-----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, Dfqi/eP3v9FtL7Jk6NlvE21vpuu8ou0Uo6Nmv8703C+bJ7XVC6dLtZsGvcDvMhWf aWAl3j8Hi9k9XzkZk2Bosg== 0001047469-10-009670.txt : 20101112 0001047469-10-009670.hdr.sgml : 20101111 20101112115053 ACCESSION NUMBER: 0001047469-10-009670 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101112 DATE AS OF CHANGE: 20101112 EFFECTIVENESS DATE: 20101112 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: 101184465 MAIL ADDRESS: STREET 1: 485 UNDERHILL BLVD STREET 2: STE 205 CITY: SYOSSET STATE: NY ZIP: 11791-3419 13F-HR 1 a2201019z13f-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: September 30, 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 November 12, 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: 124 -------------------- Form 13F Information Table Value Total: $1,054,894 -------------------- (thousands) List of Other Included Managers: Dorset Management Corporation ("Dorset") FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ----------------------------- --------- --------- ------------- ------------------- ---------- -------- --------------------------- NAME OF ISSUER TITLE OF CUSIP VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY CLASS --------------------------- CLASS ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ----------------------------- --------- --------- ------------- ---------- --- ---- ---------- -------- ---------- ---------- ----- Akamai Technologies, Inc. Common 00971T101 29,214,796 582,200 SH DEFINED Dorset 582,200 Akamai Technologies, Inc. Common 00971T101 30,108 600 SH DEFINED Dorset 600 Amarin Corporation PLC Common 023111206 1,331,830 516,213 SH DEFINED Dorset 516,213 Amedisys, Inc. Common 023436108 2,251,480 94,600 SH DEFINED Dorset 94,600 Amedisys, Inc. Common 023436108 476,000 20,000 SH OTHER 20,000 Anadarko Petroleum Corporation Common 032511107 205,380 3,600 SH OTHER 3,600 Anadarko Petroleum Corporation Common 032511107 72,276,645 1,266,900 SH DEFINED Dorset 1,266,900 Anadarko Petroleum Corporation Common 032511107 30,929,657 542,150 SH DEFINED Dorset 542,150 Anadarko Petroleum Corporation Common 032511107 570,500 10,000 SH SOLE 10,000 Anheuser-Busch InBev NV Common 03524A108 12,096,625 205,900 SH DEFINED Dorset 205,900 Anheuser-Busch InBev NV Common 03524A108 1,175,000 20,000 SH DEFINED Dorset 20,000 Apache Corporation Common 037411105 29,328,000 300,000 SH DEFINED Dorset 300,000 Apollo Group, Inc. Common 037604105 3,430,180 66,800 SH DEFINED Dorset 66,800 Ascend Acquisition Corporation Common 04350H308 1,615 31,600 SH DEFINED Dorset 31,600 Aveta, Inc. Common 05365U101 4,859,992 561,200 SH DEFINED Dorset 561,200 Aveta, Inc. Common 05365U101 204,376 23,600 SH DEFINED Dorset 23,600 Baker Hughes Incorporated Common 057224107 25,112,700 589,500 SH DEFINED Dorset 589,500 Beazer Homes USA, Inc. Common 07556Q105 1,239,413 300,100 SH DEFINED Dorset 300,100 Cabot Oil & Gas Corporation Common 127097103 21,679,200 720,000 SH DEFINED Dorset 720,000 Anadarko Petroleum Corp.@62.5 Exp1/11 Common 9EDC543K1 442,458 1,569 SH Call DEFINED Dorset 1,569 Anadarko Petroleum Corp.