Investment Manager

0001104659-17-067828.txt : 20171113 0001104659-17-067828.hdr.sgml : 20171110 20171113125537 ACCESSION NUMBER: 0001104659-17-067828 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171113 DATE AS OF CHANGE: 20171113 EFFECTIVENESS DATE: 20171113 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: 171194807 MAIL ADDRESS: STREET 1: 485 UNDERHILL BLVD STREET 2: STE 205 CITY: SYOSSET STATE: NY ZIP: 11791-3419 13F-HR 1 primary_doc.xml 13F-HR LIVE 0000808722 XXXXXXXX 09-30-2017 09-30-2017 false Knott David M

485 Underhill Blvd Ste 205 Syosset NY 11791-3419

13F HOLDINGS REPORT 028-03121 Y Mr. Knott is designated as 1 in Column 7 of the Information Table. Knott David M Investment Manager (516) 364-0303 /s/David M. Knott Syosset NY 11-13-2017 1 145 233948 false 2 0001203370 028-10281 DORSET MANAGEMENT CORP INFORMATION TABLE 2 a17-26508_1informationtable.xml INFORMATION TABLE AbbVie Inc. Common 00287Y109 4221 47500 SH DFND 2 47500 0 0 Abbvie Inc. Common 00287Y109 444 5000 SH DFND 1 0 5000 0 ACADIA Pharmaceuticals Inc. Common 004225108 21 550 SH DFND 2 550 0 0 Aimmune Therapeutics, Inc. Common 00900T107 50 2000 SH DFND 2 2000 0 0 Alimera Sciences, Inc. Common 016259103 269 199000 SH DFND 2 199000 0 0 Alerian MLP Common 00162Q866 7 600 SH DFND 1 0 600 0 AllianceBernstein Holdings LP Unit Ltd Common 01881G106 1191 49000 SH DFND 1 0 49000 0 AllianceBernstein Holdings LP Unit Ltd Common 01881G106 36 1500 SH DFND 1 1500 0 0 Alnylam Pharmaceuticals, Inc Common 02043Q107 13 110 SH DFND 2 110 0 0 Ambac Financial Group, Inc. Common 023139884 2510 145426 SH DFND 2 145426 0 0 Anadarko Petroleum Corporation Common 032511107 3165 64800 SH DFND 2 64800 0 0 Anadarko Petroleum Corporation Common 032511107 347 7100 SH DFND 1 0 7100 0 Anadarko Petroleum Corporation Common 032511107 433 8860 SH DFND 1 8860 0 0 Anchor Bancorp Common 032838104 124 5000 SH DFND 1 0 5000 0 Anchor Bancorp Common 032838104 179 7250 SH DFND 1 7250 0 0 Apollo Global Management LLC Common 037612306 903 30000 SH DFND 2 30000 0 0 Apple Inc. Common 037833100 3699 24000 SH DFND 2 24000 0 0 Apple Inc. Common 037833100 81 525 SH DFND 1 0 525 0 Apple Inc. Common 037833100 81 525 SH DFND 1 525 0 0 Arena Pharmaceuticals, Inc. Common 040047607 501 19642 SH DFND 2 19642 0 0 Array BioPharm Inc. Common 04269X105 85 6900 SH DFND 2 6900 0 0 AT&T Inc. Common 00206R102 783 20000 SH DFND 1 0 20000 0 AT&T Inc. Common 00206R102 80 2050 SH DFND 1 2050 0 0 Avadel Pharmaceuticals plc Common 05337M104 1665 158555 SH DFND 2 158555 0 0 AxoGen, Inc. Common 05463X106 366 18898 SH DFND 2 18898 0 0 Bancorp 34, Inc. Common 05970V106 140 10000 SH DFND 2 10000 0 0 Bank Nova Scotia Halifax Common 064149107 26 400 SH DFND 1 