Investment Manager

0001104659-18-051414.txt : 20180813 0001104659-18-051414.hdr.sgml : 20180813 20180813115201 ACCESSION NUMBER: 0001104659-18-051414 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180813 DATE AS OF CHANGE: 20180813 EFFECTIVENESS DATE: 20180813 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: 181011072 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 06-30-2018 06-30-2018 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. David M. Knott, Jr., as Co-Manager of Dorset Management Corp., is included with Dorset Management Corp. Knott David M Investment Manager 516-364-0303 /s/David M. Knott Syosset NY 08-13-2018 1 142 266749 false 2 0001203370 028-10281 DORSET MANAGEMENT CORP INFORMATION TABLE 2 a18-18725_1informationtable.xml INFORMATION TABLE AbbVie Inc. Common 00287Y109 4401 47500 SH DFND 2 47500 0 0 AbbVie Inc. Common 00287Y109 463 5000 SH DFND 1 0 5000 0 Abeona Therapeutics, Inc. Common 00289Y107 257 16050 SH DFND 2 16050 0 0 Acceleron Pharma, Inc. Common 00434H108 796 16400 SH DFND 2 16400 0 0 Affimed NV Common N01045108 40 24000 SH DFND 2 24000 0 0 Aimmune Therapeutics, Inc. Common 00900T107 1097 40780 SH DFND 2 40780 0 0 Alimera Sciences, Inc. Common 016259103 259 265000 SH DFND 2 265000 0 0 Alerian MLP Common 00162Q866 6 600 SH DFND 1 0 600 0 AllianceBernstein Holdings LP Unit Ltd Common 01881G106 1399 49000 SH DFND 1 0 49000 0 AllianceBernstein Holdings LP Unit Ltd Common 01881G106 43 1500 SH DFND 1 1500 0 0 Alnylam Pharmaceuticals, Inc Common 02043Q107 49 500 SH DFND 2 500 0 0 Ambac Financial Group, Inc. Common 023139884 2887 145426 SH DFND 2 145426 0 0 American Outdoor Brands Corporation Common 02874P103 3970 330000 SH DFND 2 330000 0 0 Anadarko Petroleum Corporation Common 032511107 4747 64800 SH DFND 2 64800 0 0 Anadarko Petroleum Corporation Common 032511107 520 7100 SH DFND 1 0 7100 0 Anadarko Petroleum Corporation Common 032511107 649 8860 SH DFND 1 8860 0 0 Anchor Bancorp Common 032838104 131 5000 SH DFND 1 0 5000 0 Anchor Bancorp Common 032838104 190 7250 SH DFND 1 7250 0 0 Apollo Global Management LLC Common 037612306 3346 105000 SH DFND 2 105000 0 0 Apple Inc. Common 037833100 4443 24000 SH DFND 2 24000 0 0 Apple Inc. Common 037833100 97 525 SH DFND 1 0 525 0 Apple Inc. Common 037833100 97 525 SH DFND 1 525 0 0 Arena Pharmaceuticals, Inc. Common 040047607 1513 34691 SH DFND 2 34691 0 0 AT&T Inc. Common 00206R102 642 20000 SH DFND 1 0 20000 0 AT&T Inc. Common 00206R102 66 2050 SH DFND 1 2050 0 0 AxoGen, Inc. Common 05463X106 301 5998 SH DFND 2 5998 0 0 Bank Nova Scotia Halifax Common 064149107 23 400 SH DFND 1 0 400 0 Bellicum Pharmaceuticals, Inc. Common 079481107 566 76653 SH DFND 2 76653 0 0 Biodelivery Sciences Intl Common 09060J106 614 208000 SH DFND 2 208000 0 0 Bristol-Myers Squibb Company Common 110122108 123 2225 SH DFND 2 2225 0 0 Calurnet Specialty Products Partners, LP Common 131476103 8009 1075000 SH DFND 2 1075000 0 0 Canadian Natural Resrouces Inc. Common 136385101 496 13750 SH DFND 1 0 13750 0 Canadian Natural Resrouces Inc. Common 136385101 671 18600 SH DFND 1 18600 0 0 Capitol Federal Financial, Inc. Common 14057J101 8957 680600 SH DFND 2 680600 0 0 Capitol Federal Financial, Inc. Common 14057J101 53 4000 SH DFND 2 0 4000 0 Capitol Federal Financial, Inc. Common 14057J101 76 5800 SH DFND 1 5800 0 0 Catalyst Pharmaceuticals, Inc. Common 14888U101 1602 513475 SH DFND 2 513475 0 0 Centerstate Banks Corp Common 15201P109 53 1780 SH DFND 1 0 1780 0 Centerstate Banks