@75 Exp1/11 Common 9EDBXWHK5 132,345 2,595 SH Call DEFINED Dorset 2,595 Anadarko Petroleum Corp.@75 Exp1/11 Common 9EDBXWHK5 6,018 118 SH Call DEFINED Dorset 118 Cambium Learning Group, Inc. Common 13201A107 1,547,200 483,500 SH DEFINED Dorset 483,500 Canadian Natural Resources Ltd. Common 136385101 349,460 10,100 SH OTHER 10,100 Canadian Natural Resources Ltd. Common 136385101 24,985,649 722,400 SH DEFINED Dorset 722,400 Canadian Natural Resources Ltd. Common 136385101 26,199,652 757,500 SH DEFINED Dorset 757,500 Canadian Natural Resources Ltd. Common 136385101 996,480 28,800 SH SOLE 28,800 Capella Education Co. Common 139594105 2,072,454 26,700 SH DEFINED Dorset 26,700 Check Point Software Technologies Ltd Common M22465104 3,899,808 105,600 SH DEFINED Dorset 105,600 Chevron Corporation Common 166764100 34,851,500 430,000 SH DEFINED Dorset 430,000 China Ceramics Co. Ltd. Common G2113X100 7,072,240 1,316,500 SH DEFINED Dorset 1,316,500 China Ceramics Co. Ltd. Common G2113X100 179,960 33,500 SH DEFINED Dorset 33,500 China TopReach Inc. 6 1/23/11 Common G21117117 466,200 77,700 SH Call DEFINED Dorset 77,700 China TopReach Inc. 6 1/23/11 Common G21117117 7,800 1,300 SH Call DEFINED Dorset 1,300 Citigroup Inc. Common 172967101 5,109,979 1,306,900 SH DEFINED Dorset 1,306,900 Citigroup Inc. Common 172967101 3,910 1,000 SH DEFINED Dorset 1,000 Citizens Community Bancorp Common 174903104 66,450 15,000 SH SOLE 15,000 Clarus Corporation Common 182707109 2,365,722 361,179 SH DEFINED Dorset 361,179 Columbia Laboratories, Inc. Common 197779101 654 600 SH OTHER 600 Columbia Laboratories, Inc. Common 197779101 4,174,958 3,900,976 SH DEFINED Dorset 3,900,976 Columbia Laboratories, Inc. Common 197779101 114,432 107,547 SH DEFINED Dorset 107,547 Comerica Incorporated Common 200340107 2,500,195 67,300 SH DEFINED Dorset 67,300 Crucell NV Common 228769105 13,151,004 395,400 SH DEFINED Dorset 395,400 Crucell NV Common 228769105 152,996 4,600 SH DEFINED Dorset 4,600 CVS Caremark Corporation Common 126650100 9,972,843 316,900 SH DEFINED Dorset 316,900 CVS Caremark Corporation Common 126650100 704,928 22,400 SH DEFINED Dorset 22,400 Devon Energy Corp. Common 25179M103 17,803,500 275,000 SH DEFINED Dorset 275,000 Eagle Materials Common 26969P108 5,404 228 SH OTHER 228 Elster Group SE Common 290348101 3,795,000 275,000 SH DEFINED Dorset 275,000 EnCana Corp. Common 292505104 24,171,200 800,000 SH DEFINED Dorset 800,000
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ----------------------------- --------- --------- ------------- ------------------- ---------- -------- --------------------------- NAME OF ISSUER TITLE OF CUSIP VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY CLASS --------------------------- CLASS ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ----------------------------- --------- --------- ------------- ---------- --- ---- ---------- -------- ---------- ---------- ----- EniSpa Sponsored ADR Common 26874R108 64,770 1,500 SH OTHER 1,500 EniSpa Sponsored ADR Common 26874R108 64,770 1,500 SH SOLE 1,500 Essex Rental Corp. @5.00 Exp. 3/4/11 Common 297187114 9,858,510 1,971,702 SH Call DEFINED Dorset 1,971,702 Essex Rental Corp. @5.00 Exp. 3/4/11 Common 