0001047469-12-000845.txt : 20120210 0001047469-12-000845.hdr.sgml : 20120210 20120210171249 ACCESSION NUMBER: 0001047469-12-000845 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120210 DATE AS OF CHANGE: 20120210 EFFECTIVENESS DATE: 20120210 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: 12594013 MAIL ADDRESS: STREET 1: 485 UNDERHILL BLVD STREET 2: STE 205 CITY: SYOSSET STATE: NY ZIP: 11791-3419 13F-HR 1 a2207271z13f-hr.txt 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2011 ----------------------- Check Here if Amendment / /; Amendment Number: --------- This Amendment (Check only one.): / / is a restatement. / / adds new holdings entries. Institutional Investment Manager Filing this Report: Name: 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 February 10, 2012 ------------------------------- ----------------- ----------------- [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: 108 -------------------- Form 13F Information Table Value Total: $854,616 -------------------- (thousands) List of Other Included Managers: Dorset Management Corporation ("Dorset")
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------------------------------------------------------ Voting Authority Title of Value Shrs or SH/ Put/ Investment Other ------------------------- Name of Issuer Class CUSIP ($) prn amt PRN Call discretion Managers Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ AMAG Pharmaceuticals, Inc. Common 00163U106 6,336,741 335,100 SH DEFINED Dorset 335,100 Amarin Corporation PLC Common 023111206 739,263 98,700 SH DEFINED Dorset 98,700 Amedisys, Inc. Common 023436108 2,719,099 249,230 SH DEFINED Dorset 249,230 Ameriprise Financial Inc. Common 03076C106 4,964,000 100,000 SH DEFINED Dorset 100,000 Anadarko Petroleum Corporation Common 032511107 763,300 10,000 SH SOLE 10,000 Anadarko Petroleum Corporation Common 032511107 78,314,580 1,026,000 SH DEFINED Dorset 1,026,000 Anadarko Petroleum Corporation Common 032511107 33,985,932 445,250 SH DEFINED Dorset 445,250 Anadarko Petroleum Corporation Common 032511107 351,118 4,600 SH OTHER 4,600 Anchor Bank WA Common 032838104 46,500 7,500 SH SOLE 7,500 Anchor Bank WA Common 032838104 31,000 5,000 SH OTHER 5,000 Anheuser-Busch InBev NV Common 03524A108 17,315,061 283,900 SH DEFINED Dorset 283,900 Anheuser-Busch InBev NV Common 03524A108 359,841 5,900 SH DEFINED Dorset 5,900 Apache Corporation Common 037411105 16,304,400 180,000 SH DEFINED Dorset 180,000 Apple Inc. Common 037833100 20,250 50 SH SOLE 50 Apple Inc. Common 037833100 20,250 50 SH OTHER 50 Asia Entertainment & Resources Ltd. Common G0539K108 3,987,228 678,100 SH DEFINED Dorset 678,100 Auxilium Pharmaceuticals Inc. Common 05334D107 4,932,675 247,500 SH DEFINED Dorset 247,500 Baker Hughes Incorporated Common 057224107 21,158,400 435,000 SH DEFINED Dorset 435,000 Black Diamond, Inc. Common 09202G101 2,142,986 286,879 SH DEFINED Dorset 286,879 Cabot Oil & Gas Corporation Common 127097103 9,867,000 130,000 SH DEFINED Dorset 130,000 Cambium Learning Group Inc. Common 13201A107 1,460,170 483,500 SH DEFINED Dorset 483,500 Canadian Natural Resources Ltd. Common 136385101 880,811 23,570 SH SOLE 23,570 Canadian Natural Resources Ltd. Common 136385101 22,159,165 591,700 SH DEFINED Dorset 591,700 Canadian Natural Resources Ltd. Common 136385101 28,417,060 758,800 SH DEFINED Dorset 758,800 Canadian Natural Resources Ltd. Common 136385101 364,358 9,750 SH OTHER 9,750 Capitol Federal Financial, Inc. Common 14057J101 11,055,320 958,000 SH DEFINED Dorset 958,000 Capitol Federal Financial, Inc. Common 14057J101 