Investment Manager

0001104659-19-045251.txt : 20190812 0001104659-19-045251.hdr.sgml : 20190812 20190812134500 ACCESSION NUMBER: 0001104659-19-045251 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190812 DATE AS OF CHANGE: 20190812 EFFECTIVENESS DATE: 20190812 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: 191015442 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 06-30-2019 06-30-2019 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 08-12-2019 1 148 237063 false 2 0001203370 028-10281 DORSET MANAGEMENT CORP INFORMATION TABLE 2 a19-17019_1informationtable.xml INFORMATION TABLE AbbVie Inc. Common 00287Y109 444 6100 SH DFND 2 6100 0 0 AbbVie Inc. Common 00287Y109 364 5000 SH DFND 1 0 5000 0 Acceleron Pharma, Inc. Common 00434H108 731 17800 SH DFND 2 17800 0 0 Aimmune Therapeutics, Inc. Common 00900T107 1196 57456 SH DFND 2 57456 0 0 Alcon, Inc Common H01301128 37 600 SH DFND 2 600 0 0 Alimera Sciences, Inc. Common 016259103 396 444401 SH DFND 2 444401 0 0 AllianceBernstein Holdings PL Unit Ltd Common 01881G106 1456 49000 SH DFND 1 0 49000 0 AllianceBernstein Holdings PL Unit Ltd Common 01881G106 45 1500 SH DFND 1 1500 0 0 Alerian MLP Common 00162Q866 6 600 SH DFND 1 0 600 0 Alphabet Inc-Cl C Common 02079K107 8539 7900 SH DFND 2 7900 0 0 American Outdoor Brands Corporation Common 02874P103 3514 390000 SH DFND 2 390000 0 0 Anadarko Petroleum Corporation Common 032511107 501 7100 SH DFND 1 0 7100 0 Anadarko Petroleum Corporation Common 032511107 625 8860 SH DFND 1 8860 0 0 Apollo Global Management, LLC Common 037612306 11069 322708 SH DFND 2 322708 0 0 Apple Inc. Common 037833100 4750 24000 SH DFND 2 24000 0 0 Apple Inc. Common 037833100 104 525 SH DFND 1 0 525 0 Apple Inc. Common 037833100 104 525 SH DFND 1 525 0 0 Arena Pharmaceuticals, Inc. Common 040047607 1075 18332 SH DFND 2 18332 0 0 Ascendis Pharma A/S Common BV9G6B8US 76 656 SH DFND 2 656 0 0 AT&T Inc. Common 00206R102 670 20000 SH DFND 1 0 20000 0 AT&T Inc. Common 00206R102 69 2050 SH DFND 1 2050 0 0 Aurinia Pharmaceuticals Inc. Common 05156V102 382 58000 SH DFND 2 58000 0 0 Bank Nova Scotia Halifax Common 064149107 22 400 SH DFND 1 0 400 0 Bellicum Pharmaceuticals, Inc. Common 079481107 435 255703 SH DFND 2 255703 0 0 Bellicum Pharm., Inc. 5 Common 9EDW5GYA8 50 100 SH DFND 2 100 0 0 BioDelivery Sciences International, Inc. Common 09060J106 2106 452802 SH DFND 2 452802 0 0 Bristol-Myers Squibb Company Common 110122108 1228 27080 SH DFND 2 27080 0 0 Calumet Specialty Products Partners, LP Common 131476103 7992 1907436 SH DFND 2 1907436 0 0 Calumet Specialty Products Partners, LP Common 131476103 84 20000 SH DFND 1 20000 0 0 Canadian Natural Resources Inc. Common 136385101 371 13750 SH DFND 1 0 13750 0 Canadian Natural Resources Inc. Common 136385101 502 18600 SH DFND 1 18600 0 0 Capitol Federal Financial Inc. Common 14057J101 55 4000 SH DFND 1 0 4000 0 Capitol Federal Financial Inc. Common 14057J101 80 5800 SH DFND 1 5800 0 0 Catalyst Pharmaceuticals, Inc. Common 14888U101 1318 343347 SH DFND 2 343347 0 0 Celgene Corporation Common 151020104 1465 15847 SH DFND 2 15847 0 0 Centerstate Banks Corp Common 15201P109 41 1780 SH DFND 1 0 1780 0 Centerstate Banks Corp Common 15201P109 119 5162 SH DFND 1 5162 0 0 Check Cap Ltd. Common M2361E203 5 2224 SH DFND 2 2224 0 0 Check Cap Ltd. 7.50 Common M2361E120 482 64309 SH DFND 2 64309 0 0 Chemours Co. Common 163851108 15 640 SH DFND 1 0 640 0 Chemours Co. Common 163851108 17 720 SH DFND 1 720 0 0 Cidara Therapeutics, Inc. Common 171757107 216 128527 SH DFND 2 128527 0 0 Coherus Biosciences, Inc. Common 19249H103 1379 62387 SH DFND 