Investment Manager

0001104659-20-021354.txt : 20200214 0001104659-20-021354.hdr.sgml : 20200214 20200214132608 ACCESSION NUMBER: 0001104659-20-021354 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200214 DATE AS OF CHANGE: 20200214 EFFECTIVENESS DATE: 20200214 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: 20617408 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 12-31-2019 12-31-2019 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-President of Dorset Management Corp., is included with Dorset Management Corp.; and as co-managing member of KPM LLC, which is the co-General Partner and the sole managing General Partner of Knott Partners LP and sole General Partner of Shoshone Partners LP and of Dorset Opportunity Fund LP, shares voting power. Knott David M Investment Manager (516) 364-0303 /s/ David M. Knott Syosset NY 02-14-2020 1 152 246699 false 2 0001203370 028-10281 DORSET MANAGEMENT CORP INFORMATION TABLE 2 a20-8009_1informationtable.xml INFORMATION TABLE AbbVie Inc. Common 00287Y109 2475 27953 SH DFND 2 0 27953 0 AbbVie Inc. Common 00287Y109 443 5000 SH DFND 1 0 5000 0 Acceleron Pharma, Inc. Common 00434H108 294 5547 SH DFND 2 0 5547 0 Aimmune Therapeutics, Inc. Common 00900T107 1874 55990 SH DFND 2 0 55990 0 Alimera Sciences, Inc. Common 016259202 342 45155 SH DFND 2 0 45155 0 Alkermes PLC Common G01767105 879 43073 SH DFND 2 0 43073 0 AllianceBernstein Holdings PL Unit Ltd Common 01881G106 1483 49000 SH DFND 1 0 49000 0 AllianceBernstein Holdings PL Unit Ltd Common 01881G106 45 1500 SH DFND 1 0 1500 0 Alerian MLP Common 00162Q866 5 600 SH DFND 1 0 600 0 Alphabet Inc-Cl C Common 02079K107 10562 7900 SH DFND 2 0 7900 0 American Outdoor Brands Corporation Common 02874P103 3619 390000 SH DFND 2 0 390000 0 Apollo Global Management, Inc. Common 03768E105 11331 237500 SH DFND 2 0 237500 0 Apple Inc. Common 037833100 154 525 SH DFND 1 0 525 0 Apple Inc. Common 037833100 154 525 SH DFND 1 0 525 0 Arena Pharmaceuticals, Inc. Common 040047607 654 14391 SH DFND 2 0 14391 0 Ascendis Pharma A/S Common 04351P101 91 656 SH DFND 2 0 656 0 AT&T Inc. Common 00206R102 782 20000 SH DFND 1 0 20000 0 AT&T Inc. Common 00206R102 80 2050 SH DFND 1 0 2050 0 Bank Nova Scotia Halifax Common 064149107 23 400 SH DFND 1 0 400 0 BELLUS Health Inc. Common 07987C204 1833 242611 SH DFND 2 0 242611 0 BioDelivery Sciences International, Inc. Common 09060J106 3189 504607 SH DFND 2 0 504607 0 Bristol-Myers Squibb Company Common 110122108 2806 43715 SH DFND 2 0 43715 0 Bristol-Myers Squibb Company - CVR Common 110122157 48 15847 SH DFND 2 0 15847 0 Calumet Specialty Products Partners, LP Common 131476103 7300 2000000 SH DFND 2 0 2000000 0 Calumet Specialty Products Partners, LP Common 131476103 73 20000 SH DFND 1 0 20000 0 Canadian Natural Resources Inc. Common 136385101 445 13750 SH DFND 1 0 13750 