companies Inc. Common 073902108 318,896 30,400 SH DEFINED Dorset 30,400 Bear Stearns Companies Inc. Common 073902108 43,009 4,100 SH DEFINED Dorset 4,100 Beazer Homes USA, Inc. Common 07556Q105 472,500 50,000 SH OTHER Dorset 50,000
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ Beazer Homes USA, Inc. Common 07556Q105 5,658,660 598,800 SH DEFINED Dorset 598,800 Beazer Homes USA, Inc. Common 07556Q105 314,685 33,300 SH DEFINED Dorset 33,300 Beazer Homes USA, Inc. Common 07556Q105 45,360 4,800 SH DEFINED Dorset 4,800 Blockbuster Inc.- Class B Common 093679207 7,815,156 2,742,160 SH DEFINED Dorset 2,742,160 Blockbuster Inc.- Class B Common 093679207 670,320 235,200 SH DEFINED Dorset 235,200 Blockbuster Inc.- Class B Common 093679207 79,515 27,900 SH DEFINED Dorset 27,900 Blockbuster, Inc. Common 093679108 11,037,708 3,385,800 SH DEFINED Dorset 3,385,800 Blockbuster, Inc. Common 093679108 843,362 258,700 SH DEFINED Dorset 258,700 Blockbuster, Inc. Common 093679108 138,550 42,500 SH DEFINED Dorset 42,500 Bristow Group, Inc. Common 110394103 15,408,657 287,100 SH DEFINED Dorset 287,100 Bristow Group, Inc. Common 110394103 826,518 15,400 SH DEFINED Dorset 15,400 Bristow Group, Inc. Common 110394103 171,744 3,200 SH DEFINED Dorset 3,200 Butler International, Inc. Common 123649105 1,255,020 965,400 SH DEFINED Dorset 965,400 Butler International, Inc. Common 123649105 102,570 78,900 SH DEFINED Dorset 78,900 Butler International, Inc. Common 123649105 9,750 7,500 SH DEFINED Dorset 7,500 Cabot Oil & Gas Corporation Common 127097103 11,693,200 230,000 SH DEFINED Dorset 230,000 Callidus Software Common 13123E500 8,544,580 1,776,420 SH DEFINED Dorset 1,776,420 Callidus Software Common 13123E500 400,048 83,170 SH DEFINED Dorset 83,170 Callidus Software Common 13123E500 86,099 17,900 SH DEFINED Dorset 17,900 Canadian Natural Resources Ltd. Common 136385101 354,952 5,200 SH OTHER 5,200 Canadian Natural Resources Ltd. Common 136385101 982,944 14,400 SH SOLE 14,400 Canadian Natural Resources Ltd. Common 136385101 190,079,900 2,777,200 SH DEFINED Dorset 2,777,200 Canadian Natural Resources Ltd. Common 136385101 84,851,525 1,239,740 SH DEFINED Dorset 1,239,740 Canadian Natural Resources Ltd. Common 136385101 2,505,014 36,600 SH DEFINED Dorset 36,600 CapitolOne Common 14040H105 88,695 1,802 SH SOLE 1,802 Cepheid, Inc. Common 15670R107 18,736,398 768,200 SH DEFINED Dorset 768,200 Cepheid, Inc. Common 15670R107 753,651 30,900 SH DEFINED Dorset 30,900 Cepheid, Inc. Common 15670R107 107,316 4,400 SH DEFINED Dorset 4,400 Cerus Corporation Common 157085101 12,052,145 2,088,760 SH DEFINED Dorset 2,088,760 Cerus Corporation Common 157085101 556,805 96,500 SH DEFINED Dorset 96,500 Cerus Corporation Common 157085101 121,170 21,000 SH DEFINED Dorset 21,000 Charlotte Russe Holdings Inc. Common 161048103 1,853,000 106,875 SH DEFINED Dorset 106,875 Chevron Corporation Common 166764100 64,020,000 750,000 SH DEFINED Dorset 750,000 China Discovery Aquisition Corp Common G2112B125 363,000 49,000 SH OTHER Dorset 49,000 China Discovery Aquisition Corp Common G2112B125 1,374,180 185,700 SH DEFINED Dorset 185,700 China Discovery Aquisition Corp Common G2112B125 62,160 8,400 SH DEFINED Dorset 8,400 China Discovery Aquisition Corp Common G2112B125 14,060 1,900 SH DEFINED Dorset 1,900 China Finance Online Co. Ltd. Common 169379104 417,000 30,000 SH OTHER Dorset 30,000 China Finance Online Co. Ltd. Common 169379104 657,470 47,300 SH DEFINED Dorset 47,300 China Finance Online Co. Ltd. Common 169379104 30,580 2,200 SH DEFINED Dorset 2,200 China Finance Online Co. Ltd. Common 169379104 6,950 500 SH DEFINED Dorset 500 China Fortune Acquisition Corp. Common G21098127 1,002,000 120,000 SH OTHER Dorset 120,000 China Fortune Acquisition Corp. Common G21098127 3,798,415 454,900 SH DEFINED Dorset 454,900 China Fortune Acquisition Corp. Common G21098127 172,010 20,600 SH DEFINED Dorset 20,600