23,080 2,000 SH DEFINED Dorset 2,000 Chevron Corporation Common 166764100 24,472,000 230,000 SH DEFINED Dorset 230,000 China Ceramics Co. Ltd. Common G2113X100 3,588,458 1,241,681 SH DEFINED Dorset 1,241,681 China Ceramics Co. Ltd. Common G2113X100 50,286 17,400 SH DEFINED Dorset 17,400 Citizens Community Bancorp Inc. Common 174903104 75,000 15,000 SH SOLE 15,000 Columbia Laboratories, Inc. Common 197779101 1,500 600 SH OTHER 600 Columbia Laboratories, Inc. Common 197779101 10,261,705 4,104,682 SH DEFINED Dorset 4,104,682 Columbia Laboratories, Inc. Common 197779101 333,250 133,300 SH DEFINED Dorset 133,300 Cott Corporation Common 22163N106 1,171,872 187,200 SH DEFINED Dorset 187,200 Cott Corporation Common 22163N106 24,414 3,900 SH DEFINED Dorset 3,900 Devon Energy Corp. Common 25179M103 17,980,000 290,000 SH DEFINED Dorset 290,000 Eagle Materials Inc. Common 26969P108 47,856 1,865 SH SOLE 1,865 Eagle Materials Inc. Common 26969P108 5,850 228 SH OTHER 228 Elster Group SE Common 290348101 5,016,738 386,200 SH DEFINED Dorset 386,200 Essex Rental Corporation Common 297187106 7,076,360 2,398,766 SH DEFINED Dorset 2,398,766 Essex Rental Corporation Common 297187106 934,855 316,900 SH DEFINED Dorset 316,900 Express Scripts, Inc. Common 302182100 8,643,046 193,400 SH DEFINED Dorset 193,400
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------------------------------------------------------ Voting Authority Title of Value Shrs or SH/ Put/ Investment Other ------------------------- Name of Issuer Class CUSIP ($) prn amt PRN Call discretion Managers Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ FMC Technologies, Inc. Common 302490101 16,452,450 315,000 SH DEFINED Dorset 315,000 Fusion-io, Inc. Common 36112J107 2,341,350 96,750 SH DEFINED Dorset 96,750 FutureFuel Corporation Common 36116M106 22,815,540 1,837,000 SH DEFINED Dorset 1,837,000 FutureFuel Corporation Common 36116M106 12,420 1,000 SH DEFINED Dorset 1,000 Green Mountain Coffee Roasters, Inc. Common 393122106 1,735,695 38,700 SH DEFINED Dorset 38,700 Halliburton Company Common 406216101 13,804,000 400,000 SH DEFINED Dorset 400,000 Helmerich & Payne, Inc. Common 423452101 17,799,800 305,000 SH DEFINED Dorset 305,000 Hess Corporation Common 42809H107 28,701,040 505,300 SH DEFINED Dorset 505,300 InterOil Corporation Common 460951106 3,200,738 62,600 SH DEFINED Dorset 62,600 JPMorgan Chase & Co. Common 46625H100 448,875 13,500 SH SOLE 13,500 JPMorgan Chase & Co. Common 46625H100 32,242,525 969,700 SH DEFINED Dorset 969,700 JPMorgan Chase & Co. Common 46625H100 2,397,325 72,100 SH DEFINED Dorset 72,100 JPMorgan Chase & Co. Common 46625H100 219,450 6,600 SH OTHER 6,600 KB Home Common 48666K109 2,315,712 344,600 SH DEFINED Dorset 344,600 KB Home Common 48666K109 59,136 8,800 SH DEFINED Dorset 8,800 Kid Brands, Inc. Common 49375T100 1,580,000 500,000 SH DEFINED Dorset 500,000 Kraft Foods Inc. Common 50075N104 298,880 8,000 SH SOLE 8,000 Kraft Foods Inc. Common 50075N104 74,720 2,000 SH OTHER 2,000 Ligand Pharmaceuticals Incorporated Common 53220K207 18,362,380 1,546,957 SH DEFINED Dorset 1,546,957 Ligand Pharmaceuticals Incorporated Common 53220K207 1,100,931 92,749 SH DEFINED Dorset 92,749 Magellan Health Services Inc. Common 559079207 47,095 952 SH DEFINED Dorset 952 Magellan Health Services Inc. Common 559079207 4,898 99 SH DEFINED Dorset 99 MELA Sciences, Inc. Common 55277R100 332,100 90,000 SH DEFINED Dorset 90,000 MetLife, Inc. Common 59156R108 1,870,800 60,000 SH DEFINED Dorset 60,000 Millicom International Cellular SA Common L6388F110 7,705,537 76,300 SH