-----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, H/KFhy5KQCEEEuZD0G9vZ2d5eSOBMafSPUU6JYnu9L55d5a43F5cZ7I7+ELWAnJP yQdeUfWxXdorfQV4gA2pDw== 0001047469-10-005295.txt : 20100514 0001047469-10-005295.hdr.sgml : 20100514 20100514103744 ACCESSION NUMBER: 0001047469-10-005295 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100330 FILED AS OF DATE: 20100514 DATE AS OF CHANGE: 20100514 EFFECTIVENESS DATE: 20100514 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: 10831155 MAIL ADDRESS: STREET 1: 485 UNDERHILL BLVD STREET 2: STE 205 CITY: SYOSSET STATE: NY ZIP: 11791-3419 13F-HR 1 a2198806z13f-hr.txt 13F-HR ---------------------------- OMB APPROVAL ---------------------------- OMB Number: 3235-0006 Expires: August 31, 2012 Estimated average burden hours per response:....23.5 ---------------------------- 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, 2010 ----------------------- 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 14, 2010 ------------------------------- ----------------- -------------- [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: 153 -------------------- Form 13F Information Table Value Total: $1,109,093 -------------------- (thousands) List of Other Included Managers: Dorset Management Corporation ("Dorset") FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ Akamai Technologies, Inc. Common 00971T101 18,858,284 600,200 SH DEFINED Dorset 600,200 Akamai Technologies, Inc. Common 00971T101 527,856 16,800 SH DEFINED Dorset 16,800 Alcon, Inc. Common H01301102 4,895,268 30,300 SH DEFINED Dorset 30,300 Amedisys, Inc. Common 023436108 1,105,500 20,000 SH OTHER Dorset 20,000 Amedisys, Inc. Common 023436108 14,793,438 267,900 SH DEFINED Dorset 267,900 Amedisys, Inc. Common 023436108 392,062 7,100 SH DEFINED Dorset 7,100 American Water Works Co., Inc Common 030420103 4,299,080 197,568 SH DEFINED Dorset 197,568 American Water Works Co., Inc Common 030420103 117,504 5,400 SH DEFINED Dorset 5,400 Anadarko Petroleum Corporation Common 032511107 262,188 3,600 SH OTHER 3,600 Anadarko Petroleum Corporation Common 032511107 728,300 10,000 SH SOLE 10,000 Anadarko Petroleum Corporation Common 032511107 102,639,319 1,409,300 SH DEFINED Dorset 1,409,300 Anadarko Petroleum Corporation Common 032511107 52,794,467 724,900 SH DEFINED Dorset 724,900 Ascend Acquisition Corporation Common 04350H308 1,896 31,600 SH DEFINED Dorset 31,600 Ascend Acquisition Corporation Common 04350H308 31 520 SH DEFINED Dorset 520 Aveta, Inc. Common 05365U101 4,747,752 561,200 SH DEFINED Dorset 561,200 Aveta, Inc. Common 05365U101 199,656 23,600 SH DEFINED Dorset 23,600 Baker Hughes Incorporated Common 057224107 24,099,180 514,500 SH DEFINED Dorset 514,500 Blockbuster Inc.- Class B Common 093679207 366,084 1,926,760 SH DEFINED Dorset 1,926,760 Blockbuster Inc.- Class B Common 093679207 24,567 129,300 SH DEFINED Dorset 129,300 Cabot Oil & Gas Corporation Common 127097103 22,816,000 620,000 SH DEFINED Dorset 620,000 Cambium Learning Group, Inc. Common 13201A107 779,200 194,800 SH DEFINED Dorset 194,800 Cambium Learning Group, Inc. Common 13201A107 20,800 5,200 SH DEFINED Dorset 5,200 Canadian Natural Resources Ltd. Common 136385101 1,066,176 14,400 SH SOLE 14,400 Canadian Natural Resources Ltd. Common 136385101 373,902 5,050 SH OTHER 5,050 Canadian Natural Resources Ltd. Common 136385101 27,476,571 371,300 SH DEFINED Dorset 371,300 Canadian Natural Resources Ltd. Common 136385101 27,561,672 372,450 SH DEFINED Dorset 372,450 Cenovus Energy Inc. Common 15135U109 15,017,275 575,000 SH DEFINED Dorset 575,000 Cepheid, Inc. Common 15670R107 8,860,018 