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ China Fortune Acquisition Corp. Common G21098127 37,575 4,500 SH DEFINED Dorset 4,500 China Holdings Acquistion Corp. Common 16942N205 8,767,368 946,800 SH DEFINED Dorset 946,800 China Holdings Acquistion Corp. Common 16942N205 404,662 43,700 SH DEFINED Dorset 43,700 China Holdings Acquistion Corp. Common 16942N205 87,970 9,500 SH DEFINED Dorset 9,500 China Opportunity Acquisition Corp. Common 16941S205 676,000 100,000 SH OTHER Dorset 100,000 China Opportunity Acquisition Corp. Common 16941S205 2,562,716 379,100 SH DEFINED Dorset 379,100 China Opportunity Acquisition Corp. Common 16941S205 108,836 16,100 SH DEFINED Dorset 16,100 China Opportunity Acquisition Corp. Common 16941S205 32,448 4,800 SH DEFINED Dorset 4,800 Chinagrowth North Acquisiton Common G21116119 747,000 100,000 SH OTHER Dorset 100,000 Chinagrowth North Acquisiton Common G21116119 2,804,238 375,400 SH DEFINED Dorset 375,400 Chinagrowth North Acquisiton Common G21116119 148,653 19,900 SH DEFINED Dorset 19,900 Chinagrowth North Acquisiton Common G21116119 35,109 4,700 SH DEFINED Dorset 4,700 Chinagrowth North Acquisiton Common G21116127 27,000 38,500 SH Call OTHER Dorset 38,500 Chinagrowth North Acquisiton Common G21116127 93,870 134,100 SH Call DEFINED Dorset 134,100 Chinagrowth North Acquisiton Common G21116127 3,990 5,700 SH Call DEFINED Dorset 5,700 Chinagrowth North Acquisiton Common G21116127 1,190 1,700 SH Call DEFINED Dorset 1,700 Chinagrowth South Acquisiton Common G21117109 744,000 100,000 SH OTHER Dorset 100,000 Chinagrowth South Acquisiton Common G21117109 2,792,976 375,400 SH DEFINED Dorset 375,400 Chinagrowth South Acquisiton Common G21117109 148,056 19,900 SH DEFINED Dorset 19,900 Chinagrowth South Acquisiton Common G21117109 34,968 4,700 SH DEFINED Dorset 4,700 Chinagrowth South Acquisiton Common G21117117 14,000 21,000 SH Call OTHER Dorset 21,000 Chinagrowth South Acquisiton Common G21117117 50,864 74,800 SH Call DEFINED Dorset 74,800 Chinagrowth South Acquisiton Common G21117117 2,176 3,200 SH Call DEFINED Dorset 3,200 Chinagrowth South Acquisiton Common G21117117 680 1,000 SH Call DEFINED Dorset 1,000 Citizens Community Bancorp Inc. Common 174903104 408,000 50,000 SH DEFINED Dorset 50,000 Citizens Community Bancorp Inc. Common 174903104 81,600 10,000 SH OTHER 10,000 Citizens Community Bancorp Inc. Common 174903104 122,400 15,000 SH SOLE 15,000 Columbia Laboratories Inc. Common 197779101 1,278 600 SH OTHER 600 Columbia Laboratories Inc. Common 197779101 6,469,008 3,037,093 SH DEFINED Dorset 3,037,093 Columbia Laboratories Inc. Common 197779101 298,200 140,000 SH DEFINED Dorset 140,000 Corgi International Ltd. Common 21872Q202 1,541,260 975,481 SH DEFINED Dorset 975,481 Corgi International Ltd. Common 21872Q202 76,788 48,600 SH DEFINED Dorset 48,600 Corgi International Ltd. Common 21872Q202 17,010 10,766 SH DEFINED Dorset 10,766 Crucell NV Common 228769105 24,697,607 1,602,700 SH DEFINED Dorset 1,602,700 Crucell NV Common 228769105 1,371,490 89,000 SH DEFINED Dorset 89,000 Crucell NV Common 228769105 248,101 16,100 SH DEFINED Dorset 16,100 CVS Corporation Common 126650100 15,102,930 372,820 SH DEFINED Dorset 372,820 CVS Corporation Common 126650100 468,215 11,558 SH DEFINED Dorset 11,558 Deckers Outdoor Corporation Common 243537107 1,617,300 15,000 SH OTHER Dorset 15,000 Deckers Outdoor Corporation Common 243537107 8,560,908 79,400 SH DEFINED Dorset 79,400 Deckers Outdoor Corporation Common 243537107 495,972 4,600 SH DEFINED Dorset 4,600 Deckers Outdoor Corporation Common 243537107 107,820 1,000 SH DEFINED Dorset 1,000 Devon Energy Corp. Common 25179M103 41,732,000 400,000 SH DEFINED Dorset 400,000 Discover Financial Services Common 254709108 2,632,000 160,771 SH DEFINED Dorset 160,771