0 400 0 Bellicum Pharmaceuticals, Inc. Common 079481107 658 56984 SH DFND 2 56984 0 0 Bristol-Myers Squibb Company Common 110122108 142 2225 SH DFND 2 2225 0 0 Canadian Natural Resources Inc. Common 136385101 460 13750 SH DFND 1 0 13750 0 Canadian Natural Resources Inc. Common 136385101 623 18600 SH DFND 1 18600 0 0 Capitol Federal Financial, Inc. Common 14057J101 10005 680600 SH DFND 2 680600 0 0 Capitol Federal Financial, Inc. Common 14057J101 59 4000 SH DFND 1 0 4000 0 Capitol Federal Financial, Inc. Common 14057J101 85 5800 SH DFND 1 5800 0 0 Cardiome Pharma Corp. Common 14159U301 286 134478 SH DFND 2 134478 0 0 Catalyst Pharmaceuticals, Inc. Common 14888U101 920 365110 SH DFND 2 365110 0 0 Check Cap Ltd. Common M2361E112 298 162871 SH DFND 2 162871 0 0 Check Cap Ltd. @7.50 Exp. 2/28/20 Common M2361E120 495 66059 SH DFND 2 66059 0 0 China Ceramics Co. Ltd. Common G2113X134 35 25493 SH DFND 2 25493 0 0 Chemours Co. Common 163851108 32 640 SH DFND 1 0 640 0 Chemours Co. Common 163851108 36 720 SH DFND 1 720 0 0 Coca-Cola Common 191216100 342 7600 SH DFND 1 0 7600 0 Coca-Cola Common 191216100 261 5800 SH DFND 1 5800 0 0 Coherus Biosciences, Inc. Common 19249H103 458 34320 SH DFND 2 34320 0 0 Colony Northstar Inc. Common 19625W104 18 1466 SH DFND 1 0 1466 0 Community Healthcare Trust Incorporated Common 20369C106 1618 60000 SH DFND 2 60000 0 0 Conagra Brands Common 205887102 337 10000 SH DFND 1 0 10000 0 Concert Pharmaceuticals, Inc. Common 206022105 664 45000 SH DFND 2 45000 0 0 Condor Hospitality Trust, Inc. Common 20676Y403 523 50000 SH DFND 2 50000 0 0 CoreCivic, Inc. Common 21871N101 2008 75000 SH DFND 2 75000 0 0 Cousins Properties Common 222795106 125 13428 SH DFND 1 0 13428 0 Delta Air Lines, Inc. Common 247361702 2773 57500 SH DFND 2 57500 0 0 Dermira, Inc. Common 24983L104 649 24036 SH DFND 2 24036 0 0 DowDupont Inc. Common 26078J100 2296 33158 SH DFND 1 0 33158 0 DowDupont Inc. Common 26078J100 311 4486 SH DFND 1 4486 0 0 Eagle Materials Common 26969P108 24 228 SH DFND 1 0 228 0 Eli Lilly & Co. Common 532457108 26 300 SH DFND 1 0 300 0 Edwards Lifesciences Corporation Common 28176E108 535 4891 SH DFND 2 4891 0 0 Eiger BioPharmaceuticals, Inc Common 28249U105 119 10800 SH DFND 2 10800 0 0 Entegra Financial Corp. Common 29363J108 749 30000 SH DFND 2 30000 0 0 Entegra Financial Corp. Common 29363J108 75 3000 SH DFND 1 0 3000 0 Entegra Financial Corp. Common 29363J108 181 7250 SH DFND 1 7250 0 0 FNB Corporation Common 302520101 125 8905 SH DFND 1 0 8905 0 Ford Motor Company Common 345370860 60 5000 SH DFND 1 0 5000 0 FutureFuel Corporation Common 36116M106 863 54804 SH DFND 2 54804 0 0 General Electric Common 369604103 609 25200 SH DFND 1 0 25200 0 General