506,866 SH DEFINED Dorset 506,866 Cepheid, Inc. Common 15670R107 8,740 500 SH DEFINED Dorset 500 Chevron Corporation Common 166764100 30,332,000 400,000 SH DEFINED Dorset 400,000 China Ceramics Co. Ltd. Common G2113X100 11,602,764 1,316,500 SH DEFINED Dorset 1,316,500 China Ceramics Co. Ltd. Common G2113X100 295,236 33,500 SH DEFINED Dorset 33,500 China TopReach Inc. Common G21117117 466,200 77,700 SH Call DEFINED Dorset 77,700 China TopReach Inc. Common G21117117 7,800 1,300 SH Call DEFINED Dorset 1,300 Citizens Community Bancorp Common 174903104 59,400 15,000 SH SOLE 15,000 Clarus Corporation Common 182707109 1,792,800 373,500 SH DEFINED Dorset 373,500 Clarus Corporation Common 182707109 48,000 10,000 SH DEFINED Dorset 10,000 Columbia Laboratories, Inc. Common 197779101 642 600 SH OTHER 600 Columbia Laboratories, Inc. Common 197779101 3,226,069 3,015,018 SH DEFINED Dorset 3,015,018 Columbia Laboratories, Inc. Common 197779101 72,310 67,579 SH DEFINED Dorset 67,579 Comerica Incorporated Common 200340107 2,491,620 65,500 SH DEFINED Dorset 65,500 Comerica Incorporated Common 200340107 68,472 1,800 SH DEFINED Dorset 1,800 Crucell NV Common 228769105 15,212,366 746,436 SH DEFINED Dorset 746,436 Crucell NV Common 228769105 586,944 28,800 SH DEFINED Dorset 28,800 CVS Caremark Corporation Common 126650100 11,947,808 326,800 SH DEFINED Dorset 326,800 CVS Caremark Corporation Common 126650100 910,344 24,900 SH DEFINED Dorset 24,900
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 - ------------------------------------------------------------------------------------------------------------------------------------ Developers Development Realty Corporation 3.000% Due 03-15-12 Common 251591AS2 1,674,661 1,735,400 PRN DEFINED Dorset 1,735,400 Developers Development Realty Corporation 3.000% Due 03-15-12 Common 251591AS2 45,065 46,700 PRN DEFINED Dorset 46,700 Devon Energy Corp. Common 25179M103 22,550,500 350,000 SH DEFINED Dorset 350,000 Eagle Materials Common 26969P108 6,051 228 SH OTHER 228 EnCana Corp. Common 292505104 18,664,800 600,000 SH DEFINED Dorset 600,000 EniSpa Sponsored ADR Common 26874R108 70,395 1,500 SH OTHER 1,500 EniSpa Sponsored ADR Common 26874R108 70,395 1,500 SH SOLE 1,500 Entergy Corp. Common 29364G103 15,049,750 185,000 SH DEFINED Dorset 185,000 Essex Rental Corp. (Hyde Park)5.0Exp3/4/11 Common 297187114 1,975,000 395,000 SH Call DEFINED Dorset 395,000 Essex Rental Corporation Common 297187106 4,941,090 716,100 SH DEFINED Dorset 716,100 Essex Rental Corporation Common 297187106 1,489,710 215,900 SH DEFINED Dorset 215,900 Essex Rental Corporation units Common 297187205 14,641,855 1,692,700 SH DEFINED Dorset 1,692,700 Essex Rental Corporation units Common 297187205 452,395 52,300 SH DEFINED Dorset 52,300 Express Scripts, Inc. Common 302182100 19,252,992 189,200 SH DEFINED Dorset 189,200 Express Scripts, Inc. Common 302182100 518,976 5,100 SH DEFINED Dorset 5,100 FedEx Corp. Common 31482X106 8,023,060 85,900 SH DEFINED Dorset 85,900 FedEx Corp. Common 31482X106 504,360 5,400 SH DEFINED Dorset 5,400 FMC Technologies, Inc. Common 302490101 21,974,200 340,000 SH DEFINED Dorset 340,000 FutureFuel Corporation Common 36116M106 13,019,280 2,169,880 SH DEFINED Dorset 2,169,880 FutureFuel Corporation Common 36116M106 207,000 34,500 SH DEFINED Dorset 34,500 Gilead Sciences Inc. Common 375558103 12,554,267 276,100 SH DEFINED Dorset 276,100 Gilead Sciences Inc. Common 375558103 336,478 7,400 SH DEFINED Dorset 7,400 Golden Gate Homes Inc. Common 381047109 1,700 5,484 SH DEFINED Dorset 5,484 Golden Gate Homes Inc. Common 381047109 27 86 SH DEFINED