-----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, CFrKzNJsCzwX0TzbYRsQ2c4ZQZx0I/9+IaGveuMi7X3kZgLC0x7wAexGlfw4nM+D C9E5ciNNdCzAmmpVf/Jp+Q== 0001047469-09-005592.txt : 20090514 0001047469-09-005592.hdr.sgml : 20090514 20090514125703 ACCESSION NUMBER: 0001047469-09-005592 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090514 DATE AS OF CHANGE: 20090514 EFFECTIVENESS DATE: 20090514 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: 09825425 MAIL ADDRESS: STREET 1: 485 UNDERHILL BLVD STREET 2: STE 205 CITY: SYOSSET STATE: NY ZIP: 11791-3419 13F-HR 1 a2193114z13f-hr.txt 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, 2009 ----------------------- 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, 2009 ------------------------------- ----------------- -------------- [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: 277 -------------------- Form 13F Information Table Value Total: $872,013 -------------------- (thousands) List of Other Included Managers: Dorset Management Corporation ("Dorset")
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ------------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ 2020 Chinacap Acquirco, Inc. Common 90212G208 634,000 85,000 SH OTHER Dorset 85,000 2020 Chinacap Acquirco, Inc. Common 90212G208 2,461,833 330,000 SH DEFINED Dorset 330,000 2020 Chinacap Acquirco, Inc. Common 90212G208 41,031 5,500 SH DEFINED Dorset 5,500 2020 Chinacap Acquirco, Inc. Common 90212G208 33,570 4,500 SH DEFINED Dorset 4,500 Alpha Security Group Corporation Common 02078A209 5,735,655 582,300 SH DEFINED Dorset 582,300 Alpha Security Group Corporation Common 02078A209 95,545 9,700 SH DEFINED Dorset 9,700 Alpha Security Group Corporation Common 02078A209 78,800 8,000 SH DEFINED Dorset 8,000 Alphatec Holdings, Inc. Common 02081G102 1,355,783 765,979 SH DEFINED Dorset 765,979 Alphatec Holdings, Inc. Common 02081G102 31,683 17,900 SH DEFINED Dorset 17,900 Alphatec Holdings, Inc. Common 02081G102 20,390 11,520 SH DEFINED Dorset 11,520 Amedisys, Inc. Common 023436108 549,800 20,000 SH OTHER 20,000 Amedisys, Inc. Common 023436108 5,935,091 215,900 SH DEFINED Dorset 215,900 Amedisys, Inc. Common 023436108 156,693 5,700 SH DEFINED Dorset 5,700 Amedisys, Inc. Common 023436108 93,466 3,400 SH DEFINED Dorset 3,400 American Water Works Co., Inc Common 030420103 3,855,080 200,368 SH DEFINED Dorset 200,368 American Water Works Co., Inc Common 030420103 69,264 3,600 SH DEFINED Dorset 3,600 American Water Works Co., Inc Common 030420103 44,252 2,300 SH DEFINED Dorset 2,300 Anadarko Petroleum Corporation Common 032511107 427,790 11,000 SH SOLE 11,000 Anadarko Petroleum Corporation Common 032511107 140,004 3,600 SH OTHER 3,600 Anadarko Petroleum Corporation Common 032511107 61,640,650 1,585,000 SH DEFINED Dorset 1,585,000 Anadarko Petroleum Corporation Common 032511107 33,698,185 866,500 SH DEFINED Dorset 866,500 Anadarko Petroleum Corporation Common 032511107 941,138 24,200 SH DEFINED Dorset 24,200 Arcade Acquisition Corporation Common 038798203 581,000 75,000 SH OTHER Dorset 75,000 Arcade Acquisition Corporation Common 038798203 2,256,025 291,100 SH DEFINED Dorset 291,100 Arcade