Investment Manager

0001104659-18-008824.txt : 20180213 0001104659-18-008824.hdr.sgml : 20180213 20180213112011 ACCESSION NUMBER: 0001104659-18-008824 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180213 DATE AS OF CHANGE: 20180213 EFFECTIVENESS DATE: 20180213 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: 18600839 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 12-31-2017 12-31-2017 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 02-13-2018 1 147 251415 false 2 0001203370 028-10281 DORSET MANAGEMENT CORP INFORMATION TABLE 2 a18-5868_2informationtable.xml INFORMATION TABLE AbbVie Inc. Common 00287Y109 4594 47500 SH DFND 2 47500 0 0 AbbVie Inc. Common 00287Y109 484 5000 SH DFND 1 0 5000 0 Aimmune Therapeutics, Inc. Common 00900T107 304 8031 SH DFND 2 8031 0 0 Alerian MLP Common 00162Q866 6 600 SH DFND 1 0 600 0 Alimera Sciences, Inc. Common 016259103 270 203000 SH DFND 2 203000 0 0 AllianceBernstein Holdings LP Unit Ltd Common 01881G106 1227 49000 SH DFND 1 0 49000 0 AllianceBernstein Holdings LP Unit Ltd Common 01881G106 38 1500 SH DFND 1 1500 0 0 Alnylam Pharmaceuticals, Inc Common 02043Q107 32 249 SH DFND 2 249 0 0 Ambac Financial Group, Inc. Common 023139884 2324 145426 SH DFND 2 145426 0 0 Anadarko Petroleum Corporation Common 032511107 3476 64800 SH DFND 2 64800 0 0 Anadarko Petroleum Corporation Common 032511107 368 7100 SH DFND 1 0 7100 0 Anadarko Petroleum Corporation Common 032511107 475 8860 SH DFND 1 8860 0 0 Anchor Bancorp Common 032838104 124 5000 SH DFND 1 0 5000 0 Anchor Bancorp Common 032838104 180 7250 SH DFND 1 7250 0 0 Apollo Global Management LLC Common 037612306 1004 30000 SH DFND 2 30000 0 0 Apple Inc. Common 037833100 4062 24000 SH DFND 2 24000 0 0 Apple Inc. Common 037833100 89 525 SH DFND 1 0 525 0 Apple Inc. Common 037833100 89 525 SH DFND 1 525 0 0 Arena Pharmaceuticals, Inc. Common 040047607 681 20042 SH DFND 2 20042 0 0 AT&T Inc. Common 00206R102 778 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 1300 158555 SH DFND 2 158555 0 0 AxoGen, Inc. Common 05463X106 535 18898 SH DFND 2 18898 0 0 Bancorp 34, Inc. Common 05970V106 148 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 504 59984 SH DFND 2 59984 0 0 Bristol-Myers Squibb Company Common 110122108 136 2225 SH DFND 2 2225 0 0 Canadian Natural Resources Inc. Common 136385101 491 13750 SH DFND 1 0 13750 0 Canadian Natural Resources Inc. Common 136385101 664 18600 SH DFND 1 18600 0 0 Capitol Federal Financial, Inc. Common 14057J101 9127 680600 SH DFND 2 680600 0 0 Capitol Federal Financial, Inc. Common 14057J101 54 4000 SH DFND 1 0 4000 0 Capitol Federal Financial, Inc. Common 14057J101 78 5800 SH DFND 1 5800 0 0 Cardiome Pharma Corp. Common 14159U301 105 67978 SH DFND 2 67978 0 0 Catalyst Pharmaceuticals, Inc. Common 14888U101 1486 380110 SH DFND 2 380110 0 0 Check Cap Ltd. Common M2361E112 142 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 Chemours Co. Common 163851108 32 640 SH DFND 1 0 640 0 Chemours Co. Common 163851108 36 720 SH DFND 1 720 0 0 China Ceramics Co. Ltd Common G2113X134 61 25493 SH DFND 2 25493 0 0 Coca-Cola Common 191216100 349 7600 SH DFND 1 0 7600 0 Coca-Cola Common 191216100 266 5800 SH DFND 1 5800 0 0 Coherus Biosciences, Inc. Common 19249H103 337 38320 SH DFND 2 38320 0 0 Colony Northstar Inc. Common 19625W104 17 1466 SH DFND 1 0 1466 0 Community Healthcare Trust Incorporated Common 20369C106 1686 60000 SH DFND 2 60000 0 0 Conagra Brands Common 205887102 377 10000 SH DFND 1 0 10000 0 Concert