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ Dyadic International Inc. Common 26745T101 278,291 1,070,350 SH DEFINED Dorset 1,070,350 Dyadic International Inc. Common 26745T101 14,911 57,350 SH DEFINED Dorset 57,350 Dyadic International Inc. Common 26745T101 3,523 13,550 SH DEFINED Dorset 13,550 Eagle Materials Inc. Common 26969P108 8,105 228 SH OTHER 228 Eagle Materials Inc. Common 26969P108 4,987,665 140,300 SH DEFINED Dorset 140,300 Eagle Materials Inc. Common 26969P108 284,400 8,000 SH DEFINED Dorset 8,000 Eagle Materials Inc. Common 26969P108 60,435 1,700 SH DEFINED Dorset 1,700 EchoStar Corp. Common 278768106 4,768,000 161,400 SH OTHER Dorset 161,400 EchoStar Corp. Common 278768106 16,386,724 554,730 SH DEFINED Dorset 554,730 EchoStar Corp. Common 278768106 998,452 33,800 SH DEFINED Dorset 33,800 EchoStar Corp. Common 278768106 215,642 7,300 SH DEFINED Dorset 7,300 EnCana Corp. Common 292505104 83,287,521 1,093,500 SH DEFINED Dorset 1,093,500 Encore Acquisition Company Common 29255W100 3,423,800 85,000 SH DEFINED Dorset 85,000 Enzon Pharmaceuticals Inc. Common 293904108 4,117,791 447,100 SH DEFINED Dorset 447,100 Enzon Pharmaceuticals Inc. Common 293904108 251,433 27,300 SH DEFINED Dorset 27,300 Enzon Pharmaceuticals Inc. Common 293904108 54,339 5,900 SH DEFINED Dorset 5,900 First Keystone Financial, Inc. Common 320655103 536,026 51,840 SH DEFINED Dorset 51,840 First Keystone Financial, Inc. Common 320655103 28,952 2,800 SH DEFINED Dorset 2,800 First Keystone Financial, Inc. Common 320655103 5,170 500 SH DEFINED Dorset 500 FirstFed Financial Corp. Common 337907109 65,160 2,400 SH OTHER 2,400 FirstFed Financial Corp. Common 337907109 260,640 9,600 SH SOLE 9,600 FirstFed Financial Corp. Common 337907109 25,876,665 953,100 SH DEFINED Dorset 953,100 FirstFed Financial Corp. Common 337907109 4,751,250 175,000 SH DEFINED Dorset 175,000 FirstFed Financial Corp. Common 337907109 317,655 11,700 SH DEFINED Dorset 11,700 FirstFed Financial Corp. Common 337907109 899,000 33,125 SH OTHER Dorset 33,125 FMC Technologies, Inc. Common 302490101 38,685,200 680,000 SH DEFINED Dorset 680,000 FreeSeas Inc. Common Y26496102 4,132,458 695,700 SH DEFINED Dorset 695,700 FreeSeas Inc. Common Y26496102 191,862 32,300 SH DEFINED Dorset 32,300 FreeSeas Inc. Common Y26496102 41,580 7,000 SH DEFINED Dorset 7,000 GAINSCO, Inc. Common 363127101 1,664,351 590,195 SH DEFINED Dorset 590,195 GAINSCO, Inc. Common 363127101 78,014 27,664 SH DEFINED Dorset 27,664 GAINSCO, Inc. Common 363127101 17,298 6,134 SH DEFINED Dorset 6,134 General Finance Corporation Common 369822119 23,430 14,200 SH Call DEFINED Dorset 14,200 General Finance Corporation Common 369822119 1,155 700 SH Call DEFINED Dorset 700 General Finance Corporation Common 369822119 165 100 SH Call DEFINED Dorset 100 Geneva Acquisition Corp. Common 37185Y104 1,036,000 185,000 SH OTHER Dorset 185,000 Geneva Acquisition Corp. Common 37185Y104 3,883,040 693,400 SH DEFINED Dorset 693,400 Geneva Acquisition Corp. Common 37185Y104 211,120 37,700 SH DEFINED Dorset 37,700 Geneva Acquisition Corp. Common 37185Y104 49,840 8,900 SH DEFINED Dorset 8,900 Genzyme Corporation Common 372917104 298 4 SH OTHER Dorset 4 Genzyme Corporation Common 372917104 10,015,531 134,365 SH DEFINED Dorset 134,365 Genzyme Corporation Common 372917104 471,487 6,325 SH DEFINED Dorset 6,325 Genzyme Corporation Common 372917104 96,902 1,300 SH DEFINED Dorset 1,300 Global Services Partners Aquisition Corp Common 37946Y302 274,000 26,000 SH OTHER Dorset 26,000