297187114 261,500 52,300 SH Call DEFINED Dorset 52,300 Essex Rental Corporation Common 297187106 12,090,482 2,447,466 SH DEFINED Dorset 2,447,466 Essex Rental Corporation Common 297187106 1,324,908 268,200 SH DEFINED Dorset 268,200 Express Scripts, Inc. Common 302182100 9,009,500 185,000 SH DEFINED Dorset 185,000 FMC Technologies, Inc. Common 30249U101 21,852,800 320,000 SH DEFINED Dorset 320,000 FutureFuel Corporation Common 36116M106 16,091,850 2,145,580 SH DEFINED Dorset 2,145,580 FutureFuel Corporation Common 36116M106 258,900 34,520 SH DEFINED Dorset 34,520 Gilead Sciences Inc. Common 375558103 13,850,474 388,949 SH DEFINED Dorset 388,949 Golden Gate Homes Inc. Common 381047109 1,371 5,484 SH DEFINED Dorset 5,484 Halliburton Company Common 406216101 29,763,000 900,000 SH DEFINED Dorset 900,000 Helmerich & Payne, Inc. Common 423452101 26,218,080 648,000 SH DEFINED Dorset 648,000 Hess Corporation Common 42809H107 29,560,000 500,000 SH DEFINED Dorset 500,000 Hewlett-Packard Company Common 428236103 17,766,161 422,300 SH DEFINED Dorset 422,300 Hewlett-Packard Company Common 428236103 1,089,613 25,900 SH DEFINED Dorset 25,900 ITT Educational Services, Inc. Common 45068B109 7,490,782 106,600 SH DEFINED Dorset 106,600 Jazz Pharmaceuticals, Inc. Common 472147107 4,641,798 432,600 SH DEFINED Dorset 432,600 Johnson & Johnson Common 478160104 123,920 2,000 SH OTHER 2,000 Johnson & Johnson Common 478160104 123,920 2,000 SH SOLE 2,000 JPMorgan Chase & Co. Common 46625H100 251,196 6,600 SH OTHER 6,600 JPMorgan Chase & Co. Common 46625H100 74,472,002 1,956,700 SH DEFINED Dorset 1,956,700 JPMorgan Chase & Co. Common 46625H100 6,877,442 180,700 SH DEFINED Dorset 180,700 JPMorgan Chase & Co. Common 46625H100 654,632 17,200 SH SOLE 17,200 Kraft Foods Inc. Common 50075N104 123,440 4,000 SH DEFINED Dorset Kraft Foods Inc. Common 50075N104 19,549,810 633,500 SH DEFINED Dorset 633,500 Kraft Foods Inc. Common 50075N104 5,860,314 189,900 SH DEFINED Dorset 189,900 Kraft Foods Inc. Common 50075N104 191,332 6,200 SH SOLE 6,200 Ligand Pharmaceuticals Incorporated Common 53220K207 10,933,185 6,919,737 SH DEFINED Dorset 6,919,737 Ligand Pharmaceuticals Incorporated Common 53220K207 413,154 261,490 SH DEFINED Dorset 261,490 LM Ericsson Telephone Company Common 294821608 43,880 4,000 SH SOLE 4,000 LM Ericsson Telephone Company Common 294821608 21,650,392 1,973,600 SH DEFINED Dorset 1,973,600 LM Ericsson Telephone Company Common 294821608 2,255,432 205,600 SH DEFINED Dorset 205,600 Microsoft Corporation Common 594918104 5,358,412 218,800 SH DEFINED Dorset 218,800 Millicom International Cellular SA Common L6388F110 7,320,985 76,300 SH DEFINED Dorset 76,300 Molson Coors Brewing Company Common 60871R209 19,747,404 418,200 SH DEFINED Dorset 418,200 Murphy Oil Corporation Common 626717102 35,604,000 575,000 SH DEFINED Dorset 575,000 Nabi Biopharmaceuticals Common 629519109 1,168,819 243,504 SH DEFINED Dorset 243,504 Noble Corporation Common H5833N103 6,758,000 200,000 SH DEFINED Dorset 200,000 Noble Energy Inc Common 655044105 34,466,310 459,000 SH DEFINED Dorset 459,000 Northgate Minerals Corp. Common 666416102 6,060,000 2,000,000 SH DEFINED Dorset 