Pharmaceuticals, Inc. Common 206022105 1282 49557 SH DFND 2 49557 0 0 Condor Hospitality Trust, Inc. Common 20676Y403 498 50000 SH DFND 2 50000 0 0 CoreCivic, Inc. Common 21871N101 1688 75000 SH DFND 2 75000 0 0 Cousins Properties Common 222795106 124 13428 SH DFND 1 0 13428 0 DBV Technologies SA Common 23306J101 81 3300 SH DFND 2 3300 0 0 Delta Air Lines, Inc. Common 247361702 3220 57500 SH DFND 2 57500 0 0 Dermira, Inc. Common 24983L104 721 25936 SH DFND 2 25936 0 0 DowDupont Inc. Common 26078J100 2362 33158 SH DFND 1 0 33158 0 DowDupont Inc. Common 26078J100 319 4486 SH DFND 1 4486 0 0 Eagle Materials Common 26969P108 26 228 SH DFND 1 0 228 0 Eli Lilly & Co. Common 532457108 25 300 SH DFND 1 0 300 0 Edwards Lifesciences Corporation Common 28176E108 551 4891 SH DFND 2 4891 0 0 Eiger BioPharmaceuticals, Inc Common 28249U105 307 22000 SH DFND 2 22000 0 0 Entegra Financial Corp. Common 29363J108 878 30000 SH DFND 2 30000 0 0 Entegra Financial Corp. Common 29363J108 88 3000 SH DFND 1 0 3000 0 Entegra Financial Corp. Common 29363J108 212 7250 SH DFND 1 7250 0 0 FNB Corporation Common 302520101 123 8905 SH DFND 1 0 8905 0 Ford Motor Company Common 345370860 62 5000 SH DFND 1 0 5000 0 Fortress Trans & Infrastructure Inv. LLC Common 34960P101 5140 257900 SH DFND 2 257900 0 0 FutureFuel Corporation Common 36116M106 772 54804 SH DFND 2 54804 0 0 General Electric Common 369604103 645 30200 SH DFND 1 0 30200 0 General Electric Common 369604103 61 3480 SH DFND 1 3480 0 0 Gilead Sciences, Inc. Common 375558103 709 9901 SH DFND 2 9901 0 0 GlaxoSmithKline plc Common 37733W105 802 22600 SH DFND 2 22600 0 0 Global Blood Therapeutics, Inc. Common 378904108 1012 25724 SH DFND 2 25724 0 0 Global Medical REIT, Inc. Common 37954A204 631 77000 SH DFND 2 77000 0 0 Global Medical REIT, Inc. Ser A Cum Pfd. Common 37957W203 886 35000 SH DFND 2 35000 0 0 Heritage NOLA Bancorp, Inc. Common 42727P108 60 5000 SH DFND 2 5000 0 0 Heritage NOLA Bancorp, Inc. Common 42727P108 36 3000 SH DFND 1 0 3000 0 Heritage NOLA Bancorp, Inc. Common 42727P108 111 9000 SH DFND 1 9000 0 0 Horizon Pharma plc Common G4617B105 365 25000 SH DFND 2 25000 0 0 Hospitality Properties Trust Common 44106M102 746 25000 SH DFND 1 0 25000 0 International Business Machines Common 459200101 657 4284 SH DFND 1 0 4284 0 Ignyta, Inc. Common 451731103 1808 67700 SH DFND 2 67700 0 0 Immunomedics, Inc Common 452907108 945 58483 SH DFND 2 58483 0 0 Imprimis Pharmaceuticals, Inc. Common 45323A201 113 66601 SH DFND 2 66601 0 0 Independence Realty Trust, Inc. Common 45378A106 169 16700 SH DFND 2 16700 0 0 Intec Pharma Ltd. Common M53644106 180 35000 SH DFND 2 35000 0 0 Iridium Communications, Inc. Common 46269C102 3988 338000 SH DFND 2 338000 0 0 JBS S.A. Common 466110103 1155 195500 SH DFND 2 195500 0 0 Johnson & Johnson Common 478160104 307 2200 SH DFND 1 0 2200 0 Johnson & Johnson Common 478160104 710 5080 SH DFND 1 5080 0 0 JP Morgan & Chase Co. Common 46625H100 941 8800 SH DFND 1 0 8800 0 JP Morgan & Chase Co. Common 46625H100 1524 14250 SH DFND 1 14250 0 0 Juno Therapeutics Inc. Common 48205A109 47 1029 SH DFND 2 1029 0 0 Kimberly Clark Corporation Common 494368103 724 6000 SH DFND 1 0 6000 0 Ligand Pharmaceuticals Incorporated Common 53220K504 104218 761101 SH DFND 2 761101 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 252 1843 SH DFND 1 0 1843 0 Macquarie Infrastructure Corporation Common 55608B105 7704 120000 SH DFND 2 120000 0 0 Macquarie Infrastructure Corporation Common 55608B105 578 9000 