Acquisition Corporation Common 038798203 37,975 4,900 SH DEFINED Dorset 4,900 Arcade Acquisition Corporation Common 038798203 31,000 4,000 SH DEFINED Dorset 4,000 Aristotle Corp. Common 040448201 11,695 3,380 SH DEFINED Dorset 3,380 Ascend Acquisition Corporation Common 04350H308 313 13,031 SH OTHER Dorset 13,031 Ascend Acquisition Corporation Common 04350H308 779 31,180 SH DEFINED Dorset 31,180 Ascend Acquisition Corporation Common 04350H308 13 520 SH DEFINED Dorset 520 Ascend Acquisition Corporation Common 04350H308 10 420 SH DEFINED Dorset 420 Aveta, Inc. Common 05365U101 2,660,160 554,200 SH DEFINED Dorset 554,200 Aveta, Inc. Common 05365U101 113,280 23,600 SH DEFINED Dorset 23,600 Aveta, Inc. Common 05365U101 33,600 7,000 SH DEFINED Dorset 7,000 Baker Hughes Incorporated Common 057224107 4,282,500 150,000 SH DEFINED Dorset 150,000 Bankrate Inc. Common 06646V108 506,610 20,305 SH OTHER 20,305 Bankrate Inc. Common 06646V108 968,060 38,800 SH DEFINED Dorset 38,800 Bankrate Inc. Common 06646V108 22,455 900 SH DEFINED Dorset 900 Bankrate Inc. Common 06646V108 14,970 600 SH DEFINED Dorset 600 BB&T Corporation Common 054937107 7,319,592 432,600 SH DEFINED Dorset 432,600 BB&T Corporation Common 054937107 637,884 37,700 SH DEFINED Dorset 37,700 BB&T Corporation Common 054937107 96,444 5,700 SH DEFINED Dorset 5,700 Beazer Homes USA, Inc. Common 07556Q105 646,554 640,152 SH DEFINED Dorset 640,152 Beazer Homes USA, Inc. Common 07556Q105 43,733 43,300 SH DEFINED Dorset 43,300 Beazer Homes USA, Inc. Common 07556Q105 10,302 10,200 SH DEFINED Dorset 10,200
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 - ------------------------------------------------------------------------------------------------------------------------------------ Blockbuster Inc.- Class B Common 093679207 917,847 2,039,660 SH DEFINED Dorset 2,039,660 Blockbuster Inc.- Class B Common 093679207 59,085 131,300 SH DEFINED Dorset 131,300 Blockbuster Inc.- Class B Common 093679207 14,220 31,600 SH DEFINED Dorset 31,600 Bunge Ltd. Common G16962105 2,911,810 51,400 SH DEFINED Dorset 51,400 Bunge Ltd. Common G16962105 84,975 1,500 SH DEFINED Dorset 1,500 Bunge Ltd. Common G16962105 50,985 900 SH DEFINED Dorset 900 Butler International, Inc. Common 123649105 33,789 965,400 SH DEFINED Dorset 965,400 Butler International, Inc. Common 123649105 2,761 78,900 SH DEFINED Dorset 78,900 Butler International, Inc. Common 123649105 262 7,500 SH DEFINED Dorset 7,500 CIT Group Inc. Common 125581108 1,140,000 400,000 SH OTHER Dorset 400,000 Cabot Oil & Gas Corporation Common 127097103 8,603,050 365,000 SH DEFINED Dorset 365,000 Canadian Natural Resources Ltd. Common 136385101 555,264 14,400 SH SOLE 14,400 Canadian Natural Resources Ltd. Common 136385101 200,512 5,200 SH OTHER 5,200 Canadian Natural Resources Ltd. Common 136385101 21,701,326 559,500 SH DEFINED Dorset 559,500 Canadian Natural Resources Ltd. Common 136385101 13,391,212 345,250 SH DEFINED Dorset 345,250 Canadian Natural Resources Ltd. Common 136385101 341,326 8,800 SH DEFINED Dorset 8,800 CapitalSource Inc. Common 14055X102 339,000 278,253 SH OTHER Dorset 278,253 CapitalSource Inc. 7.25% 7/15/37 Conv JJ Note 