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ Global Services Partners Aquisition Corp Common 37946Y302 1,029,680 97,600 SH DEFINED Dorset 97,600 Global Services Partners Aquisition Corp Common 37946Y302 54,860 5,200 SH DEFINED Dorset 5,200 Global Services Partners Aquisition Corp Common 37946Y302 12,660 1,200 SH DEFINED Dorset 1,200 Goldleaf Financial Solutions, Inc. Common 38144H208 394,803 193,531 SH DEFINED Dorset 193,531 Goldleaf Financial Solutions, Inc. Common 38144H208 24,178 11,852 SH DEFINED Dorset 11,852 Goldleaf Financial Solutions, Inc. Common 38144H208 5,222 2,560 SH DEFINED Dorset 2,560 Halliburton Company Common 406216101 45,229,500 1,150,000 SH DEFINED Dorset 1,150,000 Hess Corporation Common 42809H107 4,409,000 50,000 SH DEFINED Dorset 50,000 Highlands Acquisition Corporation Common 430880203 8,094,000 852,000 SH DEFINED Dorset 852,000 Highlands Acquisition Corporation Common 430880203 374,300 39,400 SH DEFINED Dorset 39,400 Highlands Acquisition Corporation Common 430880203 81,700 8,600 SH DEFINED Dorset 8,600 Hovnanian Enterprises, Inc. Common 442487203 477,000 45,000 SH OTHER Dorset 45,000 Hovnanian Enterprises, Inc. Common 442487203 1,379,060 130,100 SH DEFINED Dorset 130,100 Hovnanian Enterprises, Inc. Common 442487203 37,100 3,500 SH DEFINED Dorset 3,500 Hovnanian Enterprises, Inc. Common 442487203 9,540 900 SH DEFINED Dorset 900 Hyde Park Acqusition Corp. Common 448638106 421,000 55,000 SH OTHER Dorset 55,000 Hyde Park Acqusition Corp. Common 448638205 14,883,300 1,653,700 SH DEFINED Dorset 1,653,700 Hyde Park Acqusition Corp. Common 448638205 632,700 70,300 SH DEFINED Dorset 70,300 Hyde Park Acqusition Corp. Common 448638205 189,000 21,000 SH DEFINED Dorset 21,000 Imergent Inc. Common 45247Q100 132,910 11,669 SH OTHER Dorset 11,669 Imergent Inc. Common 45247Q100 2,622,832 230,275 SH DEFINED Dorset 230,275 Imergent Inc. Common 45247Q100 112,761 9,900 SH DEFINED Dorset 9,900 Imergent Inc. Common 45247Q100 18,224 1,600 SH DEFINED Dorset 1,600 IndyMac Bancorp, Inc. Common 456607100 1,262,320 254,500 SH DEFINED Dorset 254,500 IndyMac Bancorp, Inc. Common 456607100 71,920 14,500 SH DEFINED Dorset 14,500 IndyMac Bancorp, Inc. Common 456607100 15,376 3,100 SH DEFINED Dorset 3,100 Israel Growth Partners Acquistion Corp. Common 465090207 123,000 24,000 SH OTHER Dorset 24,000 Israel Growth Partners Acquistion Corp. Common 465090207 462,848 90,400 SH DEFINED Dorset 90,400 Israel Growth Partners Acquistion Corp. Common 465090207 23,552 4,600 SH DEFINED Dorset 4,600 Israel Growth Partners Acquistion Corp. Common 465090207 5,120 1,000 SH DEFINED Dorset 1,000 ITT Corporation Common 450911102 16,815,454 324,560 SH DEFINED Dorset 324,560 ITT Corporation Common 450911102 1,031,019 19,900 SH DEFINED Dorset 19,900 JK Acquisition Corp. Common 47759H106 791,000 132,100 SH OTHER Dorset 132,100 JK Acquisition Corp. Common 47759H106 3,362,786 561,400 SH DEFINED Dorset 561,400 JK Acquisition Corp. Common 47759H106 167,720 28,000 SH DEFINED Dorset 28,000 JK Acquisition Corp. Common 47759H106 39,534 6,600 SH DEFINED Dorset 6,600 K-Swiss Inc. Common 482686102 439,000 27,760 SH OTHER Dorset 27,760 Ligand Pharmaceuticals Incorporated Common 53220K207 1,366,000 341,584 SH OTHER Dorset 341,584 Ligand Pharmaceuticals Incorporated Common 53220K207 30,851,421 7,712,855 SH DEFINED Dorset 7,712,855 Ligand Pharmaceuticals Incorporated Common 53220K207 1,694,748 423,687 SH DEFINED Dorset 423,687 Ligand Pharmaceuticals Incorporated Common 53220K207 419,724 104,931 SH DEFINED Dorset 104,931 Lululemon Athletica Inc. Common 550021109 1,336,210 47,000 SH DEFINED Dorset 47,000 Lululemon Athletica Inc. Common 550021109 71,075 2,500 SH DEFINED Dorset 2,500 Lululemon Athletica Inc. Common 550021109 14,215 500 SH DEFINED Dorset 500