Dorset 86 Halliburton Company Common 406216101 18,379,300 610,000 SH DEFINED Dorset 610,000 Hess Corporation Common 42809H107 32,526,000 520,000 SH DEFINED Dorset 520,000 Hewlett-Packard Company Common 428236103 22,822,610 429,400 SH DEFINED Dorset 429,400 Hewlett-Packard Company Common 428236103 648,430 12,200 SH DEFINED Dorset 12,200 Johnson & Johnson Common 478160104 130,400 2,000 SH SOLE 2,000 Johnson & Johnson Common 478160104 130,400 2,000 SH OTHER 2,000 Johnson & Johnson Common 478160104 28,029,480 429,900 SH DEFINED Dorset 429,900 Johnson & Johnson Common 478160104 788,920 12,100 SH DEFINED Dorset 12,100 JPMorgan Chase & Co. Common 46625H100 769,700 17,200 SH SOLE 17,200 JPMorgan Chase & Co. Common 46625H100 295,350 6,600 SH OTHER 6,600 JPMorgan Chase & Co. Common 46625H100 90,368,150 2,019,400 SH DEFINED Dorset 2,019,400 JPMorgan Chase & Co. Common 46625H100 8,251,900 184,400 SH DEFINED Dorset 184,400 Kraft Foods Inc. Common 50075N104 187,488 6,200 SH SOLE 6,200 Kraft Foods Inc. Common 50075N104 120,960 4,000 SH OTHER 4,000 Kraft Foods Inc. Common 50075N104 13,211,856 436,900 SH DEFINED Dorset 436,900 Kraft Foods Inc. Common 50075N104 3,187,296 105,400 SH DEFINED Dorset 105,400 Ligand Pharmaceuticals Incorporated Common 53220K207 12,040,343 6,919,737 SH DEFINED Dorset 6,919,737 Ligand Pharmaceuticals Incorporated Common 53220K207 454,993 261,490 SH DEFINED Dorset 261,490 LM Ericsson Telephone Company Common 294821608 41,720 4,000 SH SOLE 4,000 LM Ericsson Telephone Company Common 294821608 20,068,812 1,922,300 SH DEFINED Dorset 1,922,300 LM Ericsson Telephone Company Common 294821608 1,846,836 176,900 SH DEFINED Dorset 176,900 Mariner Energy, Inc. Common 56845T305 4,414,653 294,900 SH DEFINED Dorset 294,900
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 - ------------------------------------------------------------------------------------------------------------------------------------ Mariner Energy, Inc. Common 56845T305 432,633 28,900 SH DEFINED Dorset 28,900 Massey Energy Co. Common 576206106 26,145 500 SH DEFINED Dorset 500 Microsoft Corporation Common 594918104 13,182,304 450,100 SH DEFINED Dorset 450,100 Microsoft Corporation Common 594918104 354,379 12,100 SH DEFINED Dorset 12,100 Millicom International Cellular SA Common L6388F110 8,130,480 91,200 SH DEFINED Dorset 91,200 Millicom International Cellular SA Common L6388F110 71,320 800 SH DEFINED Dorset 800 Molson Coors Brewing Company Common 60871R209 10,874,992 258,559 SH DEFINED Dorset 258,559 Molson Coors Brewing Company Common 60871R209 803,346 19,100 SH DEFINED Dorset 19,100 Murphy Oil Corporation Common 626717102 17,418,900 310,000 SH DEFINED Dorset 310,000 Nabi Biopharmaceuticals Common 629519109 11,244,733 2,044,497 SH DEFINED Dorset 2,044,497 Nabi Biopharmaceuticals Common 629519109 301,950 54,900 SH DEFINED Dorset 54,900 Noble Corporation Common H5833N103 12,546,000 300,000 SH DEFINED Dorset 300,000 Noble Energy Inc Common 655044105 33,507,000 459,000 SH DEFINED Dorset 459,000 OBA Financial Services, Inc. Common 67424G101 268,752 25,000 SH DEFINED Dorset 25,000 OBA Financial Services, Inc. Common 67424G101 53,800 5,000 SH OTHER 5,000 Onyx Pharmaceuticals, Inc. Common 683399109 19,578,079 646,568 SH DEFINED Dorset 646,568 Onyx Pharmaceuticals, Inc. Common 683399109 526,872 17,400 SH DEFINED Dorset 17,400 Oracle Healthcare Acquisition Corporation Common 68402M102 542 108,478 SH DEFINED Dorset 108,478 Oracle Healthcare Acquisition Corporation Common 68402M102 19 3,800 SH DEFINED Dorset 3,800 Orient-Express Hotels Ltd. Common G67743107 6,190,988 436,600 SH DEFINED Dorset 