Electric Common 369604103 84 3480 SH DFND 1 3480 0 0 General Motors Company Common 370334104 202 5000 SH DFND 1 0 5000 0 Gilead Sciences, Inc. Common 375558103 844 10420 SH DFND 2 10420 0 0 GlaxoSmithKline plc Common 37733W105 918 22600 SH DFND 2 22600 0 0 Global Blood Therapeutics, Inc. Common 37890U108 752 24224 SH DFND 2 24224 0 0 Global Medical REIT, Inc. Common 37954A204 691 77000 SH DFND 2 77000 0 0 Global Medical REIT, Inc. Ser A Cum Pfd. Common 37957W203 878 35000 SH DFND 2 35000 0 0 Heritage NOLA Bancorp, Inc. Common 42727P108 58 5000 SH DFND 2 5000 0 0 Heritage NOLA Bancorp, Inc. Common 42727P108 35 3000 SH DFND 1 0 3000 0 Heritage NOLA Bancorp, Inc. Common 42727P108 105 9000 SH DFND 1 9000 0 0 Hospitality Properties Trust Common 44106M102 712 25000 SH DFND 1 0 25000 0 International Business Machines Common 459200101 622 4284 SH DFND 1 0 4284 0 Ignyta, Inc. Common 451731103 836 67700 SH DFND 2 67700 0 0 Immunomedics, Inc Common 452907108 915 65483 SH DFND 2 65483 0 0 Independence Realty Trust, Inc. Common 45378A106 170 16700 SH DFND 2 16700 0 0 Iridium Communications, Inc. Common 46269C102 3481 338000 SH DFND 2 338000 0 0 JBS S.A. Common 466110103 1050 195500 SH DFND 2 195500 0 0 Johnson & Johnson Common 478160104 286 2200 SH DFND 1 0 2200 0 Johnson & Johnson Common 478160104 660 5080 SH DFND 1 5080 0 0 JP Morgan & Chase Co. Common 46625H100 840 8800 SH DFND 1 0 8800 0 JP Morgan & Chase Co. Common 46625H100 1361 14250 SH DFND 1 14250 0 0 Juno Therapeutics Inc. Common 48205A109 24 529 SH DFND 2 529 0 0 Kimbery Clark Corporation Common 494368103 706 6000 SH DFND 1 0 6000 0 Ligand Pharmaceuticals Incorporated Common 53220K504 108410 796257 SH DFND 2 796257 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 251 1843 SH DFND 1 0 1843 0 Macquarie Infrastructure Common 55608B105 650 9000 SH DFND 1 0 9000 0 Macquarie Infrastructure Common 55608B105 238 3300 SH DFND 1 3300 0 0 Medtronics Inc. Common G5960L103 82 1050 SH DFND 1 0 1050 0 Merck & Co. Inc. Common 58993Y105 32 500 SH DFND 1 0 500 0 Merck & Co. Inc. Common 58993Y105 51 800 SH DFND 1 800 0 0 MEI Pharma, Inc. Common 55279B202 38 14000 SH DFND 2 14000 0 0 Microsoft Corporation Common 594918104 5017 67350 SH DFND 2 67350 0 0 Microsoft Corporation Common 594918104 74 1000 SH DFND 1 0 1000 0 Microsoft Corporation Common 594918104 30 400 SH DFND 1 400 0 0 Mondelez Int'l Inc. Common 609207105 529 13000 SH DFND 1 0 13000 0 Mondelez Int'l Inc. Common 609207105 118 2900 SH DFND 1 2900 0 0 Novelion Therapeutics, Inc. Common 67001K202 768 109184 SH DFND 2 109184 0 0 Ocera Therapeutics, Inc. Common 67552A108 45 39800 SH DFND 2 39800 0 0 Och-Ziff Capital Management Group Common 67551U105 6 2000 SH DFND 1 2000 