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ Magna Entertainment Corp. Common 559211107 1,101,248 3,238,964 SH DEFINED Dorset 3,238,964 Magna Entertainment Corp. Common 559211107 47,668 140,200 SH DEFINED Dorset 140,200 Marathon Acquisition Corp. Common 565756103 5,790,000 750,000 SH OTHER Dorset 750,000 Marathon Acquisition Corp. Common 565756103 14,454,928 1,872,400 SH DEFINED Dorset 1,872,400 Marathon Acquisition Corp. Common 565756103 659,288 85,400 SH DEFINED Dorset 85,400 Marathon Acquisition Corp. Common 565756103 132,784 17,200 SH DEFINED Dorset 17,200 Microsoft Corporation Common 594918104 40,055,532 1,411,400 SH DEFINED Dorset 1,411,400 Microsoft Corporation Common 594918104 2,193,774 77,300 SH DEFINED Dorset 77,300 Microsoft Corporation Common 594918104 527,868 18,600 SH DEFINED Dorset 18,600 Middle Kingdom Alliance Corporation Common 595750308 266,000 32,800 SH OTHER Dorset 32,800 Middle Kingdom Alliance Corporation Common 595750308 998,341 123,100 SH DEFINED Dorset 123,100 Middle Kingdom Alliance Corporation Common 595750308 53,526 6,600 SH DEFINED Dorset 6,600 Middle Kingdom Alliance Corporation Common 595750308 12,165 1,500 SH DEFINED Dorset 1,500 Murphy Oil Corporation Common 626717102 64,890,600 790,000 SH DEFINED Dorset 790,000 Nabi Common 629519109 22,144,572 5,508,600 SH DEFINED Dorset 5,508,600 Nabi Common 629519109 939,474 233,700 SH DEFINED Dorset 233,700 Nabi Common 629519109 281,400 70,000 SH DEFINED Dorset 70,000 National-Oilwell Varco Inc. Common 637071101 14,786,720 253,284 SH DEFINED Dorset 253,284 News Corporation Common 65248E104 176,250 9,400 SH SOLE 9,400 News Corporation Common 65248E104 37,413,750 1,995,400 SH DEFINED Dorset 1,995,400 News Corporation Common 65248E104 2,028,750 108,200 SH DEFINED Dorset 108,200 News Corporation Common 65248E104 493,125 26,300 SH DEFINED Dorset 26,300 News Corporation Common 65248E104 3,071,000 163,767 SH OTHER Dorset 163,767 Noble Corporation Common G65422100 52,153,500 1,050,000 SH DEFINED Dorset 1,050,000 North American Insurance Leaders, Inc. Common 65687M104 433,000 55,000 SH OTHER Dorset 55,000 North American Insurance Leaders, Inc. Common 65687M104 1,632,736 207,200 SH DEFINED Dorset 207,200 North American Insurance Leaders, Inc. Common 65687M104 81,952 10,400 SH DEFINED Dorset 10,400 North American Insurance Leaders, Inc. Common 65687M104 18,912 2,400 SH DEFINED Dorset 2,400 Onyx Pharmaceuticals, Inc. Common 683399109 15,254,336 525,468 SH DEFINED Dorset 525,468 Onyx Pharmaceuticals, Inc. Common 683399109 934,766 32,200 SH DEFINED Dorset 32,200 Onyx Pharmaceuticals, Inc. Common 683399109 200,307 6,900 SH DEFINED Dorset 6,900 Oracle Healthcare Acquisition Corp. Common 68402M102 837,495 105,878 SH DEFINED Dorset 105,878 Oracle Healthcare Acquisition Corp. Common 68402M102 41,132 5,200 SH DEFINED Dorset 5,200 Oracle Healthcare Acquisition Corp. Common 68402M102 9,492 1,200 SH DEFINED Dorset 1,200 Pantheon China Acquisition Corporation Common 698659109 340,000 60,000 SH OTHER Dorset 60,000 Pantheon China Acquisition Corporation Common 698659109 1,277,451 225,300 SH DEFINED Dorset 225,300 Pantheon China Acquisition Corporation Common 698659109 67,473 11,900 SH DEFINED Dorset 11,900 Pantheon China Acquisition Corporation Common 698659109 15,876 2,800 SH DEFINED Dorset 2,800 Par Pharmaceutical Cos. Inc. Common 69888P106 3,543,925 203,791 SH DEFINED Dorset 203,791 Par Pharmaceutical Cos. Inc. Common 69888P106 196,507 11,300 SH DEFINED Dorset 11,300 Par Pharmaceutical Cos. Inc. Common 69888P106 46,953 2,700 SH DEFINED Dorset 2,700 Pet DRx Corporation Common 715813101 4,241,462 1,034,503 SH DEFINED Dorset 1,034,503 Pet DRx Corporation Common 715813101 300,821 73,371 SH DEFINED Dorset 73,371 Pet DRx Corporation Common 715813101 62,160 15,161 SH DEFINED Dorset 15,161