436,600 Orient-Express Hotels Ltd. Common G67743107 180,086 12,700 SH DEFINED Dorset 12,700 Pet DRx Corporation Common 715813101 366,420 1,083,441 SH DEFINED Dorset 1,083,441 Pet DRx Corporation Common 715813101 13,391 39,594 SH DEFINED Dorset 39,594 Pet DRx Corporation - units Common 715813200 199,267 589,200 SH DEFINED Dorset 589,200 Pet DRx Corporation - units Common 715813200 8,726 25,800 SH DEFINED Dorset 25,800 Petroleo Brasileiro SA Common 71654V408 17,800,000 400,000 SH DEFINED Dorset 400,000 Pfizer Inc. Common 717081103 434,358 25,327 SH SOLE 25,327 Pfizer Inc. Common 717081103 205,800 12,000 SH OTHER 12,000 Pfizer Inc. Common 717081103 32,115,776 1,872,640 SH DEFINED Dorset 1,872,640 Pfizer Inc. Common 717081103 3,008,727 175,436 SH DEFINED Dorset 175,436 Progenics Pharmaceuticals, Inc. Common 743187106 2,641,873 495,661 SH DEFINED Dorset 495,661 Progenics Pharmaceuticals, Inc. Common 743187106 71,422 13,400 SH DEFINED Dorset 13,400 Rand Logistics, Inc. Common 752182105 13,484,854 2,644,089 SH DEFINED Dorset 2,644,089 Rand Logistics, Inc. Common 752182105 455,430 89,300 SH DEFINED Dorset 89,300 RC2 Corporation Common 749388104 363,771 24,300 SH DEFINED Dorset 24,300 RC2 Corporation Common 749388104 10,479 700 SH DEFINED Dorset 700 Schlumberger Limited Common 806857108 27,573,370 434,500 SH DEFINED Dorset 434,500 Scientific Games Corporation Common 80874P109 3,001,197 212,700 SH DEFINED Dorset 212,700 Scientific Games Corporation Common 80874P109 81,838 5,800 SH DEFINED Dorset 5,800 Southpeak Inter. Corp.WTS 6 EXP 4/17/2011 Common 844649111 985,500 197,100 SH Call DEFINED Dorset 197,100 Southpeak Inter. Corp.WTS 6 EXP 4/17/2011 Common 844649111 17,000 3,400 SH Call DEFINED Dorset 3,400 Southwestern Energy Company Common 845467109 10,994,400 270,000 SH DEFINED Dorset 270,000 State Street Corporation Common 857477103 10,341,574 229,100 SH DEFINED Dorset 229,100 State Street Corporation Common 857477103 279,868 6,200 SH DEFINED Dorset 6,200 SunTrust Banks, Inc. Common 867914103 7,605,681 283,900 SH DEFINED Dorset 283,900 The Stephan Co. Common 858603103 462,800 177,318 SH DEFINED Dorset 177,318
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 - ------------------------------------------------------------------------------------------------------------------------------------ The Stephan Co. Common 858603103 12,528 4,800 SH DEFINED Dorset 4,800 Thermo Fisher Scientific, Inc. Common 883556102 8,832,248 171,700 SH DEFINED Dorset 171,700 Thermo Fisher Scientific, Inc. Common 883556102 241,768 4,700 SH DEFINED Dorset 4,700 Total SA Common 89151E109 69,624 1,200 SH SOLE 1,200 Total SA Common 89151E109 69,624 1,200 SH OTHER 1,200 Total SA Common 89151E109 11,604,000 200,000 SH DEFINED Dorset 200,000 Transocean Ltd. Common H8817H100 12,525,100 145,000 SH DEFINED Dorset 145,000 UIB Group Ltd. WTS exp 1/23/2011 Common G91705114 374,400 62,400 SH Call DEFINED Dorset 62,400 UIB Group Ltd. WTS exp 1/23/2011 Common G91705114 6,000 1,000 SH Call DEFINED Dorset 1,000 Wal-Mart Stores, Inc. Common 931142103 29,896,120 537,700 SH DEFINED Dorset 537,700 Wal-Mart Stores, Inc. Common 931142103 3,636,240 65,400 SH DEFINED Dorset 65,400 Wells Fargo & Company Common 949746101 10,814,200 347,500 SH DEFINED Dorset 347,500 Wells Fargo & Company Common 949746101 292,528 9,400 SH DEFINED Dorset 9,400 Westway Group Inc. Common 96169B100 12,486,082 2,785,270 SH DEFINED Dorset 2,785,270 Westway Group Inc. Common 96169B100 322,314 71,872 SH DEFINED Dorset 71,872 Total 1,190,092,783 58,144,702 47,609,897 10,514,805
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