0 0 Oritani Financial Corp Common 68633D103 34 2000 SH DFND 1 0 2000 0 Oritani Financial Corp Common 68633D103 97 5800 SH DFND 1 5800 0 0 OvaScience, Inc. Common 69014Q101 196 138000 SH DFND 2 138000 0 0 PCSB Financial Corporation Common 69324R104 377 20000 SH DFND 2 20000 0 0 Parkway Inc. Common 70156Q107 39 1678 SH DFND 1 0 1678 0 Peoples United Financial Common 712704105 27 1500 SH DFND 1 0 1500 0 Pfizer Inc. Common 717081103 3606 101000 SH DFND 1 0 101000 0 Pfizer Inc. Common 717081103 29227 818676 SH DFND 2 818676 0 0 Pfizer Inc. Common 717081103 2106 59000 SH DFND 1 59000 0 0 Physicians Realty Trust Common 71943U104 989 55800 SH DFND 2 55800 0 0 RMR Group Inc. Common 74967R106 1 16 SH DFND 1 0 16 0 Rand Logistics, Inc. Common 752182105 210 664435 SH DFND 2 664435 0 0 Reed's Inc. Common 758338107 259 117592 SH DFND 2 117592 0 0 Ryman Hospitality Ppty Inc. Common 78377T107 750 12000 SH DFND 1 0 12000 0 Ryman Hospitality Ppty Inc. Common 78377T107 25 400 SH DFND 1 400 0 0 Seaspan Corporation Common Y75638109 993 140000 SH DFND 2 140000 0 0 Shire plc Common 82481R106 460 3003 SH DFND 2 3003 0 0 Standard AVB Financial Corp. Common 85303B100 590 20000 SH DFND 2 20000 0 0 Starwood Ppty Inc. Common 85571B105 9 400 SH DFND 1 400 0 0 Stemline Therapeutics, Inc. Common 85858C107 832 74992 SH DFND 2 74992 0 0 Sunshine Bancorp, Inc. Common 86777J108 465 20000 SH DFND 2 20000 0 0 Sunshine Bancorp, Inc. Common 86777J108 46 2000 SH DFND 1 0 2000 0 Sunshine Bancorp, Inc. Common 86777J108 135 5800 SH DFND 1 5800 0 0 Synergy Pharmaceuticals, Inc. Common 871639308 459 158400 SH DFND 2 158400 0 0 The Howard Hughes Corporation Common 44267D107 2359 20000 SH DFND 2 20000 0 0 The Kraft Heinz Company Common 500754106 543 7000 SH DFND 2 7000 0 0 The Kraft Heinz Company Common 500754106 455 5865 SH DFND 1 0 5865 0 The Kraft Heinz Company Common 500754106 235 3035 SH DFND 1 3035 0 0 TheStreet Inc. Common 88368Q103 109 100600 SH DFND 2 100600 0 0 Total SA Common 89151E109 155 2900 SH DFND 1 0 2900 0 Total SA Common 89151E109 126 2360 SH DFND 1 2360 0 0 United Continental Holdings, Inc. Common 910047109 609 10000 SH DFND 2 10000 0 0 Verizon Communications Inc. Common 92343V104 841 16991 SH DFND 1 0 16991 0 Verizon Communications Inc. Common 92343V104 65 1320 SH DFND 1 1320 0 0 Viveve Medical, Inc. Common 92852W204 502 95748 SH DFND 2 95748 0 0 Weyerhaeuser Company Common 962166104 681 20000 SH DFND 2 20000 0 0 Wheeler Real Estate Investment Trust, Inc. Common 963025606 680 30000 SH DFND 2 30000 0 0 WP Carey Inc. Common 92936U109 404 6000 SH DFND 1 0 6000 0 Xenon Pharmaceuticals Inc. Common 98420N105 133 45000 SH DFND 2 45000 0 0 Zogenix, Inc. Common 98978L204 249 7100 SH DFND 2 7100 0 0