SH DFND 1 0 9000 0 Macquarie Infrastructure Corporation Common 55608B105 212 3300 SH DFND 1 3300 0 0 Medtronics Inc. Common G5960L103 85 1050 SH DFND 1 0 1050 0 Merck & Co. Inc. Common 58993Y105 28 500 SH DFND 1 0 500 0 Merck & Co. Inc. Common 58993Y105 45 800 SH DFND 1 800 0 0 MEI Pharma, Inc. Common 55279B202 29 14000 SH DFND 2 14000 0 0 Microsoft Corporation Common 594918104 5761 67350 SH DFND 2 67350 0 0 Microsoft Corporation Common 594918104 86 1000 SH DFND 1 0 1000 0 Microsoft Corporation Common 594918104 34 400 SH DFND 1 400 0 0 Mondelez Int'l Inc. Common 609207105 556 13000 SH DFND 1 0 13000 0 Mondelez Int'l Inc. Common 609207105 124 2900 SH DFND 1 2900 0 0 Novelion Therapeutics, Inc. Common 67001K202 341 109184 SH DFND 2 109184 0 0 Och-Ziff Capital Management Group Common 67551U105 5 2000 SH DFND 1 2000 0 0 Oritani Financial Corp Common 68633D103 33 2000 SH DFND 1 0 2000 0 Oritani Financial Corp Common 68633D103 95 5800 SH DFND 1 5800 0 0 OvaScience, Inc. Common 69014Q101 157 112000 SH DFND 2 112000 0 0 PCSB Financial Corporation Common 69324R104 381 20000 SH DFND 2 20000 0 0 Peoples United Financial Common 712704105 28 1500 SH DFND 1 0 1500 0 Pfizer Inc. Common 717081103 28008 773276 SH DFND 2 773276 0 0 Pfizer Inc. Common 717081103 3651 101000 SH DFND 1 0 101000 0 Pfizer Inc. Common 717081103 2137 59000 SH DFND 1 59000 0 0 Physicians Realty Trust Common 71943U104 1004 55800 SH DFND 2 55800 0 0 Quotient Limited Common G73268107 490 99000 SH DFND 2 99000 0 0 RMR Group Inc. Common 74967R106 1 16 SH DFND 1 0 16 0 Rand Logistics, Inc. Common 752182105 29 185100 SH DFND 2 185100 0 0 Ryman Hospitality Ppty Inc. Common 78377T107 828 12000 SH DFND 1 0 12000 0 Ryman Hospitality Ppty Inc. Common 78377T107 28 400 SH DFND 1 400 0 0 Seaspan Corporation Common Y75639109 945 140000 SH DFND 2 140000 0 0 Standard AVB Financial Corp. Common 85303B100 602 20000 SH DFND 2 20000 0 0 Starwood Ppty Inc. Common 85571B105 12 400 SH DFND 1 400 0 0 Stemline Therapeutics, Inc. Common 85858C107 1170 74992 SH DFND 2 74992 0 0 Sunshine Bancorp, Inc. Common 86777J108 459 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 133 5800 SH DFND 1 5800 0 0 Synergy Pharmaceuticals, Inc. Common 871639308 449 201400 SH DFND 2 201400 0 0 The Howard Hughes Corporation Common 44267D107 2625 20000 SH DFND 2 20000 0 0 The Kraft Heinz Company Common 500754106 544 7000 SH DFND 2 7000 0 0 The Kraft Heinz Company Common 500754106 456 5865 SH DFND 1 0 5865 0 The Kraft Heinz Company Common 500754106 236 3035 SH DFND 1 3035 0 0 TheStreet Inc. Common 88368Q103 146 100600 SH DFND 2 100600 0 0 Total SA Common 89151E109 160 2900 SH DFND 1 0 2900 0 Total SA Common 89151E109 130 2360 SH DFND 1 2360 0 0 United Continental Holdings, Inc. Common 910047109 674 10000 SH DFND 2 10000 0 0 Upland Software Inc. Common 91544A109 3899 180000 SH DFND 2 180000 0 0 Verizon Communications Inc. Common 92343V104 899 16991 SH DFND 1 0 16991 0 Verizon Communications Inc. Common 92343V104 70 1320 SH DFND 1 1320 0 0 Viking Therapeutics, Inc. Common 92686J106 942 232000 SH DFND 2 232000 0 0 Viveve Medical, Inc. Common 92852W204 496 99748 SH DFND 2 99748 0 0 WP Carey Inc. Common 92936U109 413 6000 SH DFND 1 0 6000 0 Weyerhaeuser Company Common 962166104 705 20000 SH DFND 2 20000 0 0 Wheeler Real Estate Investment Trust, Inc. Common 963025606 603 30000 SH DFND 2 30000 0 0 Xenon Pharmaceuticals Inc. Common 98420N105 266 94000 SH DFND 2 94000 0 0 Zogenix, Inc. Common 98978L204 461 11500 SH DFND 2 11500 0 0