14055XAG7 1,521,000 3,095,000 PRN OTHER Dorset 3,095,000 Cepheid, Inc. Common 15670R107 663,090 96,100 SH DEFINED Dorset 96,100 Cepheid, Inc. Common 15670R107 16,560 2,400 SH DEFINED Dorset 2,400 Cepheid, Inc. Common 15670R107 10,350 1,500 SH DEFINED Dorset 1,500 Chevron Corporation Common 166764100 16,810,000 250,000 SH DEFINED Dorset 250,000 China Discovery Aquisition Corporation Common G2112B125 281,000 49,000 SH OTHER Dorset 49,000 China Discovery Aquisition Corporation Common G2112B125 1,091,748 190,200 SH DEFINED Dorset 190,200 China Discovery Aquisition Corporation Common G2112B125 18,368 3,200 SH DEFINED Dorset 3,200 China Discovery Aquisition Corporation Common G2112B125 14,924 2,600 SH DEFINED Dorset 2,600 China Fortune Acquisition Corp. Common G21098127 918,000 120,000 SH OTHER Dorset 120,000 China Fortune Acquisition Corp. Common G21098127 3,564,135 465,900 SH DEFINED Dorset 465,900 China Fortune Acquisition Corp. Common G21098127 58,905 7,700 SH DEFINED Dorset 7,700 China Fortune Acquisition Corp. Common G21098127 48,960 6,400 SH DEFINED Dorset 6,400 Chinagrowth North Acquisition Corp. Common G21116119 42,460 19,300 SH Call OTHER Dorset 19,300 Chinagrowth North Acquisition Corp. Common G21116119 135,520 61,600 SH Call DEFINED Dorset 61,600 Chinagrowth North Acquisition Corp. Common G21116119 2,200 1,000 SH Call DEFINED Dorset 1,000 Chinagrowth North Acquisition Corp. Common G21116119 1,760 800 SH Call DEFINED Dorset 800 Chinagrowth South Acquisition Corp. Common G21117109 105,210 21,000 SH Call OTHER Dorset 21,000 Chinagrowth South Acquisition Corp. Common G21117109 383,766 76,600 SH Call DEFINED Dorset 76,600 Chinagrowth South Acquisition Corp. Common G21117109 6,513 1,300 SH Call DEFINED Dorset 1,300 Chinagrowth South Acquisition Corp. Common G21117109 5,511 1,100 SH Call DEFINED Dorset 1,100 China Holdings Acquistion Corp. Common 16942N205 8,900,402 970,600 SH DEFINED Dorset 970,600 China Holdings Acquistion Corp. Common 16942N205 147,637 16,100 SH DEFINED Dorset 16,100 China Holdings Acquistion Corp. Common 16942N205 121,961 13,300 SH DEFINED Dorset 13,300 Citigroup Inc. Common 172967101 13,104,894 5,179,800 SH DEFINED Dorset 5,179,800 Citigroup Inc. Common 172967101 1,875,489 741,300 SH DEFINED Dorset 741,300 Citigroup Inc. Common 172967101 199,617 78,900 SH DEFINED Dorset 78,900 Citizens Savings Bank Common 174903104 92,850 15,000 SH SOLE 15,000
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 - ------------------------------------------------------------------------------------------------------------------------------------ Columbia Laboratories Inc. Common 197779101 864 600 SH OTHER 600 Columbia Laboratories Inc. Common 197779101 4,341,626 3,015,018 SH DEFINED Dorset 3,015,018 Columbia Laboratories Inc. Common 197779101 97,314 67,579 SH DEFINED Dorset 67,579 Crucell NV Common 228769105 24,071,823 1,221,300 SH DEFINED Dorset 1,221,300 Crucell NV Common 228769105 833,733 42,300 SH DEFINED Dorset 42,300 Crucell NV Common 228769105 370,548 18,800 SH DEFINED Dorset 18,800 CS China Acquisition Corporation Common G25783104 102,000 20,000 SH OTHER Dorset 20,000 CS China Acquisition Corporation