Investment Manager

0001104659-19-062399.txt : 20191112 0001104659-19-062399.hdr.sgml : 20191112 20191112124208 ACCESSION NUMBER: 0001104659-19-062399 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191112 DATE AS OF CHANGE: 20191112 EFFECTIVENESS DATE: 20191112 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: 191208005 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 09-30-2019 09-30-2019 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 11-12-2019 1 157 238024 false 1 0001203370 028-10281 DORSET MANAGEMENT CORP INFORMATION TABLE 2 a19-22575_1informationtable.xml INFORMATION TABLE AbbVie Inc. Common 00287Y109 2117 27953 SH DFND 2 27953 0 0 AbbVie Inc. Common 00287Y109 379 5000 SH DFND 1 0 5000 0 Acceleron Pharma, Inc. Common 00434H108 859 21749 SH DFND 2 21749 0 0 Aimmune Therapeutics, Inc. Common 00900T107 1173 55990 SH DFND 2 55990 0 0 Alcon, Inc Common H01301128 35 600 SH DFND 2 600 0 0 Alimera Sciences, Inc. Common 016259103 259 458120 SH DFND 2 458120 0 0 AllianceBernstein Holdings PL Unit Ltd Common 01881G106 1438 49000 SH DFND 1 0 49000 0 AllianceBernstein Holdings PL Unit Ltd Common 01881G106 44 1500 SH DFND 1 1500 0 0 Alerian MLP Common 00162Q866 5 600 SH DFND 1 0 600 0 Alphabet Inc-Cl C Common 02079K107 9630 7900 SH DFND 2 7900 0 0 American Outdoor Brands Corporation Common 02874P103 2282 390000 SH DFND 2 390000 0 0 Apollo Global Management, Inc. Common 03768E105 12205 322708 SH DFND 2 322708 0 0 Apple Inc. Common 037833100 118 525 SH DFND 1 0 525 0 Apple Inc. Common 037833100 118 525 SH DFND 1 525 0 0 Arena Pharmaceuticals, Inc. Common 040047607 659 14391 SH DFND 2 14391 0 0 Ascendis Pharma A/S Common 04351P901 63 656 SH DFND 2 656 0 0 AT&T Inc. Common 00206R102 757 20000 SH DFND 1 0 20000 0 AT&T Inc. Common 00206R102 78 2050 SH DFND 1 2050 0 0 Aurinia Pharmaceuticals Inc. Common 05156V102 283 53000 SH DFND 2 53000 0 0 Bank Nova Scotia Halifax Common 064149107 23 400 SH DFND 1 0 400 0 Bellicum Pharmaceuticals Common 079481107 177 168203 SH DFND 2 168203 0 0 Bellicum Pharmaceuticals @ 5 exp 11/19 Common 9EDW5GYA8 1 100 SH DFND 2 100 0 0 Bellus Health Inc. Common 07987C204 1559 242611 SH DFND 2 242611 0 0 BioDelivery Sciences International, Inc. Common 09060J106 2179 517507 SH DFND 2 517507 0 0 Bristol-Myers Squibb Company Common 110122108 1515 29868 SH DFND 2 29868 0 0 Calumet Specialty Products Partners, LP Common 131476103 7280 2000000 SH DFND 2 2000000 0 0 Calumet Specialty Products Partners, LP Common 131476103 73 20000 SH DFND 1 20000 0 0 Canadian Natural Resources Inc. Common 136385101 366 13750 SH DFND 1 0 13750 0 Canadian Natural Resources Inc. Common 136385101 487 18285 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 804 151415 SH DFND 2 151415 0 0 Celgene Corporation Common 151020104 1574 15847 SH DFND 2 15847 0 0 Centerstate Banks Corp Common 15201P109 43 1780 SH DFND 1 0 1780 0 Centerstate Banks Corp Common 15201P109 124 5162 SH DFND 1 5162 0 0 Check Cap Ltd. Common M2361E203 4 2224 SH DFND 2 2224 0 0 Check Cap Ltd. @7.50 Exp. 2/28/20 Common M2361E120 482 64309 SH DFND 2 64309 0 0 Chemours Co. Common 163851108 7 440 SH DFND 1 0 440 0 Chemours Co. Common 163851108 11 720 SH DFND 1 720 0 0 ChemoCentryx, Inc Common 16383L106 34 5000 SH DFND 2 5000 0 0 Cidara Therapeutics, Inc. Common 171757107 390 195666 SH DFND 2 195666 0 0 Coherus Biosciences, Inc. Common 19249H103 1284 63387 SH DFND 2 63387 0 0 Coca Cola Common 191216100 414 7600 SH DFND 1 0 7600 0 Coca Cola Common 191216100 316 5800 SH DFND 1 5800 0 0 Colony Northstar Inc. Common 19625W104 9 1466 SH DFND 1 0 1466 0 Columbia