2 62387 0 0 Coca Cola Common 191216100 387 7600 SH DFND 1 0 7600 0 Coca Cola Common 191216100 295 5800 SH DFND 1 5800 0 0 Colony Northstar Inc. Common 19625W104 7 1466 SH DFND 1 0 1466 0 Columbia Financial, Inc. Common 197641103 353 23363 SH DFND 2 23363 0 0 Community Healthcare Trust Incorporated Common 20369C106 2365 60000 SH DFND 2 60000 0 0 Conagra Brands Common 205887102 265 10000 SH DFND 1 0 10000 0 Corteva Inc. Common 22052L104 327 11051 SH DFND 1 0 11051 0 Corteva Inc. Common 22052L104 44 1494 SH DFND 1 1494 0 0 Cousins Properties Common 222795106 121 3357 SH DFND 1 0 3357 0 CymaBay Therapeutics, Inc. Common 23257D103 150 21000 SH DFND 2 21000 0 0 Dell Technologies Inc. Common 24703L202 326 6426 SH DFND 2 6426 0 0 Delta Air Lines, Inc. Common 247361702 3263 57500 SH DFND 2 57500 0 0 Dow Inc. Common 260557103 545 11051 SH DFND 1 0 11051 0 Dow Inc. Common 260557103 74 1494 SH DFND 1 1494 0 0 Dupont DE Nemours Inc. Common 26614N102 830 11051 SH DFND 1 0 11051 0 Dupont DE Nemours Inc. Common 26614N102 112 1494 SH DFND 1 1494 0 0 Eagle Materials Inc. Common 26969P108 21 228 SH DFND 1 0 228 0 Eiger BioPharmaceuticals, Inc. Common 28249U105 2300 216969 SH DFND 2 216969 0 0 Eli Lilly Inc. Common 532457108 33 300 SH DFND 1 0 300 0 Entegra Financial Corporation Common 29363J108 90 3000 SH DFND 1 0 3000 0 Entegra Financial Corporation Common 29363J108 218 7250 SH DFND 1 7250 0 0 Essential Properties Realty Trust, Inc. Common 29670E107 802 40000 SH DFND 2 40000 0 0 FNB Coporation Common 302520101 105 8905 SH DFND 1 0 8905 0 Fannie Mae 8.25 Series T Common 313586737 996 85000 SH DFND 2 85000 0 0 Foamix Pharmaceuticals Ltd. Common M46135105 883 371046 SH DFND 2 371046 0 0 Ford Motor Company Common 345370860 51 5000 SH DFND 1 0 5000 0 Fortress Trans & Infrastructure Inv. LLC Common 34960P101 13190 873509 SH DFND 2 873509 0 0 FS Bancorp Inc. Common 30263Y104 76 1460 SH DFND 1 0 1460 0 FS Bancorp Inc. Common 30263Y104 110 2117 SH DFND 1 2117 0 0 Freddie Mac 8.375 Series Z Common 313400624 662 53350 SH DFND 2 53350 0 0 General Electric Common 369604103 13 1200 SH DFND 1 0 1200 0 General Electric Common 369604103 37 3480 SH DFND 1 3480 0 0 General Motors Common 37045V100 193 5000 SH DFND 1 0 5000 0 Gilead Sciences, Inc. Common 375558103 236 3500 SH DFND 2 3500 0 0 Global Medical REIT, Inc. Ser A Cum Pfd. Common 37957W203 918 35000 SH DFND 2 35000 0 0 Globus Medical, Inc. Common 379577208 80 1900 SH DFND 2 1900 0 0 Heritage NOLA Bancorp Inc. Common 42727P108 38 3000 SH DFND 1 0 3000 0 Heritage NOLA Bancorp Inc. Common 42727P108 115 9000 SH DFND 1 9000 0 0 Hospitality Properties Trust Common 44106M102 625 25000 SH DFND 1 0 25000 0 Horizon Therapeutics Public Ltd. Company Common G4617B105 1204 50046 SH DFND 2 50046 0 0 Intec Pharma Ltd. Common M53644106 1126 259377 SH DFND 2 259377 0 0 International Business Machines Common 459200101 591 4284 SH DFND 1 0 4284 0 International Gaming Technologies Common G4863A108 7782 600000 SH DFND 2 600000 0 0 International Gaming Technologies Common G4863A108 97 7500 SH DFND 1 0 7500 0 Johnson & Johnson Common 478160104 306 2200 SH DFND 1 0 2200 0 Johnson & Johnson Common 478160104 708 5080 SH DFND 1 5080 0 0 JP Morgan & Chase Common 46625H100 984 8800 SH DFND 1 0 8800 0 JP Morgan & Chase Common 46625H100 1593 14250 SH DFND 1 14250 0 0 Kimberly Clark Corporation Common 494368103 800 6000 SH DFND 1 0 6000 0 Krystal Biotech, Inc. Common 501147102 233 5797 SH DFND 2 5797 0 0 Legacy Housing Corporation Common 52472M101 50 4000 SH DFND 1 0 4000 0 Legacy Housing Corporation Common 52472M101 62 5000 SH DFND 1 5000 0 0 Lexicon