Common G25783104 391,160 77,000 SH DEFINED Dorset 77,000 CS China Acquisition Corporation Common G25783104 9,144 1,800 SH DEFINED Dorset 1,800 CS China Acquisition Corporation Common G25783104 6,096 1,200 SH DEFINED Dorset 1,200 Cubist Pharmaceuticals Inc. Common 229678107 3,972,208 242,800 SH DEFINED Dorset 242,800 Cubist Pharmaceuticals Inc. Common 229678107 96,524 5,900 SH DEFINED Dorset 5,900 Cubist Pharmaceuticals Inc. Common 229678107 62,168 3,800 SH DEFINED Dorset 3,800 Developers Diversified Realty Corp Common 251591103 213,000 100,000 SH OTHER Dorset 100,000 Developers Diversified Realty Corp Note 251591AS2 8,059,000 16,374,000 PRN OTHER Dorset 16,374,000 Developers Diversified Realty Corp Note 251591AS2 8,857,438 19,255,300 PRN DEFINED Dorset 19,255,300 Developers Diversified Realty Corp Note 251591AS2 208,334 452,900 PRN DEFINED Dorset 452,900 Developers Diversified Realty Corp Note 251591AS2 134,228 291,800 PRN DEFINED Dorset 291,800 Devon Energy Corp. Common 25179M103 19,963,023 446,700 SH DEFINED Dorset 446,700 Dyadic International Inc. Common 26745T101 331,808 1,070,350 SH DEFINED Dorset 1,070,350 Dyadic International Inc. Common 26745T101 17,778 57,350 SH DEFINED Dorset 57,350 Dyadic International Inc. Common 26745T101 4,200 13,550 SH DEFINED Dorset 13,550 Eagle Materials Common 26969P108 5,529 228 SH OTHER 228 Eastman Kodak Company 3.375% Ser B Conv Note 277461BE8 1,578,000 2,000,000 PRN OTHER Dorset 2,000,000 EnCana Corp. Common 292505104 22,240,020 543,500 SH DEFINED Dorset 543,500 Energy Conversion Devices, Inc. Common 292659109 367,579 27,700 SH DEFINED Dorset 27,700 Energy Conversion Devices, Inc. Common 292659109 6,635 500 SH DEFINED Dorset 500 Energy Conversion Devices, Inc. Common 292659109 3,981 300 SH DEFINED Dorset 300 Enzon Pharmaceuticals Inc. Common 293904108 11,113,332 1,830,862 SH DEFINED Dorset 1,830,862 Enzon Pharmaceuticals Inc. Common 293904108 259,796 42,800 SH DEFINED Dorset 42,800 Enzon Pharmaceuticals Inc. Common 293904108 166,925 27,500 SH DEFINED Dorset 27,500 Facet Biotech Corp Common 30303Q103 1,115,000 117,391 SH OTHER Dorset 117,391 FMC Technologies, Inc. Common 302490101 14,697,629 468,525 SH DEFINED Dorset 468,525 FutureFuel Corporation Common 36116M106 10,671,900 2,134,380 SH DEFINED Dorset 2,134,380 FutureFuel Corporation Common 36116M106 92,500 18,500 SH DEFINED Dorset 18,500 FutureFuel Corporation Common 36116M106 257,500 51,500 SH DEFINED Dorset 51,500 General Electric Company Common 369604103 11,804,436 1,167,600 SH DEFINED Dorset 1,167,600 General Electric Company Common 369604103 607,611 60,100 SH DEFINED Dorset 60,100 General Electric Company Common 369604103 179,958 17,800 SH DEFINED Dorset 17,800 Genzyme Corporation Common 372917104 238 4 SH OTHER Dorset 4 Genzyme Corporation Common 372917104 6,934,645 116,765 SH DEFINED Dorset 116,765 Genzyme Corporation Common 372917104 173,733 2,925 SH DEFINED Dorset 2,925 Genzyme Corporation Common 372917104 106,902 1,800 SH DEFINED Dorset 1,800 Halliburton Company Common 406216101 1,547,000 100,000 SH DEFINED Dorset 100,000 Hess Corporation Common 42809H107 27,100,000 500,000 SH DEFINED Dorset 500,000
