Investment Manager

0001104659-20-093584.txt : 20200812 0001104659-20-093584.hdr.sgml : 20200812 20200812091632 ACCESSION NUMBER: 0001104659-20-093584 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200630 FILED AS OF DATE: 20200812 DATE AS OF CHANGE: 20200812 EFFECTIVENESS DATE: 20200812 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: 201094338 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 06-30-2020 06-30-2020 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 08-12-2020 1 127 183187 false 2 0001203370 028-10281 DORSET MANAGEMENT CORP INFORMATION TABLE 2 a20-27278_1informationtable.xml INFORMATION TABLE AbbVie Inc. Common 00287Y109 3217 32769 SH DFND 2 0 32769 0 AbbVie Inc. Common 00287Y109 491 5000 SH DFND 1 0 5000 0 ADMA Biologics, Inc. Common 000899104 586 200157 SH DFND 2 0 200157 0 Alimera Sciences, Inc. Common 016259103 505 80194 SH DFND 2 0 80194 0 Alkermes PLC Common G01767105 1127 58073 SH DFND 2 0 58073 0 Alerian MLP Common 00162Q452 3 120 SH DFND 1 0 120 0 AllianceBernstein Holdings PL Unit Ltd Common 01881G106 41 1500 SH DFND 1 0 1500 0 AllianceBernstein Holdings PL Unit Ltd Common 01881G106 1335 49000 SH DFND 1 0 49000 0 Alphabet Inc-Cl C Common 02079K107 7916 5600 SH DFND 2 0 5600 0 Apple Inc. Common 037833100 192 525 SH DFND 1 0 525 0 Apple Inc. Common 037833100 192 525 SH DFND 1 0 525 0 Apollo Global Management, Inc. Common 03768E105 14976 300000 SH DFND 2 0 300000 0 AT&T Inc. Common 00206R102 62 2050 SH DFND 1 0 2050 0 AT&T Inc. Common 00206R102 605 20000 SH DFND 1 0 20000 0 Aurinia Pharmaceuticals Inc. Common 05156V102 1866 114810 SH DFND 2 0 114810 0 Bank Nova Scotia Halifax Common 064149107 16 400 SH DFND 1 0 400 0 BELLUS Health Inc. Common 07987C204 2468 238611 SH DFND 2 0 238611 0 BioCryst Pharmaceuticals, Inc. Common 09058V103 1893 397361 SH DFND 2 0 397361 0 BioDelivery Sciences International, Inc. Common 09060J106 2204 505530 SH DFND 2 0 505530 0 Bristol-Myers Squibb Company Common 110122108 2729 46409 SH DFND 2 0 46409 0 Calumet Specialty Products Partners, LP Common 131476103 4560 2000000 SH DFND 2 0 2000000 0 Calumet Specialty Products Partners, LP Common 131476103 46 20000 SH DFND 1 0 20000 0 Canadian Natural Resources Inc. Common 136385101 319 18285 SH DFND 1 0 18285 0 Canadian Natural Resources Inc. Common 136385101 240 13750 SH DFND 1 0 13750 0 Capitol Federal Financial Inc. Common 14057J101 64 5800 SH DFND 1 0 5800 0 Catalyst Pharmaceuticals, Inc. Common 14888U101 195 42117 SH DFND 2 0 42117 0 Check Cap Ltd. Common M2361E203 1 2224 SH DFND 2 0 2224 0 Chemours Co. Common 163851108 11 720 SH DFND 1 0 720 0 Chemours Co. Common 163851108 7 440 SH DFND 1 0 440 0 ChemoCentryx, Inc. Common 16383L106 4317 75033 SH DFND 2 0 75033 0 Cidara Therapeutics, Inc. Common 171757107 1502 407061 SH DFND 2 0 407061 0 Coca Cola Common 191216100 259 5800 SH DFND 1 0 5800 0 Coca Cola Common 191216100 340 7600 SH DFND 1 0 7600 0 Coherus Biosciences, Inc. Common 19249H103 1868 104566 SH DFND 2 0 104566 0 Collegium Pharmaceutical, Inc. Common 19459J104 1208 69051 SH DFND 2 0 69051 0 Colony