Financial, Inc. Common 197641103 369 23363 SH DFND 2 23363 0 0 Community Healthcare Trust Incorporated Common 20369C106 2673 60000 SH DFND 2 60000 0 0 Conagra Brands Common 205887102 307 10000 SH DFND 1 0 10000 0 Corteva Inc. Common 22052L104 309 11051 SH DFND 1 0 11051 0 Corteva Inc. Common 22052L104 42 1494 SH DFND 1 1494 0 0 Cousins Properties Common 222795106 126 3357 SH DFND 1 0 3357 0 CymaBay Therapeutics, Inc. Common 23257D103 413 80889 SH DFND 2 80889 0 0 Dell Technologies Inc. Common 24703L202 333 6426 SH DFND 2 6426 0 0 Delta Air Lines, Inc. Common 247361702 3312 57500 SH DFND 2 57500 0 0 Dow Inc. Common 260557103 527 11051 SH DFND 1 0 11051 0 Dow Inc. Common 260557103 71 1494 SH DFND 1 1494 0 0 Dupont DE Nemours Inc. Common 26614N102 788 11051 SH DFND 1 0 11051 0 Dupont DE Nemours Inc. Common 26614N102 107 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 2403 234448 SH DFND 2 234448 0 0 Eli Lilly Inc. Common 532457108 34 300 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 1833 80000 SH DFND 2 80000 0 0 Fannie Mae 4.75 percent Series M Common 313586836 978 43000 SH DFND 2 43000 0 0 Fannie Mae 5.1 percent Series E Common 313586604 11 500 SH DFND 2 500 0 0 Fannie Mae 5.125 percent Series L Common 313586844 193 8680 SH DFND 2 8680 0 0 Fannie Mae 5.81 percent Series H Common 313586885 228 10000 SH DFND 2 10000 0 0 Fannie Mae 8.25 percent Series S Common 313586752 801 60000 SH DFND 2 60000 0 0 Fannie Mae 8.25 percent Series T Common 313586737 3043 234236 SH DFND 2 234236 0 0 Fannie Mae Float Series P Common 313586786 599 49720 SH DFND 2 49720 0 0 FNB Corporation Common 302520101 103 8905 SH DFND 1 0 8905 0 Foamix Pharmaceuticals Ltd. Common M46135105 1128 371146 SH DFND 2 371146 0 0 Fortress Trans & Infrastructure Inv. LLC Common 34960P101 13461 888509 SH DFND 2 888509 0 0 Freddie Mac 5 percent Series F Common 313400863 473 21590 SH DFND 2 21590 0 0 Freddie Mac 5.3 percent Common 313400822 2135 100000 SH DFND 2 100000 0 0 Freddie Mac 5.57 percent Series V Common 313400673 445 39739 SH DFND 2 39739 0 0 Freddie Mac 6 percent Series P Common 313400749 116 5200 SH DFND 2 5200 0 0 Freddie Mac 6.02 percent Series X Common 313400657 651 53811 SH DFND 2 53811 0 0 Freddie Mac 8.375 percent Series Z Common 313400624 1826 139500 SH DFND 2 139500 0 0 FS Bancorp Inc. Common 30263Y104 77 1460 SH DFND 1 0 1460 0 FS Bancorp Inc. Common 30263Y104 111 2117 SH DFND 1 2117 0 0 FS KKR Capital Corp. Common 302635107 8162 1400000 SH DFND 2 1400000 0 0 FS KKR Capital Corp. Common 302635107 612 105000 SH DFND 1 0 105000 0 FS KKR Capital Corp. Common 302635107 128 22000 SH DFND 1 22000 0 0 General Electric Common 369604103 11 1200 SH DFND 1 0 1200 0 General Electric Common 369604103 31 3480 SH DFND 1 3480 0 0 Global Medical REIT, Inc. Ser A Cum Pfd. Common 37957W203 930 35000 SH DFND 2 35000 0 0 Globus Medical, Inc. Common 379577208 148 2900 SH DFND 2 2900 0 0 Heritage NOLA Bancorp Inc. Common 42727P108 38 3000 SH DFND 1 0 3000 0 Heritage NOLA Bancorp Inc. Common 42727P108 114 9000 SH DFND 1 9000 0 0 Horizon Therapeutics Public Ltd. Company Common G46188101 1753 64364 SH DFND 2 64364 0 0 International Business Machines Common 459200101 623 4284 SH DFND 1 0 4284 0 International Gaming Technologies Common G4863A108 107 7500 SH DFND 1 0 7500 0 International Gaming Technologies Common G4863A108 8526 600000 SH DFND 2 600000 0 0 Johnson & Johnson Common 478160104 285 2200 SH DFND 1 0 2200 0 Johnson & Johnson Common 478160104 657 5080 SH DFND 1 5080 0 0 JP Morgan Chase Common 46625H100 1036 8800 SH DFND 1 0 8800 0 JP Morgan Chase Common 46625H100 