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 - ------------------------------------------------------------------------------------------------------------------------------------ Highlands Acquisition Corporation Common 430880203 8,297,300 873,400 SH DEFINED Dorset 873,400 Highlands Acquisition Corporation Common 430880203 138,700 14,600 SH DEFINED Dorset 14,600 Highlands Acquisition Corporation Common 430880203 114,000 12,000 SH DEFINED Dorset 12,000 Hovnanian Enterprises, Inc. Common 442487203 364,416 233,600 SH DEFINED Dorset 233,600 Hovnanian Enterprises, Inc. Common 442487203 8,580 5,500 SH DEFINED Dorset 5,500 Hovnanian Enterprises, Inc. Common 442487203 5,616 3,600 SH DEFINED Dorset 3,600 Hyde Park Acquisition Corp. Common 448638106 2,628,375 700,900 SH DEFINED Dorset 700,900 Hyde Park Acquisition Corp. Common 448638106 809,625 215,900 SH DEFINED Dorset 215,900 Hyde Park Acquisition Corp. Common 448638106 57,000 15,200 SH DEFINED Dorset 15,200 Hyde Park Acquisition Corp. - units Common 448638205 7,382,320 1,677,800 SH DEFINED Dorset 1,677,800 Hyde Park Acquisition Corp. - units Common 448638205 194,480 44,200 SH DEFINED Dorset 44,200 Hyde Park Acquisition Corp. - units Common 448638205 101,200 23,000 SH DEFINED Dorset 23,000 Hyde Park Acquisition Corp- Warrants Common 448638106 1,459,125 389,100 SH Call DEFINED Dorset 389,100 Hyde Park Acquisition Corp-Warrants Common 448638106 22,125 5,900 SH Call DEFINED Dorset 5,900 Istar Financial Inc. Common 45031U101 1,044,000 371,700 SH OTHER Dorset 371,700 Istar Financial Inc. 10/1/12 conv. FRNT 45031UBF7 2,987,000 9,500,000 PRN OTHER 9,500,000 InterOil Corporation Common 460951106 2,713,200 96,900 SH DEFINED Dorset 96,900 InterOil Corporation Common 460951106 47,600 1,700 SH DEFINED Dorset 1,700 InterOil Corporation Common 460951106 39,200 1,400 SH DEFINED Dorset 1,400 Interval Leisure Group Inc. Common 46113M108 1,097,000 207,012 SH OTHER Dorset 207,012 ITT Corporation Common 450911102 12,533,526 325,800 SH DEFINED Dorset 325,800 ITT Corporation Common 450911102 303,913 7,900 SH DEFINED Dorset 7,900 JK Acquisition Corp. Common 47759H304 110 44,034 SH OTHER Dorset 44,034 JK Acquisition Corp. Common 47759H304 474 189,469 SH DEFINED Dorset 189,469 JK Acquisition Corp. Common 47759H304 7 3,000 SH DEFINED Dorset 3,000 JK Acquisition Corp. Common 47759H304 6 2,467 SH DEFINED Dorset 2,467 Johnson & Johnson Common 478160104 22,591,700 429,500 SH DEFINED Dorset 429,500 Johnson & Johnson Common 478160104 552,300 10,500 SH DEFINED Dorset 10,500 Johnson & Johnson Common 478160104 347,160 6,600 SH DEFINED Dorset 6,600 JPMorgan Chase & Co. Common 46625H100 19,876,524 747,800 SH DEFINED Dorset 747,800 JPMorgan Chase & Co. Common 46625H100 467,808 17,600 SH DEFINED Dorset 17,600 JPMorgan Chase & Co. Common 46625H100 300,354 11,300 SH DEFINED Dorset 11,300 Ligand Pharmaceuticals Incorporated Common 53220K207 1,018,000 341,584 SH OTHER Dorset 341,584 Ligand Pharmaceuticals Incorporated Common 53220K207 23,433,982 7,863,752 SH DEFINED Dorset 7,863,752 Ligand Pharmaceuticals Incorporated Common 53220K207 771,194 258,790 SH DEFINED Dorset 258,790 Ligand Pharmaceuticals Incorporated Common 