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ Pet DRx Corporation Common 715813200 2,654,015 583,300 SH DEFINED Dorset 583,300 Pet DRx Corporation Common 715813200 117,390 25,800 SH DEFINED Dorset 25,800 Pet DRx Corporation Common 715813200 26,845 5,900 SH DEFINED Dorset 5,900 Petroleo Brasileiro SA Common 71654V408 81,688 800 SH OTHER 800 Petroleo Brasileiro SA Common 71654V408 1,184,476 11,600 SH SOLE 11,600 Petroleo Brasileiro SA Common 71654V408 61,225,156 599,600 SH DEFINED Dorset 599,600 Petroleo Brasileiro SA Common 71654V408 83,781,255 820,500 SH DEFINED Dorset 820,500 Petroleo Brasileiro SA Common 71654V408 806,669 7,900 SH DEFINED Dorset 7,900 Pfizer Inc. Common 717081103 39,767 1,900 SH OTHER 1,900 Pfizer Inc. Common 717081103 6,844 327 SH SOLE 327 Polaris Industries Inc. Common 731068102 2,050,500 50,000 SH DEFINED Dorset 50,000 Presstek, Inc. Common 741113104 5,206,156 1,188,620 SH DEFINED Dorset 1,188,620 Presstek, Inc. Common 741113104 240,462 54,900 SH DEFINED Dorset 54,900 Presstek, Inc. Common 741113104 52,122 11,900 SH DEFINED Dorset 11,900 Progenics Pharmaceuticals Inc. Common 743187106 5,288,647 809,900 SH DEFINED Dorset 809,900 Progenics Pharmaceuticals Inc. Common 743187106 323,235 49,500 SH DEFINED Dorset 49,500 Progenics Pharmaceuticals Inc. Common 743187106 69,218 10,600 SH DEFINED Dorset 10,600 Pulte Homes, Inc. Pfd Common 745867200 128,000 6,800 SH OTHER Dorset 6,800 Pulte Homes, Inc. Common 745867101 4,250,055 292,100 SH DEFINED Dorset 292,100 Pulte Homes, Inc. Common 745867101 209,520 14,400 SH DEFINED Dorset 14,400 Pulte Homes, Inc. Common 745867101 45,105 3,100 SH DEFINED Dorset 3,100 PUT/Bunge Ltd. @110 Exp. 4/08 Common 9EQ1WG1V2 2,700,390 1,169 SH Put DEFINED Dorset 1,169 PUT/Bunge Ltd. @110 Exp. 4/08 Common 9EQ1WG1V2 154,770 67 SH Put DEFINED Dorset 67 PUT/Bunge Ltd. @110 Exp. 4/08 Common 9EQ1WG1V2 32,340 14 SH Put DEFINED Dorset 14 PUTS/United States Oil @83 Exp. 4/08 Common 9EDA0JNR0 1,346,400 3,740 SH Put DEFINED Dorset 3,740 PUTS/United States Oil @83 Exp. 4/08 Common 9EDA0JNR0 77,040 214 SH Put DEFINED Dorset 214 PUTS/United States Oil @83 Exp. 4/08 Common 9EDA0JNR0 16,560 46 SH Put DEFINED Dorset 46 QuadraMed Corporation Common 74730W101 7,784,322 4,075,561 SH DEFINED Dorset 4,075,561 QuadraMed Corporation Common 74730W101 443,693 232,300 SH DEFINED Dorset 232,300 QuadraMed Corporation Common 74730W101 100,867 52,810 SH DEFINED Dorset 52,810 Rand Logistics, Inc. Common 752182105 13,692,041 2,544,989 SH DEFINED Dorset 2,544,989 Rand Logistics, Inc. Common 752182105 860,800 160,000 SH DEFINED Dorset 160,000 Rand Logistics, Inc. Common 752182105 152,792 28,400 SH DEFINED Dorset 28,400 Renaissance Acquisition Corp. Common 75966C305 1,731,000 308,000 SH OTHER Dorset 308,000 Renaissance Acquisition Corp. Common 75966C305 6,497,844 1,156,200 SH DEFINED Dorset 1,156,200 Renaissance Acquisition Corp. Common 75966C305 344,506 61,300 SH DEFINED Dorset 61,300 Renaissance Acquisition Corp. Common 75966C305 81,490 14,500 SH DEFINED Dorset 14,500 Renaissance Acquisition Corp. Common 75966C115 66,000 332,000 SH Call OTHER Dorset 332,000 Renaissance Acquisition Corp. Common 75966C115 244,560 1,222,800 SH Call DEFINED Dorset 1,222,800 Renaissance Acquisition Corp. Common 75966C115 10,400 52,000 SH Call DEFINED Dorset 52,000 Renaissance Acquisition Corp. Common 75966C115 3,100 15,500 SH Call DEFINED Dorset 15,500 Retail Ventures, Inc. Common 76128Y102 6,052,800 1,248,000 SH DEFINED Dorset 1,248,000 Retail Ventures, Inc. Common 76128Y102 284,210 58,600 SH DEFINED Dorset 58,600 Retail Ventures, Inc. Common 76128Y102 60,625 12,500 SH DEFINED Dorset 12,500