0 Canadian Natural Resources Inc. Common 136385101 592 18285 SH DFND 1 0 18285 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 0 5800 0 Catalyst Pharmaceuticals, Inc. Common 14888U101 219 58317 SH DFND 2 0 58317 0 Centerstate Banks Corp Common 15201P109 44 1780 SH DFND 1 0 1780 0 Centerstate Banks Corp Common 15201P109 129 5162 SH DFND 1 0 5162 0 Check Cap Ltd. Common M2361E203 4 2224 SH DFND 2 0 2224 0 Check Cap Ltd. @7.50 Exp. 2/28/20 Common M2361E120 482 64309 SH DFND 2 0 64309 0 Chemours Co. Common 163851108 8 440 SH DFND 1 0 440 0 Chemours Co. Common 163851108 13 720 SH DFND 1 0 720 0 ChemoCentryx, Inc. Common 16383L106 4195 106075 SH DFND 2 0 106075 0 Cidara Therapeutics, Inc. Common 171757107 838 218220 SH DFND 2 0 218220 0 Coca Cola Common 191216100 421 7600 SH DFND 1 0 7600 0 Coca Cola Common 191216100 321 5800 SH DFND 1 0 5800 0 Coherus Biosciences, Inc. Common 19249H103 1363 75714 SH DFND 2 0 75714 0 Collegium Pharmaceutical, Inc. Common 19459J104 257 12500 SH DFND 2 0 12500 0 Colony Northstar Inc. Common 19625W104 7 1466 SH DFND 1 0 1466 0 Columbia Financial, Inc. Common 197641103 396 23363 SH DFND 2 0 23363 0 Conagra Brands Common 205887102 342 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 0 1494 0 Cousins Properties Common 222795106 138 3357 SH DFND 1 0 3357 0 Dell Technologies Inc. Common 24703L202 330 6426 SH DFND 2 0 6426 0 Dow Inc. Common 260557103 605 11051 SH DFND 1 0 11051 0 Dow Inc. Common 260557103 82 1494 SH DFND 1 0 1494 0 Dupont De Nemours Inc. Common 26614N102 709 11051 SH DFND 1 0 11051 0 Dupont De Nemours Inc. Common 26614N102 96 1494 SH DFND 1 0 1494 0 Eagle Materials Inc. Common 26969P108 21 228 SH DFND 1 0 228 0 Eiger BioPharmaceuticals, Inc. Common 28249U105 3493 234448 SH DFND 2 0 234448 0 Eli Lilly Inc. Common 532457108 39 300 SH DFND 1 0 300 0 Entegra Financial Corporation Common 29363J108 90 3000 SH DFND 1 0 3000 0 Entegra Financial Corporation Common 29363J108 219 7250 SH DFND 1 0 7250 0 Fannie Mae 4.75 percent Series M Common 313586836 851 43000 SH DFND 2 0 43000 0 Fannie Mae 5.1 percent Series E Common 313586604 319 17500 SH DFND 2 0 17500 0 Fannie Mae 5.125 percent Series L Common 313586844 173 8680 SH DFND 2 0 8680 0 Fannie Mae 5.81 percent Series H Common 313586885 198 10000 SH DFND 2 0 10000 0 Fannie Mae 8.25 percent Series S Common 313586752 418 35000 SH DFND 2 0 35000 0 Fannie Mae 8.25 percent Series T Common 313586737 1663 146736 SH DFND 2 0 146736 0 Fannie Mae Float - Series G Common 313586802 393 22477 SH DFND 2 0 22477 0 Fannie Mae Float Series F Common 313586703 1507 81890 SH DFND 2 0 81890 0 Fannie Mae Float Series P Common 313586786 2670 254559 SH DFND 2 0 254559 0 Foamix Pharmaceuticals Ltd. Common M46135105 1269 381146 SH DFND 2 0 381146 0 Fortress Trans & Infrastructure Inv. LLC Common 34960P101 17361 888509 SH DFND 