53220K207 354,414 118,931 SH DEFINED Dorset 118,931 MFA Mortgage Investments Inc. Common 55272X102 2,640,120 449,000 SH DEFINED Dorset 449,000 MFA Mortgage Investments Inc. Common 55272X102 64,680 11,000 SH DEFINED Dorset 11,000 MFA Mortgage Investments Inc. Common 55272X102 42,336 7,200 SH DEFINED Dorset 7,200 Millicom International Cellular SA Common L6388F110 4,318,864 116,600 SH DEFINED Dorset 116,600 Millicom International Cellular SA Common L6388F110 100,008 2,700 SH DEFINED Dorset 2,700 Millicom International Cellular SA Common L6388F110 66,672 1,800 SH DEFINED Dorset 1,800 Molson Coors Brewing Company Common 60871R209 25,590,020 746,500 SH DEFINED Dorset 746,500 Molson Coors Brewing Company Common 60871R209 599,900 17,500 SH DEFINED Dorset 17,500 Murphy Oil Corporation Common 626717102 18,131,850 405,000 SH DEFINED Dorset 405,000
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 - ------------------------------------------------------------------------------------------------------------------------------------ Nabi Biopharmaceuticals Common 629519109 18,907,566 5,110,153 SH DEFINED Dorset 5,110,153 Nabi Biopharmaceuticals Common 629519109 314,130 84,900 SH DEFINED Dorset 84,900 Nabi Biopharmaceuticals Common 629519109 260,480 70,400 SH DEFINED Dorset 70,400 Noble Corporation Common G65422100 9,636,000 400,000 SH DEFINED Dorset 400,000 Noble Energy Inc Common 655044105 21,821,400 405,000 SH DEFINED Dorset 405,000 Oil Service HOLDRs Trust Common 678002106 12,363,386 166,600 SH DEFINED Dorset 166,600 Onyx Pharmaceuticals, Inc. Common 683399109 16,306,846 571,168 SH DEFINED Dorset 571,168 Onyx Pharmaceuticals, Inc. Common 683399109 393,990 13,800 SH DEFINED Dorset 13,800 Onyx Pharmaceuticals, Inc. Common 683399109 251,240 8,800 SH DEFINED Dorset 8,800 Oracle Healthcare Acquisition Corp. Common 68402M102 11 107,078 SH DEFINED Dorset 107,078 Oracle Healthcare Acquisition Corp. Common 68402M102 0 3,800 SH DEFINED Dorset 3,800 Oracle Healthcare Acquisition Corp. Common 68402M102 0 1,400 SH DEFINED Dorset 1,400 Orient-Express Hotels Ltd. Common G67743107 769,570 187,700 SH DEFINED Dorset 187,700 Orient-Express Hotels Ltd. Common G67743107 18,040 4,400 SH DEFINED Dorset 4,400 Orient-Express Hotels Ltd. Common G67743107 11,890 2,900 SH DEFINED Dorset 2,900 Owens-Illinois, Inc. Common 690768403 3,231,672 223,800 SH DEFINED Dorset 223,800 Owens-Illinois, Inc. Common 690768403 79,420 5,500 SH DEFINED Dorset 5,500 Owens-Illinois, Inc. Common 690768403 50,540 3,500 SH DEFINED Dorset 3,500 Pet DRx Corporation Common 715813101 196,452 1,034,503 SH DEFINED Dorset 1,034,503 Pet DRx Corporation Common 715813101 13,933 73,371 SH DEFINED Dorset 73,371 Pet DRx Corporation Common 715813101 2,879 15,161 SH DEFINED Dorset 15,161 Pet DRx Corporation - units Common 715813200 116,602 583,300 SH DEFINED Dorset 583,300 Pet DRx Corporation - units Common 715813200 5,157 25,800 SH DEFINED Dorset 25,800 Pet DRx Corporation - units Common 715813200 1,179 5,900 SH DEFINED Dorset 5,900 Petroleo Brasileiro SA Common 71654V408 32,800,955 1,076,500 SH DEFINED Dorset 1,076,500 Pfizer Inc. Common 717081103 4,454 327 SH SOLE 327 Progenics