Investment Manager

0001104659-20-124721.txt : 20201113 0001104659-20-124721.hdr.sgml : 20201113 20201113084305 ACCESSION NUMBER: 0001104659-20-124721 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201113 DATE AS OF CHANGE: 20201113 EFFECTIVENESS DATE: 20201113 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: 201309283 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 09-30-2020 09-30-2020 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 11-13-2020 1 135 170438 false 2 0001203370 028-10281 DORSET MANAGEMENT CORP INFORMATION TABLE 2 a20-35933_1informationtable.xml INFORMATION TABLE AbbVie Inc. Common 00287Y109 2870 32769 SH DFND 2 32769 0 0 AbbVie Inc. Common 00287Y109 438 5000 SH DFND 1 5000 0 0 AC Immune SA Common H00263105 26 5309 SH DFND 2 5309 0 0 ADMA Biologics, Inc. Common 000899104 156 65157 SH DFND 2 65157 0 0 Alexion Pharamaceuticals, Inc. Common 015351109 1373 12000 SH DFND 2 12000 0 0 Alerian MLP Common 00162Q452 2 120 SH DFND 1 120 0 0 Alimera Sciences, Inc. Common 016259103 390 80194 SH DFND 2 80194 0 0 Alkermes PLC Common G01767105 630 38000 SH DFND 2 38000 0 0 AllianceBernstein Holding PL Unit Ltd. Common 01881G106 41 1500 SH DFND 1 1500 0 0 AllianceBernstein Holding PL Unit Ltd. Common 01881G106 1325 49000 SH DFND 1 49000 0 0 Alphabet Inc-Cl C Common 02079K107 8230 5600 SH DFND 2 5600 0 0 ALX Oncology. Inc Common 00166B105 113 3000 SH DFND 2 3000 0 0 Apollo Global Management, Inc. Common 03768E105 13425 300000 SH DFND 2 300000 0 0 Apple Inc. Common 037833100 243 2100 SH DFND 1 2100 0 0 Apple Inc. Common 037833100 243 2100 SH DFND 1 2100 0 0 AT&T Inc. Common 00206R102 58 2050 SH DFND 1 2050 0 0 AT&T Inc. Common 00206R102 570 20000 SH DFND 1 20000 0 0 Aurinia Pharmaceuticals Inc. Common 05156V102 1983 134600 SH DFND 2 134600 0 0 Bank Nova Scotia Halifax Common 064149107 17 400 SH DFND 1 400 0 0 BioCryst Pharmaceuticals, Inc. Common 09058V103 1365 397361 SH DFND 2 397361 0 0 BioDelivery Sciences International, Inc. Common 09060J106 1798 481930 SH DFND 2 481930 0 0 Bristol-Myers Squibb Company Common 110122108 2798 46409 SH DFND 2 46409 0 0 Bristol-Myers Squibb Company - CVR Common 110122157 12 5200 SH DFND 2 5200 0 0 Calumet Specialty Products Partners, LP Common 131476103 5100 2000000 SH DFND 2 2000000 0 0 Calumet Specialty Products Partners, LP Common 131476103 51 20000 SH DFND 1 20000 0 0 Canadian Natural Resources Inc. Common 136385101 293 18285 SH DFND 1 18285 0 0 Canadian Natural Resources Inc. Common 136385101 220 13750 SH DFND 1 13750 0 0 Capitol Federal Financial Inc. Common 14057J101 54 5800 SH DFND 1 5800 0 0 Cardiff Oncology, Inc. Common 14147L108 71 5000 SH DFND 2 5000 0 0 Check Cap Ltd. Common M2361E203 1 2224 SH DFND 2 2224 0 0 ChemoCentryx, Inc. Common 16383L106 361 6587 SH DFND 2 6587 0 0 Chemours Co. Common 163851108 