Pharmaceuticals, Inc. Common 528872302 189 30000 SH DFND 2 30000 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 39062 342198 SH DFND 2 342198 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 210 1843 SH DFND 1 0 1843 0 Ligand Pharmaceuticals Incorporated Common 53220K504 1027 9000 SH DFND 1 9000 0 0 LKQ Corporation Common 501889208 7983 300000 SH DFND 2 300000 0 0 Lowe's Companies, Inc. Common 548661107 4541 45000 SH DFND 2 45000 0 0 Macquarie Infrastructure Corporation Common 55608B105 6632 163600 SH DFND 2 163600 0 0 Macquarie Infrastructure Corporation Common 55608B105 365 9000 SH DFND 1 0 9000 0 Macquarie Infrastructure Corporation Common 55608B105 134 3300 SH DFND 1 3300 0 0 Medtronics Inc. Common G5960L103 102 1050 SH DFND 1 0 1050 0 MEI Pharma, Inc. Common 55279B202 96 38590 SH DFND 2 38590 0 0 Merck & Co. Inc. Common 58993Y105 42 500 SH DFND 1 0 500 0 Merck & Co. Inc. Common 58993Y105 67 800 SH DFND 1 800 0 0 Microsoft Corporation Common 594918104 134 1000 SH DFND 1 0 1000 0 Microsoft Corporation Common 594918104 54 400 SH DFND 1 400 0 0 Mondelez Int'l Inc. Common 609207105 701 13000 SH DFND 1 0 13000 0 Mondelez Int'l Inc. Common 609207105 156 2900 SH DFND 1 2900 0 0 MPLX LP Common 55336V100 10608 329558 SH DFND 2 329558 0 0 Novartis AG Common 66987V109 274 3000 SH DFND 2 3000 0 0 Novelion Therapeutics, Inc. Common 67001K202 85 109135 SH DFND 2 109135 0 0 Och-Ziff Capital Management Group Common 67551U105 5 200 SH DFND 1 200 0 0 Oritani Financial Corp Common 68633D103 34 2000 SH DFND 1 0 2000 0 Oritani Financial Corp Common 68633D103 103 5800 SH DFND 1 5800 0 0 Orthofix Medical Inc. Common 68752M108 106 2000 SH DFND 2 2000 0 0 Peoples United Financial Common 712704105 25 1500 SH DFND 1 0 1500 0 Pfizer Inc. Common 717081103 4375 101000 SH DFND 1 0 101000 0 Pfizer Inc. Common 717081103 1906 44000 SH DFND 1 44000 0 0 Quotient Limited Common G73268107 1590 170000 SH DFND 2 170000 0 0 RMR Group Inc. Common 74967R106 1 16 SH DFND 1 0 16 0 Radius Health Inc. Common 750469207 1882 77269 SH DFND 2 77269 0 0 Ryman Hospitality Ppty Inc. Common 78377T107 973 12000 SH DFND 1 0 12000 0 Ryman Hospitality Ppty Inc. Common 78377T107 32 400 SH DFND 1 400 0 0 Starwood Ppty Common 85571B105 9 400 SH DFND 1 400 0 0 Stemline Therapeutics, Inc. Common 85858C107 1542 100634 SH DFND 2 100634 0 0 Stericycle, Inc. Common 858912108 12849 269083 SH DFND 2 269083 0 0 The Howard Hughes Corporation Common 44267D107 1610 13000 SH DFND 2 13000 0 0 The Michaels Companies, Inc. Common 59408Q106 2610 300000 SH DFND 2 300000 0 0 The Kraft Heinz Company Common 500754106 182 5865 SH DFND 1 0 5865 0 The Kraft Heinz Company Common 500754106 94 3035 SH DFND 1 3035 0 0 The Stars Group Inc. Common 85570W100 8037 470800 SH DFND 2 470800 0 0 Totol SA Common 89151E109 162 2900 SH DFND 1 0 2900 0 Totol SA Common 89151E109 132 2360 SH DFND 1 2360 0 0 Upland Software, Inc. Common 91544A109 19942 438000 SH DFND 2 438000 0 0 Verizon Communications Inc. Common 92343V104 971 16991 SH DFND 1 0 16991 0 Verizon Communications Inc. Common 92343V104 75 1320 SH DFND 1 1320 0 0 Verrica Pharmaceuticals, Inc. Common 92511W108 129 11107 SH DFND 2 11107 0 0 Viking Therapeutics, Inc. Common 92686J106 1810 218102 SH DFND 2 218102 0 0 Viveve Medical, Inc. Common 92852W204 17 43649 SH DFND 2 43649 0 0 WABTEC Common 929740108 0 6 SH DFND 1 0 6 0 WABTEC Common 929740108 1 17 SH DFND 1 17 0 0 Wheeler Real Estate Investment Trust, Inc. Common 963025606 215 14309 SH DFND 2 14309 0 0 WP Carey Common 92936U109 487 6000 SH DFND 1 0 6000 0 Xenon Pharmaceuticals Inc. Common 98420N105 1769 179390 SH DFND 2 179390 0 0