Pharmaceuticals Inc. Common 743187106 3,516,167 533,561 SH DEFINED Dorset 533,561 Progenics Pharmaceuticals Inc. Common 743187106 82,375 12,500 SH DEFINED Dorset 12,500 Progenics Pharmaceuticals Inc. Common 743187106 52,061 7,900 SH DEFINED Dorset 7,900 Rand Logistics, Inc. Common 752182105 7,005,930 2,594,789 SH DEFINED Dorset 2,594,789 Rand Logistics, Inc. Common 752182105 241,110 89,300 SH DEFINED Dorset 89,300 Rand Logistics, Inc. Common 752182105 133,110 49,300 SH DEFINED Dorset 49,300 Schlumberger Limited Common 806857108 4,062,000 100,000 SH DEFINED Dorset 100,000 Sepracor Inc. 12/15/10 Ser. B1 Conv. Note 817315AU8 2,186,000 2,500,000 PRN OTHER Dorset 2,500,000 Southpeak Interactive Corp Common 844649103 26,520 52,000 SH Call OTHER Dorset 52,000 Southpeak Interactive Corp Common 844649103 99,144 194,400 SH Call DEFINED Dorset 194,400 Southpeak Interactive Corp Common 844649103 1,734 3,400 SH Call DEFINED Dorset 3,400 Southpeak Interactive Corp Common 844649103 1,377 2,700 SH Call DEFINED Dorset 2,700 Southwestern Energy Company Common 845467109 8,907,000 300,000 SH DEFINED Dorset 300,000 Spark Networks, Inc. Common 84651P100 316,000 140,557 SH OTHER Dorset 140,557 Spring Creek Acquisition Corporation Common G8374R112 2,035,488 291,200 SH DEFINED Dorset 291,200 Spring Creek Acquisition Corporation Common G8374R112 34,251 4,900 SH DEFINED Dorset 4,900 Spring Creek Acquisition Corporation Common G8374R112 27,261 3,900 SH DEFINED Dorset 3,900 Stone Tan China Acquisition Corporation Common 861752202 2,660,000 350,000 SH OTHER Dorset 350,000 Stone Tan China Acquisition Corporation Common 861752202 10,326,880 1,358,800 SH DEFINED Dorset 1,358,800
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 - ------------------------------------------------------------------------------------------------------------------------------------ Stone Tan China Acquisition Corporation Common 861752202 171,760 22,600 SH DEFINED Dorset 22,600 Stone Tan China Acquisition Corporation Common 861752202 141,360 18,600 SH DEFINED Dorset 18,600 Stoneleigh Partners Acquisition Corp. Common 861923100 857,000 108,400 SH OTHER Dorset 108,400 Stoneleigh Partners Acquisition Corp. Common 861923100 3,061,186 387,002 SH DEFINED Dorset 387,002 Stoneleigh Partners Acquisition Corp. Common 861923100 50,624 6,400 SH DEFINED Dorset 6,400 Stoneleigh Partners Acquisition Corp. Common 861923100 41,923 5,300 SH DEFINED Dorset 5,300 Suncor Energy, Inc. Common 867229106 1,115,800 50,000 SH DEFINED Dorset 50,000 Tailwind Financial Inc. Common 874023104 676,000 84,000 SH OTHER Dorset 84,000 Tailwind Financial Inc. Common 874023203 1,010,000 125,000 SH OTHER Dorset 125,000 Tailwind Financial Inc. Common 874023104 6,359,500 790,000 SH DEFINED Dorset 790,000 Tailwind Financial Inc. Common 874023104 113,505 14,100 SH DEFINED Dorset 14,100 Tailwind Financial Inc. Common 874023104 95,795 11,900 SH DEFINED Dorset 11,900 TFS Financial Corp. Common 87240R107 4,243,159 349,807 SH DEFINED Dorset 349,807 TFS Financial Corp. Common 87240R107 124,939 10,300 SH DEFINED Dorset 10,300 TFS Financial Corp. Common 87240R107 67,928 5,600 SH DEFINED Dorset 5,600 The Stephan Co. Common 