Cap Inc. Common 19626G108 4 1466 SH DFND 1 0 1466 0 Conagra Brands Common 205887102 352 10000 SH DFND 1 0 10000 0 Corteva Inc. Common 22052L104 40 1494 SH DFND 1 0 1494 0 Corteva Inc. Common 22052L104 296 11051 SH DFND 1 0 11051 0 Cousins Properties Common 222795502 100 3357 SH DFND 1 0 3357 0 Cytokinetics Incorporated Common 23282W605 210 8923 SH DFND 2 0 8923 0 Dell Technologies Inc. Common 24703L202 353 6426 SH DFND 2 0 6426 0 Dow Inc. Common 260557103 61 1494 SH DFND 1 0 1494 0 Dow Inc. Common 260557103 433 10624 SH DFND 1 0 10624 0 Dupont De Nemours Inc. Common 26614N102 79 1494 SH DFND 1 0 1494 0 Dupont De Nemours Inc. Common 26614N102 564 10624 SH DFND 1 0 10624 0 Eagle Materials Common 26969P108 16 228 SH DFND 1 0 228 0 Eiger BioPharmaceuticals, Inc. Common 28249U105 2532 263748 SH DFND 2 0 263748 0 Eli Lilly Inc. Common 532457108 49 300 SH DFND 1 0 300 0 Fortress Trans & Infrastructure Inv. LLC Common 34960P101 9093 700000 SH DFND 2 0 700000 0 FNB Corporation Common 302520101 67 8905 SH DFND 1 0 8905 0 FS Bancorp Common 30263Y104 82 2117 SH DFND 1 0 2117 0 FS Bancorp Common 30263Y104 56 1460 SH DFND 1 0 1460 0 FS KKR Capital Corp. Common 302635206 4900 350000 SH DFND 2 0 350000 0 FS KKR Capital Corp. Common 302635206 225 16050 SH DFND 1 0 16050 0 FS KKR Capital Corp. Common 302635206 408 29125 SH DFND 1 0 29125 0 General Electric Common 369604103 24 3480 SH DFND 1 0 3480 0 General Electric Common 369604103 8 1200 SH DFND 1 0 1200 0 Globus Medical, Inc. Common 379577208 138 2900 SH DFND 2 0 2900 0 Heritage NOLA Bancorp Inc. Common 42727P108 90 9000 SH DFND 1 0 9000 0 Horizon Therapeutics Public Ltd. Company Common G46188101 2030 36531 SH DFND 2 0 36531 0 International Business Machines Common 459200101 517 4284 SH DFND 1 0 4284 0 International Gaming Technologies Common G4863A108 67 7500 SH DFND 1 0 7500 0 International Gaming Technologies Common G4863A108 890 100000 SH DFND 2 0 100000 0 Johnson & Johnson Common 478160104 714 5080 SH DFND 1 0 5080 0 Johnson & Johnson Common 478160104 309 2200 SH DFND 1 0 2200 0 JP Morgan Chase Common 46625H100 1340 14250 SH DFND 1 0 14250 0 JP Morgan Chase Common 46625H100 828 8800 SH DFND 1 0 8800 0 Kadmon Holdings, Inc. Common 48283N106 2241 437600 SH DFND 2 0 437600 0 Kimberly Clark Corporation Common 494368103 848 6000 SH DFND 1 0 6000 0 Kennedy-Wilson Holdings, Inc. Common 489398107 3196 210000 SH DFND 2 0 210000 0 KKR & Co. Inc. Common 48251W104 5558 180000 SH DFND 2 0 180000 0 Krystal Biotech, Inc. Common 501147102 293 7079 SH DFND 2 0 7079 0 Legacy Housing Corporation Common 52472M101 71 5000 SH DFND 1 0 5000 0 Legacy Housing Corporation Common 52472M101 57 4000 SH DFND 1 0 4000 0 Ligand Pharmaceuticals Incorporated Common 53220K504 29327 262198 SH DFND 2 0 262198 0 Ligand Pharmaceuticals Incorporated Common 53220K504 1007 9000 SH DFND 1 0 9000 0 Ligand Pharmaceuticals Incorporated Common 53220K504 206 1843 SH DFND 1 0 1843 0 LKQ Corporation Common 501889208 3930 150000 SH DFND 2 0 150000 0 MPLX LP Common 55336V100 1728 100000 SH DFND 2 0 100000 0 Macquarie Infrastructure