Corp Common 15201P109 154 5162 SH DFND 1 5162 0 0 Check Cap Ltd. Common M236IE203 55 13574 SH DFND 2 13574 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 28 640 SH DFND 1 0 640 0 Chemours Co. Common 163851108 32 720 SH DFND 1 720 0 0 China Ceramics Co. Ltd. Common G2113X134 42 25493 SH DFND 2 25493 0 0 Coco-Cola Common 191216100 333 7600 SH DFND 1 0 7600 0 Coco-Cola Common 191216100 254 5800 SH DFND 1 5800 0 0 Coherus Biosciences, Inc. Common 19249H103 564 40320 SH DFND 2 40320 0 0 Colony Northstar Inc. Common 19625W104 9 1466 SH DFND 1 0 1466 0 Columbia Financial Inc. Common 197641103 387 23363 SH DFND 2 23363 0 0 Community Healthcare Trust Incorporated Common 20369C106 1792 60000 SH DFND 2 60000 0 0 Conagra Brands Common 205887102 357 10000 SH DFND 1 0 10000 0 Concert Pharmaceuticals, Inc. Common 206022105 868 51557 SH DFND 2 51557 0 0 Condor Hospitality Trust, Inc. Common 20676Y403 520 50000 SH DFND 2 50000 0 0 CoreCivic, Inc. Common 21871N101 1792 75000 SH DFND 2 75000 0 0 Cousins Properties Common 222795106 130 13428 SH DFND 1 0 13428 0 CymaBay Therapeutics, Inc. Common 23257D103 268 20000 SH DFND 2 20000 0 0 Dell Technologies, Inc. Common 24703L103 10150 120000 SH DFND 2 120000 0 0 Delta Air Lines, Inc. Common 247361702 2849 57500 SH DFND 2 57500 0 0 DowDupont Inc. Common 26078J100 2186 33158 SH DFND 1 0 33158 0 DowDupont Inc. Common 26078J100 296 4486 SH DFND 1 4486 0 0 Eagle Materials Inc. Common 26969P108 24 228 SH DFND 1 0 228 0 Editas Medicine Inc. Common 28106W103 287 8000 SH DFND 2 8000 0 0 Edwards Lifesciences Corporation Common 28176E108 421 2891 SH DFND 2 2891 0 0 Eiger BioPharmaceuticals, Inc. Common 28249U105 1120 91769 SH DFND 2 91769 0 0 Eli Lilly Inc. Common 532457108 26 300 SH DFND 1 0 300 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 120 8905 SH DFND 1 0 8905 0 Ford Motor Company Common 345370860 55 5000 SH DFND 1 0 5000 0 Essential Properties Realty Trust, Inc. Common 29670E107 542 40000 SH DFND 2 40000 0 0 Fortress Trans & Infrastructure Inv. LLC Common 03960P101 9054 501064 SH DFND 2 501064 0 0 General Electric Common 369604103 343 25200 SH DFND 1 0 25200 0 General Electric Common 369604103 47 3480 SH DFND 1 3480 0 0 General Motors Common 37045V100 197 5000 SH DFND 1 0 5000 0 Global Blood Therapeutics, Inc. Common 378904108 936 20710 SH DFND 2 20710 0 0 Global Medical REIT, Inc. Ser A Cum Pfd. Common 37957W203 869 35000 SH DFND 2 35000 0 0 GTx, Inc. Common 40052B207 735 48000 SH DFND 2 48000 0 0 Heritage NOLA Bancorp Inc. Common 42727P108 37 3000 SH DFND 1 0 3000 0 Heritage NOLA Bancorp Inc. Common 42727P108 112 9000 SH DFND 1 9000 0 0 Horizon Pharma plc Common G4617B105 1219 73640 SH DFND 2 73640 0 0 Hospitality Properties Trust Common 44106M102 715 25000 SH DFND 1 0 25000 0 Immunomedics, Inc Common 452907108 752 31783 SH DFND 2 31783 0 0 Intec Pharma Ltd. Common 011177958 1048 238273 SH DFND 2 238273 0 0 International Business Machines Common 459200101 598 4284 SH DFND 1 0 4284 0 Iridium Communications, Inc. Common 46269C102 4637 288000 SH DFND 2 288000 0 0 JBS S.A. Common 466110103 919 195500 SH DFND 2 195500 0 0 Johnson & Johnson Common 478160104 267 2200 SH DFND 1 0 2200 0 Johnson & Johnson Common 478160104 616 5080 SH DFND 1 5080 0 0 JP Morgan & Chase Co. Common 46625H100 917 8800 SH DFND 1 0 8800 0 JP Morgan & Chase Co. Common 46625H100 1485 14250 SH DFND 1 14250 0 0 Karyopharm Therapeutics, Inc. Common 48576U106 544 32000 SH DFND 2 32000 0 0 Kimberly Clark Corporation Common 494368103 