2 0 888509 0 Freddie Mac 5 percent Series F Common 313400863 394 21590 SH DFND 2 0 21590 0 Freddie Mac 5.3 percent Common 313400822 534 30000 SH DFND 2 0 30000 0 Freddie Mac 5.57 percent Series V Common 313400673 794 80000 SH DFND 2 0 80000 0 Freddie Mac 5.9 percent Series U Common 313400681 100 10000 SH DFND 2 0 10000 0 Freddie Mac 6 percent Series P Common 313400749 104 5200 SH DFND 2 0 5200 0 Freddie Mac 6.02 percent Series X Common 313400657 610 53811 SH DFND 2 0 53811 0 Freddie Mac 8.375 percent Series Z Common 313400624 1653 139500 SH DFND 2 0 139500 0 FNB Corporation Common 302520101 113 8905 SH DFND 1 0 8905 0 FS Bancorp Inc. Common 30263Y104 93 1460 SH DFND 1 0 1460 0 FS Bancorp Inc. Common 30263Y104 135 2117 SH DFND 1 0 2117 0 FS KKR Capital Corp. Common 302635107 8582 1400000 SH DFND 2 0 1400000 0 FS KKR Capital Corp. Common 302635107 644 105000 SH DFND 1 0 105000 0 FS KKR Capital Corp. Common 302635107 135 22000 SH DFND 1 0 22000 0 General Electric Common 369604103 13 1200 SH DFND 1 0 1200 0 General Electric Common 369604103 39 3480 SH DFND 1 0 3480 0 Global Medical REIT, Inc. Ser A Cum Pfd. Common 37957W203 943 35000 SH DFND 2 0 35000 0 Globus Medical, Inc. Common 379577208 171 2900 SH DFND 2 0 2900 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 0 9000 0 Horizon Therapeutics Public Ltd. Company Common G46188101 2203 60856 SH DFND 2 0 60856 0 International Business Machines Common 459200101 574 4284 SH DFND 1 0 4284 0 International Gaming Technologies Common G4863A108 112 7500 SH DFND 1 0 7500 0 International Gaming Technologies Common G4863A108 8982 600000 SH DFND 2 0 600000 0 Johnson & Johnson Common 478160104 321 2200 SH DFND 1 0 2200 0 Johnson & Johnson Common 478160104 741 5080 SH DFND 1 0 5080 0 JP Morgan Chase Common 46625H100 1237 8800 SH DFND 1 0 8800 0 JP Morgan Chase Common 46625H100 1986 14250 SH DFND 1 0 14250 0 Kadmon Holdings, Inc. Common 48283N106 1246 275000 SH DFND 2 0 275000 0 Kimberly Clark Corporation Common 494368103 825 6000 SH DFND 1 0 6000 0 Krystal Biotech, Inc. Common 501147102 392 7079 SH DFND 2 0 7079 0 Legacy Housing Corporation Common 52472M101 67 4000 SH DFND 1 0 4000 0 Legacy Housing Corporation Common 52472M101 83 5000 SH DFND 1 0 5000 0 Ligand Pharmaceuticals Incorporated Common 53220K504 35688 342198 SH DFND 2 0 342198 0 Ligand Pharmaceuticals Incorporated Common 53220K504 192 1843 SH DFND 1 0 1843 0 Ligand Pharmaceuticals Incorporated Common 53220K504 939 9000 SH DFND 1 0 9000 0 LKQ Corporation Common 501889208 7140 200000 SH DFND 2 0 200000 0 Macquarie Infrastructure Corporation Common 55608B105 7009 163600 SH DFND 2 0 163600 0 Macquarie Infrastructure Corporation Common 55608B105 386 9000 SH DFND 1 0 9000 0 Macquarie Infrastructure Corporation Common 55608B105 141 3300 SH DFND 1 0 3300 0 MEI Pharma, Inc. Common 55279B202 96 38590 