1677 14250 SH DFND 1 14250 0 0 Kadmon Holdings, Inc. Common 48283N106 264 104700 SH DFND 2 104700 0 0 Kimberly Clark Corporation Common 494368103 852 6000 SH DFND 1 0 6000 0 Krystal Biotech, Inc. Common 501147102 201 5797 SH DFND 2 5797 0 0 Legacy Housing Corporation Common 52472M101 65 4000 SH DFND 1 0 4000 0 Legacy Housing Corporation Common 52472M101 81 5000 SH DFND 1 5000 0 0 Lexicon Pharmaceuticals, Inc. Common 528872302 90 29800 SH DFND 2 29800 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 34062 342198 SH DFND 2 342198 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 183 1843 SH DFND 1 0 1843 0 Ligand Pharmaceuticals Incorporated Common 53220K504 896 9000 SH DFND 1 9000 0 0 LKQ Corporation Common 501889208 9435 300000 SH DFND 2 300000 0 0 Macquarie Infrastructure Corporation Common 55608B105 6457 163600 SH DFND 2 163600 0 0 Macquarie Infrastructure Corporation Common 55608B105 355 9000 SH DFND 1 0 9000 0 Macquarie Infrastructure Corporation Common 55608B105 130 3300 SH DFND 1 3300 0 0 Medtronics Inc. Common G5960L103 114 1050 SH DFND 1 0 1050 0 MEI Pharma, Inc. Common 55279B202 65 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 139 1000 SH DFND 1 0 1000 0 Microsoft Corporation Common 594918104 56 400 SH DFND 1 400 0 0 Mondelez Int'l Inc. Common 609207105 719 13000 SH DFND 1 0 13000 0 Mondelez Int'l Inc. Common 609207105 160 2900 SH DFND 1 2900 0 0 MPLX LP Common 55336V100 10267 366558 SH DFND 2 366558 0 0 Novartis AG Common 66987V109 130 1500 SH DFND 2 1500 0 0 Novelion Therapeutics, Inc. Common 67001K202 79 109135 SH DFND 2 109135 0 0 Occidental Pete Corp Common 674599105 57 1273 SH DFND 1 0 1273 0 Occidental Pete Corp Common 674599105 76 1700 SH DFND 1 1700 0 0 Oritani Financial Corp Common 68633D103 35 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 23 1500 SH DFND 1 0 1500 0 Pfizer Inc. Common 717081103 3629 101000 SH DFND 1 0 101000 0 Pfizer Inc. Common 717081103 1110 30900 SH DFND 1 44000 0 0 Quotient Limited Common G73268107 548 70542 SH DFND 2 70542 0 0 Radius Health Inc. Common 750469207 1887 73269 SH DFND 2 73269 0 0 RMR Group Inc. Common 74967R106 1 16 SH DFND 1 0 16 0 Ryman Hospitality Ppty Inc. Common 78377T107 982 12000 SH DFND 1 0 12000 0 Ryman Hospitality Ppty Inc. Common 78377T107 33 400 SH DFND 1 400 0 0 Sculptor Cap Mgmt Common 811246107 4 200 SH DFND 1 200 0 0 Service Ppty Trust Common 81761L102 26 1000 SH DFND 1 0 1000 0 Starwood Ppty Common 85571B105 10 400 SH DFND 1 400 0 0 Stemline Therapeutics, Inc. Common 85858C107 1124 107934 SH DFND 2 107934 0 0 Stericycle, Inc. Common 858912108 15996 314083 SH DFND 2 314083 0 0 The Michaels Companies, Inc. Common 59408Q106 1469 150000 SH DFND 2 150000 0 0 The Kraft Heinz Company Common 500754106 52 1865 SH DFND 1 0 1865 0 The Kraft Heinz Company Common 500754106 85 3035 SH DFND 1 3035 0 0 The Stars Group Inc. Common 85570W100 8176 545800 SH DFND 2 545800 0 0 Total SA Common 89151E109 26 500 SH DFND 1 0 500 0 Total SA Common 89151E109 123 2360 SH DFND 1 2360 0 0 Upland Software, Inc. Common 91544A109 15269 438000 SH DFND 2 438000 0 0 Verizon Communications Inc. Common 92343V104 1026 16991 SH DFND 1 0 16991 0 Verizon Communications Inc. Common 92343V104 80 1320 SH DFND 1 1320 0 0 Verrica Pharmaceuticals, Inc. Common 92511W108 151 10207 SH DFND 2 10207 0 0 Viking Therapeutics, Inc. Common 92686J106 1501 218102 SH DFND 2 218102 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 203 14309 SH DFND 2 14309 0 0 WP Carey Common 92936U109 537 6000 SH DFND 1 0 6000 0 Xenon Pharmaceuticals Inc. Common 98420N105 1688 187311 SH DFND 2 187311 0 0