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ Rhapsody Acquisition Corporation Common 762014108 608,000 77,000 SH OTHER Dorset 77,000 Rhapsody Acquisition Corporation Common 762014108 2,307,590 292,100 SH DEFINED Dorset 292,100 Rhapsody Acquisition Corporation Common 762014108 106,650 13,500 SH DEFINED Dorset 13,500 Rhapsody Acquisition Corporation Common 762014108 18,960 2,400 SH DEFINED Dorset 2,400 Schlumberger Limited Common 806857108 95,700,000 1,100,000 SH DEFINED Dorset 1,100,000 Shanghai Century Acquistion Corporation Common G80637104 152,000 20,000 SH OTHER Dorset 20,000 Shanghai Century Acquistion Corporation Common G80637120 4,731,480 606,600 SH DEFINED Dorset 606,600 Shanghai Century Acquistion Corporation Common G80637120 236,340 30,300 SH DEFINED Dorset 30,300 Shanghai Century Acquistion Corporation Common G80637120 55,380 7,100 SH DEFINED Dorset 7,100 Smart Balance, Inc Common 83169Y108 6,676,290 845,100 SH DEFINED Dorset 845,100 Smart Balance, Inc Common 83169Y108 355,500 45,000 SH DEFINED Dorset 45,000 Smart Balance, Inc Common 83169Y108 77,420 9,800 SH DEFINED Dorset 9,800 Southwestern Energy Company Common 845467109 11,454,600 340,000 SH DEFINED Dorset 340,000 Spectrum Pharmaceuticals Inc. Common 84763A108 1,883,838 744,600 SH DEFINED Dorset 744,600 Spectrum Pharmaceuticals Inc. Common 84763A108 87,032 34,400 SH DEFINED Dorset 34,400 Spectrum Pharmaceuticals Inc. Common 84763A108 18,975 7,500 SH DEFINED Dorset 7,500 Spring Creek Aquisition Corp. Common G8374R104 2,119,392 267,600 SH DEFINED Dorset 267,600 Spring Creek Aquisition Corp. Common G8374R104 256,608 32,400 SH DEFINED Dorset 32,400 Standard Pacific Corp. Common 85375C101 2,272,050 467,500 SH DEFINED Dorset 467,500 Standard Pacific Corp. Common 85375C101 129,762 26,700 SH DEFINED Dorset 26,700 Standard Pacific Corp. Common 85375C101 28,188 5,800 SH DEFINED Dorset 5,800 Stone Tan China Acquisition Common 861752202 2,695,000 350,000 SH OTHER Dorset 350,000 Stone Tan China Acquisition Common 861752202 10,205,580 1,325,400 SH DEFINED Dorset 1,325,400 Stone Tan China Acquisition Common 861752202 472,010 61,300 SH DEFINED Dorset 61,300 Stone Tan China Acquisition Common 861752202 102,410 13,300 SH DEFINED Dorset 13,300 Stoneleigh Partners Acquisition Corp. Common 861923100 818,000 108,400 SH OTHER Dorset 108,400 Stoneleigh Partners Acquisition Corp. Common 861923100 2,849,385 377,402 SH DEFINED Dorset 377,402 Stoneleigh Partners Acquisition Corp. Common 861923100 129,105 17,100 SH DEFINED Dorset 17,100 Stoneleigh Partners Acquisition Corp. Common 861923100 31,710 4,200 SH DEFINED Dorset 4,200 Symantec Corporation Common 871503108 5,218,680 314,000 SH DEFINED Dorset 314,000 Symantec Corporation Common 871503108 240,990 14,500 SH DEFINED Dorset 14,500 Symantec Corporation Common 871503108 53,184 3,200 SH DEFINED Dorset 3,200 Tailwind Financial Inc. Common 874023104 963,000 125,000 SH OTHER Dorset 125,000 Tailwind Financial Inc. Common 874023203 978,000 125,000 SH OTHER Dorset 125,000 Tailwind Financial Inc. Common 874023104 7,298,060 947,800 SH DEFINED Dorset 947,800 Tailwind Financial Inc. Common 874023104 309,540 40,200 SH DEFINED Dorset 40,200 Tailwind Financial Inc. Common 874023104 92,400 12,000 SH DEFINED Dorset 12,000 Tailwind Financial Inc. Common 874023112 8,000 61,300 SH Call OTHER Dorset 61,300 Tailwind Financial Inc. Common 874023112 90,168 693,600 SH Call DEFINED Dorset 693,600 Tailwind Financial Inc. Common 874023112 4,407 33,900 SH Call DEFINED Dorset 33,900 Tailwind Financial Inc. Common 874023112 1,209 9,300 SH Call DEFINED Dorset 9,300 Talisman Energy Inc. Common 87425E103 3,857,580 217,500 SH DEFINED Dorset 217,500 Talisman Energy Inc. Common 87425E103 129,473 7,300 SH DEFINED Dorset 7,300 TFS Financial Corp. Common 87240R107 15,863,961 1,318,700 SH DEFINED Dorset 1,318,700