632 6000 SH DFND 1 0 6000 0 Ligand Pharmaceuticals Incorporated Common 53220K504 70893 342198 SH DFND 2 342198 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 382 1843 SH DFND 1 0 1843 0 LKQ Corporation Common 501889208 2393 75000 SH DFND 2 75000 0 0 Lowe's Companies Inc. Common 548661107 4301 45000 SH DFND 2 45000 0 0 Macquarie Infrastructure Corporation Common 55608B105 7174 170000 SH DFND 2 170000 0 0 Macquarie Infrastructure Corporation Common 55608B105 380 9000 SH DFND 1 0 9000 0 Macquarie Infrastructure Corporation Common 55608B105 139 3300 SH DFND 1 3300 0 0 Medtronics Inc. Common G5960L103 90 1050 SH DFND 1 0 1050 0 MEI Pharma, Inc. Common 55279B202 83 21000 SH DFND 2 21000 0 0 Merck & Co. Inc. Common 58993Y105 30 500 SH DFND 1 0 500 0 Merck & Co. Inc. Common 58993Y105 49 800 SH DFND 1 800 0 0 Microsoft Corporation Common 594918104 99 1000 SH DFND 1 0 1000 0 Microsoft Corporation Common 594918104 39 400 SH DFND 1 400 0 0 Mitel Networks Corp. Common 60671Q104 7868 717196 SH DFND 2 717196 0 0 Mondelez Int'l Inc. Common 609207105 533 13000 SH DFND 1 0 13000 0 Mondelez Int'l Inc. Common 609207105 119 2900 SH DFND 1 2900 0 0 MPLX LP Common 55336V100 5975 175000 SH DFND 2 175000 0 0 Newell Brands Inc. Common 651229106 5158 200000 SH DFND 2 200000 0 0 Novelion Therapeutics, Inc. Common 67001K202 402 109184 SH DFND 2 109184 0 0 Och-Ziff Capital Management Group Common 67551U105 4 2000 SH DFND 1 2000 0 0 Oracle Corporation Common 68389X105 6609 150000 SH DFND 2 150000 0 0 Oritani Financial Corp Common 68633D103 32 2000 SH DFND 1 0 2000 0 Oritani Financial Corp Common 68633D103 94 5800 SH DFND 1 5800 0 0 Pfizer Inc. Common 717081103 11068 305076 SH DFND 2 305076 0 0 Pfizer Inc. Common 717081103 3664 101000 SH DFND 1 0 101000 0 Pfizer Inc. Common 717081103 1596 44000 SH DFND 1 44000 0 0 Peoples United Financial Common 712704105 27 1500 SH DFND 1 0 1500 0 Quotient Limited Common G73268107 1341 167000 SH DFND 2 167000 0 0 RMR Group Inc. Common 74967R106 1 16 SH DFND 1 0 16 0 Ryman Hospitality Ppty Inc. Common 78377T107 998 12000 SH DFND 1 0 12000 0 Ryman Hospitality Ppty Inc. Common 78377T107 33 400 SH DFND 1 400 0 0 Starwood Ppty Common 85571B105 9 400 SH DFND 1 400 0 0 Stemline Therapeutics, Inc. Common 85858C107 1445 90000 SH DFND 2 90000 0 0 Synergy Pharmaceuticals, Inc. Common 871639308 392 225400 SH DFND 2 225400 0 0 The Howard Hughes Corporation Common 44267D107 3087 23300 SH DFND 2 23300 0 0 The Kraft Heinz Company Common 500754106 368 5865 SH DFND 1 0 5865 0 The Kraft Heinz Company Common 500754106 190 3035 SH DFND 1 3035 0 0 The Michaels Companies, Inc. Common 59408Q106 2876 150000 SH DFND 2 150000 0 0 Total SA Common 89151E109 176 2900 SH DFND 1 0 2900 0 Total SA Common 89151E109 143 2360 SH DFND 1 2360 0 0 United Continental Holdings, Inc. Common 910047109 697 10000 SH DFND 2 10000 0 0 Upland Software Inc. Common 91544A109 12030 350000 SH DFND 2 350000 0 0 Verizon Communications Inc. Common 92343V104 855 16991 SH DFND 1 0 16991 0 Verizon Communications Inc. Common 92343V104 66 1320 SH DFND 1 1320 0 0 Viking Therapeutics, Inc. Common 92686J106 2340 246600 SH DFND 2 246600 0 0 Viveve Medical, Inc. Common 92852W204 194 71449 SH DFND 2 71449 0 0 Wheeler Real Estate Investment Trust, Inc. Common 963025606 557 30000 SH DFND 2 30000 0 0 WP Carey Common 92936U109 398 6000 SH DFND 1 0 6000 0 Xenon Pharmaceuticals Inc. Common 98420N105 1595 173390 SH DFND 2 173390 0 0 Zogenix, Inc. Common 98978L204 972 22000 SH DFND 2 22000 0 0