DEFINED Dorset 76,300 Murphy Oil Corporation Common 626717102 18,951,600 340,000 SH DEFINED Dorset 340,000 National Oilwell Varco Inc. Common 637071101 24,476,400 360,000 SH DEFINED Dorset 360,000 Noble Corporation Common H5833N103 19,643,000 650,000 SH DEFINED Dorset 650,000 Noble Energy, Inc. Common 655044105 33,036,500 350,000 SH DEFINED Dorset 350,000 Northfield Bancorp Inc. Common 66611L105 110,236 7,785 SH SOLE 7,785 OBA Financial Services, Inc. Common 67424G101 143,400 10,000 SH SOLE 10,000 OBA Financial Services, Inc. Common 67424G101 358,500 25,000 SH DEFINED Dorset 25,000 OBA Financial Services, Inc. Common 67424G101 71,700 5,000 SH OTHER 5,000 Onyx Pharmaceuticals, Inc. Common 683399109 3,646,444 82,968 SH DEFINED Dorset 82,968 Orient-Express Hotels Ltd. Common G67743107 1,195,947 160,100 SH DEFINED Dorset 160,100 Petroleo Brasileiro SA Common 71654V408 11,182,500 450,000 SH DEFINED Dorset 450,000 Pfizer Inc. Common 717081103 980,876 45,327 SH SOLE 45,327 Pfizer Inc. Common 717081103 36,763,677 1,698,876 SH DEFINED Dorset 1,698,876 Pfizer Inc. Common 717081103 1,532,112 70,800 SH DEFINED Dorset 70,800 Pfizer Inc. Common 717081103 346,240 16,000 SH OTHER 16,000 Pioneer Natural Resources Company Common 723787107 30,423,200 340,000 SH DEFINED Dorset 340,000 PulteGroup, Inc. Common 745867101 2,507,594 397,400 SH DEFINED Dorset 397,400 QLT Inc. Common 746927102 1,747,822 242,753 SH DEFINED Dorset 242,753
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------------------------------------------------------ Voting Authority Title of Value Shrs or SH/ Put/ Investment Other ------------------------- Name of Issuer Class CUSIP ($) prn amt PRN Call discretion Managers Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ Rand Logistics, Inc. Common 752182105 17,788,503 2,732,489 SH DEFINED Dorset 2,732,489 Rand Logistics, Inc. Common 752182105 5,859 900 SH DEFINED Dorset 900 Repsol YPF SA Common 76026T205 8,847,900 290,000 SH DEFINED Dorset 290,000 Schlumberger Limited Common 806857108 27,324,000 400,000 SH DEFINED Dorset 400,000 Seacoast Banking Corporation Common 811707306 190,000 125,000 SH DEFINED Dorset 125,000 SeaCube Container Leasing Ltd. Common G79978105 3,341,136 225,600 SH DEFINED Dorset 225,600 SM Energy Company Common 78454L100 16,082,000 220,000 SH DEFINED Dorset 220,000 Standard Financial Corp. Common 853393106 306,000 20,000 SH DEFINED Dorset 20,000 State Investors Bancorp, Inc. Common 857030100 327,600 30,000 SH DEFINED Dorset 30,000 Target Corporation Common 87612E106 17,245,774 336,700 SH DEFINED Dorset 336,700 Target Corporation Common 87612E106 363,662 7,100 SH DEFINED Dorset 7,100 The Stephan Co. Common 858603103 375,015 168,168 SH DEFINED Dorset 168,168 Toll Brothers, Inc. Common 889478103 2,042,000 100,000 SH DEFINED Dorset 100,000 Total SA Common 89151E109 61,332 1,200 SH SOLE 1,200 Total SA Common 89151E109 61,332 1,200 SH OTHER 1,200 U.S. Bancorp Common 902973304 5,226,060 193,200 SH DEFINED Dorset 193,200 Wells Fargo & Company Common 949746101 5,341,128 193,800 SH DEFINED Dorset 193,800 Wells Fargo & Company Common 949746101 112,996 4,100 SH DEFINED Dorset 4,100 Westway Group Inc. Common 96169B100 15,829,912 2,826,770 SH DEFINED Dorset 2,826,770 Westway Group Inc. Common 96169B100 170,083 30,372 SH DEFINED Dorset 30,372 Whiting Petroleum Corporation Common 966387102 11,205,600 240,000 SH DEFINED Dorset 240,000 YPF Sociedad Anonima Common 984245100 10,924,200 315,000 SH DEFINED Dorset 315,000 Total: 854,616,015 37,944,516 29,177,318 8,767,198 0 ----------- ---------- ---------- --------- ----