2,000,000 OBA Financial Services, Inc. Common 67424G101 55,450 5,000 SH OTHER 5,000 OBA Financial Services, Inc. Common 67424G101 275,750 25,000 SH DEFINED Dorset 25,000 Onyx Pharmaceuticals, Inc. Common 683399109 13,033,514 494,068 SH DEFINED Dorset 494,068 Oracle Healthcare Acquisition Corporation Common 68402M102 22 108,478 SH DEFINED Dorset 108,478 Oracle Healthcare Acquisition Corporation Common 68402M102 0 2,100 SH DEFINED Dorset 2,100 Orient-Express Hotels Ltd. Common G67743107 1,526,435 136,900 SH DEFINED Dorset 136,900 Orient-Express Hotels Ltd. Common G67743107 5,575 500 SH DEFINED Dorset 500 Petroleo Brasileiro SA Common 71654V408 18,135,000 500,000 SH DEFINED Dorset 500,000
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ----------------------------- --------- --------- ------------- ------------------- ---------- -------- --------------------------- NAME OF ISSUER TITLE OF CUSIP VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY CLASS --------------------------- CLASS ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ----------------------------- --------- --------- ------------- ---------- --- ---- ---------- -------- ---------- ---------- ----- Pfizer Inc. Common 717081103 206,040 12,000 SH OTHER 12,000 Pfizer Inc. Common 717081103 21,553,089 1,255,276 SH DEFINED Dorset 1,255,276 Pfizer Inc. Common 717081103 2,470,763 143,900 SH DEFINED Dorset 143,900 Pfizer Inc. Common 717081103 434,865 25,327 SH SOLE 25,327 Rand Logistics, Inc. Common 752182105 13,088,241 2,644,089 SH DEFINED Dorset 2,644,089 Rand Logistics, Inc. Common 752182105 442,035 89,300 SH DEFINED Dorset 89,300 RC2 Corporation Common 749388104 3,530,075 168,500 SH DEFINED Dorset 168,500 Schlumberger Limited Common 806857108 24,613,195 399,500 SH DEFINED Dorset 399,500 SM Energy Company Common 78454L100 2,060,300 55,000 SH DEFINED Dorset 55,000 Southpeak Inter. Corp. @6 Exp. 4/17/2011 Common 844649111 985,500 197,100 SH Call DEFINED Dorset 197,100 Southwestern Energy Company Common 845467109 8,360,000 250,000 SH DEFINED Dorset 250,000 State Street Corporation Common 857477103 8,861,398 235,300 SH DEFINED Dorset 235,300 Strayer Education, Inc Common 863236105 5,653,800 32,400 SH DEFINED Dorset 32,400 SunTrust Banks, Inc. Common 867914103 7,255,647 280,900 SH DEFINED Dorset 280,900 The Stephan Co. Common 858603103 464,401 182,118 SH DEFINED Dorset 182,118 Total SA Common 89151E109 61,920 1,200 SH OTHER 1,200 Total SA Common 89151E109 61,920 1,200 SH SOLE 1,200 Wal-Mart Stores Common 931142103 13,995,480 261,500 SH DEFINED Dorset 261,500 Wal-Mart Stores Common 931142103 1,894,608 35,400 SH DEFINED Dorset 35,400 Wells Fargo & Company Common 949746101 11,191,244 445,600 SH DEFINED Dorset 445,600 Westway Group Inc. Common 96169B100 9,079,980 2,785,270 SH DEFINED Dorset 2,785,270 Westway Group Inc. Common 96169B100 234,303 71,872 SH DEFINED Dorset 71,872 UIB Group Ltd. 6 Exp1/23/11 Common G91705114 374,400 62,400 SH Call DEFINED Dorset 62,400 UIB Group Ltd. 6 Exp1/23/11 Common G91705114 6,000 1,000 SH Call DEFINED Dorset 1,000 Total: 1,054,894,096 56,022,705 44,957,880 11,040,825
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