Corporation Common 55608B105 101 3300 SH DFND 1 0 3300 0 Macquarie Infrastructure Corporation Common 55608B105 302 9850 SH DFND 1 0 9850 0 Medtronics Common G5960L103 96 1050 SH DFND 1 0 1050 0 Merck & Co. Inc. Common 58993Y105 62 800 SH DFND 1 0 800 0 Merck & Co. Inc. Common 58993Y105 39 500 SH DFND 1 0 500 0 Microsoft Corporation Common 594918104 81 400 SH DFND 1 0 400 0 Microsoft Corporation Common 594918104 204 1000 SH DFND 1 0 1000 0 Mondelez Int'l Inc. Common 609207105 148 2900 SH DFND 1 0 2900 0 Mondelez Int'l Inc. Common 609207105 665 13000 SH DFND 1 0 13000 0 Occidental Pete Corp Common 674599105 31 1700 SH DFND 1 0 1700 0 Occidental Pete Corp Common 674599105 23 1273 SH DFND 1 0 1273 0 Peoples United Financial Common 712704105 17 1500 SH DFND 1 0 1500 0 Pfizer Inc. Common 717081103 1010 30900 SH DFND 1 0 30900 0 Pfizer Inc. Common 717081103 3303 101000 SH DFND 1 0 101000 0 Protara Therapeutics, Inc. Common 74365U107 112 3835 SH DFND 2 0 3835 0 Quotient Limited Common G73268107 959 129527 SH DFND 2 0 129527 0 Radius Health Inc. Common 750469207 587 43034 SH DFND 2 0 43034 0 RMR Group Inc. Common 74967R106 0 16 SH DFND 1 0 16 0 Relmada Therapeutics, Inc. Common 75955J402 134 3000 SH DFND 2 0 3000 0 Ryman Hospitality Ppty Inc. Common 78377T107 14 400 SH DFND 1 0 400 0 Ryman Hospitality Ppty Inc. Common 78377T107 415 12000 SH DFND 1 0 12000 0 Sculptor Capital Management Common 811246107 3 200 SH DFND 1 0 200 0 Service Ppty Trust Common 81761L102 7 1000 SH DFND 1 0 1000 0 South Street Corporation Common 840441109 74 1548 SH DFND 1 0 1548 0 South Street Corporation Common 840441109 25 534 SH DFND 1 0 534 0 Starwood Ppty Common 85571B105 6 400 SH DFND 1 0 400 0 Stericycle, Inc. Common 858912108 15063 269083 SH DFND 2 0 269083 0 Strongbridge Biopharma PLC Common G85347105 1119 296037 SH DFND 2 0 296037 0 TG Therapeutics Inc. Common 88322Q108 234 12000 SH DFND 2 0 12000 0 The Kraft Heinz Company Common 500754106 97 3035 SH DFND 1 0 3035 0 The Kraft Heinz Company Common 500754106 38 1199 SH DFND 1 0 1199 0 Total SA Common 89151E109 91 2360 SH DFND 1 0 2360 0 Total SA Common 89151E109 19 500 SH DFND 1 0 500 0 Trillium Therapeutics Inc. Common 89620X506 2138 264225 SH DFND 2 0 264225 0 uniQure N.V. Common N90064101 917 20358 SH DFND 2 0 20358 0 Upland Software, Inc. Common 91544A109 14130 406500 SH DFND 2 0 406500 0 Valley National Bancorp Common 919794107 73 9280 SH DFND 1 0 9280 0 Valley National Bancorp Common 919794107 25 3200 SH DFND 1 0 3200 0 Verizon Communications Inc. Common 92343V104 73 1320 SH DFND 1 0 1320 0 Verizon Communications Inc. Common 92343V104 937 16991 SH DFND 1 0 16991 0 Verrica Pharmaceuticals, Inc. Common 92511W108 165 14947 SH DFND 2 0 14947 0 Viking Therapeutics, Inc. Common 92686J106 1573 218102 SH DFND 2 0 218102 0 WABTEC Common 929740108 1 17 SH DFND 1 0 17 0 WABTEC Common 929740108 0 6 SH DFND 1 0 6 0 WP Carey Common 92936U109 406 6000 SH DFND 1 0 6000 0 Xenon Pharmaceuticals Inc. Common 98420N105 2119 169000 SH DFND 2 0 169000 0 Zogenix, Inc. Common 98978L204 2852 105607 SH DFND 2 0 105607 0