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ TFS Financial Corp. Common 87240R107 751,875 62,500 SH DEFINED Dorset 62,500 TFS Financial Corp. Common 87240R107 159,999 13,300 SH DEFINED Dorset 13,300 The Stephan Co. Common 858603103 204,000 76,560 SH OTHER Dorset 76,560 The Stephan Co. Common 858603103 771,535 290,040 SH DEFINED Dorset 290,040 The Stephan Co. Common 858603103 35,512 13,350 SH DEFINED Dorset 13,350 The Stephan Co. Common 858603103 7,581 2,850 SH DEFINED Dorset 2,850 Total SA Common 89151E109 51,807,000 700,000 SH DEFINED Dorset 700,000 Transgenomic, Inc. Common 89365K206 2,164,551 4,417,451 SH DEFINED Dorset 4,417,451 Transgenomic, Inc. Common 89365K206 116,424 237,600 SH DEFINED Dorset 237,600 Transgenomic, Inc. Common 89365K206 25,235 51,500 SH DEFINED Dorset 51,500 Transocean Inc. Common G90078109 64,220,000 475,000 SH DEFINED Dorset 475,000 Triplecrown Acquisition Corp. Common 89677G208 844,000 87,500 SH OTHER Dorset 87,500 Triplecrown Acquisition Corp. Common 89677G208 5,596,035 579,900 SH DEFINED Dorset 579,900 Triplecrown Acquisition Corp. Common 89677G208 258,620 26,800 SH DEFINED Dorset 26,800 Triplecrown Acquisition Corp. Common 89677G208 55,970 5,800 SH DEFINED Dorset 5,800 Victory Acquistion Corp Common 92644D100 752,000 80,000 SH OTHER Dorset 80,000 Victory Acquistion Corp Common 92644D100 2,851,020 303,300 SH DEFINED Dorset 303,300 Victory Acquistion Corp Common 92644D100 120,320 12,800 SH DEFINED Dorset 12,800 Victory Acquistion Corp Common 92644D100 36,660 3,900 SH DEFINED Dorset 3,900 Wachovia Common 929903102 48,060 1,780 SH OTHER 1,780 Wal-Mart Stores, Inc. Common 931142103 15,688,104 297,800 SH DEFINED Dorset 297,800 Wal-Mart Stores, Inc. Common 931142103 895,560 17,000 SH DEFINED Dorset 17,000 Washington Mutual, Inc. Common 939322103 1,911,165 185,550 SH DEFINED Dorset 185,550 Washington Mutual, Inc. Common 939322103 88,580 8,600 SH DEFINED Dorset 8,600 Washington Mutual, Inc. Common 939322103 19,570 1,900 SH DEFINED Dorset 1,900 Wells Fargo & Co. Common 949746101 145,500 5,000 SH OTHER 5,000 Wells Fargo & Co. Common 949746101 279,360 9,600 SH SOLE 9,600 Wells Fargo & Co. Common 949746101 18,705,480 642,800 SH DEFINED Dorset 642,800 Wells Fargo & Co. Common 949746101 503,430 17,300 SH DEFINED Dorset 17,300 Wells Fargo & Co. Common 949746101 29,100 1,000 SH DEFINED Dorset 1,000 Willis Group Holdings Limited Common G96655108 13,444 400 SH OTHER 400 Willis Group Holdings Limited Common G96655108 90,747 2,700 SH SOLE 2,700 Willis Group Holdings Limited Common G96655108 11,553,437 343,750 SH DEFINED Dorset 343,750 Willis Group Holdings Limited Common G96655108 546,162 16,250 SH DEFINED Dorset 16,250 Willis Group Holdings Limited Common G96655108 117,635 3,500 SH DEFINED Dorset 3,500 Xinhua Finance Media Ltd. Common 983982109 442,400 140,000 SH OTHER Dorset 140,000 Xinhua Finance Media Ltd. Common 983982109 1,614,128 510,800 SH DEFINED Dorset 510,800 Xinhua Finance Media Ltd. Common 983982109 92,272 29,200 SH DEFINED Dorset 29,200 Xinhua Finance Media Ltd. Common 983982109 19,908 6,300 SH DEFINED Dorset 6,300 ------ ----- 2,189,354,278 120,028,707 ============= ===========
-----END PRIVACY-ENHANCED MESSAGE-----