858603103 168,000 76,560 SH OTHER Dorset 76,560 The Stephan Co. Common 858603103 413,090 187,768 SH DEFINED Dorset 187,768 The Stephan Co. Common 858603103 8,140 3,700 SH DEFINED Dorset 3,700 The Stephan Co. Common 858603103 5,170 2,350 SH DEFINED Dorset 2,350 Total SA Common 89151E109 12,265,000 250,000 SH DEFINED Dorset 250,000 Transgenomic, Inc. Common 89365K206 1,253,715 3,687,396 SH DEFINED Dorset 3,687,396 Transgenomic, Inc. Common 89365K206 59,160 174,000 SH DEFINED Dorset 174,000 Transgenomic, Inc. Common 89365K206 17,170 50,500 SH DEFINED Dorset 50,500 Transocean Inc. Common G90078109 10,179,320 173,000 SH DEFINED Dorset 173,000 Tridec Acquisition Co., Inc. Common 896992336 58,861 35,913 SH DEFINED Dorset 35,913 Tridec Acquisition Co., Inc. Common 896992336 2,937 1,792 SH DEFINED Dorset 1,792 Tridec Acquisition Co., Inc. Common 896992336 687 419 SH DEFINED Dorset 419 Triplecrown Acquisition Corp. Common 89677G208 823,000 87,500 SH OTHER Dorset 87,500 Triplecrown Acquisition Corp. Common 89677G208 5,588,300 594,500 SH DEFINED Dorset 594,500 Triplecrown Acquisition Corp. Common 89677G208 93,060 9,900 SH DEFINED Dorset 9,900 Triplecrown Acquisition Corp. Common 89677G208 76,140 8,100 SH DEFINED Dorset 8,100 U.S. Bancorp Common 902973304 5,458,296 373,600 SH DEFINED Dorset 373,600 U.S. Bancorp Common 902973304 128,568 8,800 SH DEFINED Dorset 8,800 U.S. Bancorp Common 902973304 83,277 5,700 SH DEFINED Dorset 5,700 UBS AG Common H89231338 1,569,152 166,400 SH DEFINED Dorset 166,400 UBS AG Common H89231338 206,517 21,900 SH DEFINED Dorset 21,900 UBS AG Common H89231338 25,461 2,700 SH DEFINED Dorset 2,700 Victory Acquistion Corp Common 92644D100 792,000 80,000 SH OTHER Dorset 80,000 Victory Acquistion Corp Common 92644D100 3,074,940 310,600 SH DEFINED Dorset 310,600 Victory Acquistion Corp Common 92644D100 51,480 5,200 SH DEFINED Dorset 5,200 Victory Acquistion Corp Common 92644D100 41,580 4,200 SH DEFINED Dorset 4,200 Wal-Mart Stores, Inc. Common 931142103 25,487,320 489,200 SH DEFINED Dorset 489,200 Wal-Mart Stores, Inc. Common 931142103 2,479,960 47,600 SH DEFINED Dorset 47,600 Wells Fargo & Co. Common 949746101 71,200 5,000 SH OTHER 5,000 Wells Fargo & Co. Common 949746101 6,335,618 444,917 SH DEFINED Dorset 444,917
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 - ------------------------------------------------------------------------------------------------------------------------------------ Wells Fargo & Co. Common 949746101 91,136 6,400 SH SOLE 6,400 Willis Group Holdings Limited Common G96655108 20,515,000 932,500 SH DEFINED Dorset 932,500 Willis Group Holdings Limited Common G96655108 858,000 39,000 SH DEFINED Dorset 39,000 Willis Group Holdings Limited Common G96655108 312,400 14,200 SH DEFINED Dorset 14,200 Wyeth Common 983024100 10,032,624 233,100 SH DEFINED Dorset 233,100 Wyeth Common 983024100 236,720 5,500 SH DEFINED Dorset 5,500 Wyeth Common 983024100 150,640 3,500 SH DEFINED Dorset 3,500 Totals 872,012,879 131,770,676 83,147,197 47,405,556 1,217,923 ====================================================================================
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