SH DFND 2 0 38590 0 MPLX LP Common 55336V100 9333 366558 SH DFND 2 0 366558 0 Medtronics Common G5960L103 119 1050 SH DFND 1 0 1050 0 Merck & Co. Inc. Common 58993Y105 45 500 SH DFND 1 0 500 0 Merck & Co. Inc. Common 58993Y105 73 800 SH DFND 1 0 800 0 Microsoft Corporation Common 594918104 158 1000 SH DFND 1 0 1000 0 Microsoft Corporation Common 594918104 63 400 SH DFND 1 0 400 0 Mondelez Int'lt Inc. Common 609207105 716 13000 SH DFND 1 0 13000 0 Mondelez Int'lt Inc. Common 609207105 160 2900 SH DFND 1 0 2900 0 Novelion Therapeutics, Inc. Common 67001K202 77 109135 SH DFND 2 0 109135 0 Occidental Pete Corp Common 674599105 52 1273 SH DFND 1 0 1273 0 Occidental Pete Corp Common 674599105 70 1700 SH DFND 1 0 1700 0 Peoples United Financial Common 712704105 25 1500 SH DFND 1 0 1500 0 Pfizer Inc. Common 717081103 3957 101000 SH DFND 1 0 101000 0 Pfizer Inc. Common 717081103 1211 30900 SH DFND 1 0 30900 0 Quotient Limited Common G73268107 671 70542 SH DFND 2 0 70542 0 RMR Group Inc. Common 74967R106 1 16 SH DFND 1 0 16 0 Radius Health Inc. Common 750469207 1323 65617 SH DFND 2 0 65617 0 Ryman Hospitality Ppty Inc. Common 78377T107 1040 12000 SH DFND 1 0 12000 0 Ryman Hospitality Ppty Inc. Common 78377T107 35 400 SH DFND 1 0 400 0 Sculptor Capital Mgmt Common 811246107 4 200 SH DFND 1 0 200 0 Service Ppty Trust Common 81761L102 24 1000 SH DFND 1 0 1000 0 Starwood Ppty Common 85571B105 10 400 SH DFND 1 0 400 0 Stemline Therapeutics, Inc. Common 85858C107 1546 145475 SH DFND 2 0 145475 0 Stericycle, Inc. Common 858912108 17170 269083 SH DFND 2 0 269083 0 Strongbridge Biopharma PLC Common G85347105 209 100000 SH DFND 2 0 100000 0 The Stars Group Inc. Common 85570W100 6523 250000 SH DFND 2 0 250000 0 The Kraft Heinz Company Common 500754106 60 1865 SH DFND 1 0 1865 0 The Kraft Heinz Company Common 500754106 98 3035 SH DFND 1 0 3035 0 Total SA Common 89151E109 28 500 SH DFND 1 0 500 0 Total SA Common 89151E109 131 2360 SH DFND 1 0 2360 0 uniQure N.V. Common N90064101 351 4900 SH DFND 2 0 4900 0 Upland Software, Inc. Common 91544A109 15641 438000 SH DFND 2 0 438000 0 Valley National Bancorp Common 919794107 37 3200 SH DFND 1 0 3200 0 Valley National Bancorp Common 919794107 106 9280 SH DFND 1 0 9280 0 Verizon Communications Inc. Common 92343V104 1043 16991 SH DFND 1 0 16991 0 Verizon Communications Inc. Common 92343V104 81 1320 SH DFND 1 0 1320 0 Verrica Pharmaceuticals, Inc. Common 92511W108 162 10207 SH DFND 2 0 10207 0 Viking Therapeutics, Inc. Common 92686J106 1749 218102 SH DFND 2 0 218102 0 WABTEC Common 929740108 0 6 SH DFND 1 0 6 0 WABTEC Common 929740108 1 17 SH DFND 1 0 17 0 Wheeler Real Estate Investment Trust, Inc. Common 963025606 214 14309 SH DFND 2 0 14309 0 WP Carey Common 92936U109 480 6000 SH DFND 1 0 6000 0 Xenon Pharmaceuticals Inc. Common 98420N105 2565 195657 SH DFND 2 0 195657 0