15 720 SH DFND 1 720 0 0 Chemours Co. Common 163851108 9 440 SH DFND 1 440 0 0 Cidara Therapeutics, Inc. Common 171757107 1160 407061 SH DFND 2 407061 0 0 Coco Cola Common 191216100 286 5800 SH DFND 1 5800 0 0 Coco Cola Common 191216100 375 7600 SH DFND 1 7600 0 0 Coherus Biosciences, Inc. Common 19249H103 1825 99493 SH DFND 2 99493 0 0 Collegium Pharmaceutical, Inc. Common 19459J104 622 29862 SH DFND 2 29862 0 0 Colony Cap Inc. Common 19626G108 4 1466 SH DFND 1 1466 0 0 Conagra Brands Common 205887102 357 10000 SH DFND 1 10000 0 0 Corteva Inc. Common 22052L104 43 1494 SH DFND 1 1494 0 0 Corteva Inc. Common 22052L104 318 11051 SH DFND 1 11051 0 0 Cousins Properties Common 222795502 96 3357 SH DFND 1 3357 0 0 Cytokinetics, Incorporated Common 23282W605 343 15837 SH DFND 2 15837 0 0 Dow Inc. Common 260557103 70 1494 SH DFND 1 1494 0 0 Dow Inc. Common 260557103 500 10624 SH DFND 1 10624 0 0 Dupont De Nemours Inc. Common 26614N102 83 1494 SH DFND 1 1494 0 0 Dupont De Nemours Inc. Common 26614N102 589 10624 SH DFND 1 10624 0 0 Eagle Materials Common 26969P108 20 228 SH DFND 1 228 0 0 Eiger BioPharmaceuticals, Inc. Common 28249U105 2241 275348 SH DFND 2 275348 0 0 Eli Lilly Inc. Common 532457108 44 300 SH DFND 1 300 0 0 FibroGen, Inc. Common 31572Q808 811 19715 SH DFND 2 19715 0 0 Fortress Trans & Infrastructure Inv. LLC Common 34960P101 11991 700000 SH DFND 2 700000 0 0 FNB Corporation Common 302520101 60 8905 SH DFND 1 8905 0 0 FS Bancorp Common 30263Y104 87 2117 SH DFND 1 2117 0 0 FS Bancorp Common 30263Y104 60 1460 SH DFND 1 1460 0 0 FS KKR Capital Corp. Common 302635107 5551 350000 SH DFND 2 350000 0 0 FS KKR Capital Corp. Common 302635107 255 16050 SH DFND 1 16050 0 0 FS KKR Capital Corp. Common 302635107 462 29125 SH DFND 1 29125 0 0 General Electric Common 369604103 22 3480 SH DFND 1 3480 0 0 General Electric Common 369604103 7 1200 SH DFND 1 1200 0 0 Gilead Sciences, Inc. Common 375558103 695 11000 SH DFND 2 11000 0 0 Globus Medical, Inc. Common 379577208 144 2900 SH DFND 2 2900 0 0 Heritage NOLA Bancorp Inc. Common 42727P108 97 9000 SH DFND 1 9000 0 0 Horizon Therapeutics Public Ltd. Company Common G46188101 2915 37531 SH DFND 2 37531 0 0 International Business Machines Common 459200101 521 4284 SH DFND 1 4284 0 0 International Gaming Technologies Common G4863A108 1113 100000 SH DFND 2 100000 0 0 International Gaming Technologies Common G4863A108 83 7500 SH DFND 1 7500 0 0 iShares Nasdaq Biotechnology ETF Common 464287556 135 1000 SH DFND 2 1000 0 0 Johnson & Johnson Common 478160104 756 5080 SH DFND 1 5080 0 0 Johnson & Johnson Common 478160104 328 2200 SH DFND 1 2200 0 0 JP Morgan Chase Common 46625H100 1372 14250 SH DFND 1 14250 0 0 JP Morgan Chase Common 46625H100 847 8800 SH DFND 1 8800 0 0 Kadmon Holdings, Inc. Common 48283N106 2399 612000 SH DFND 2 612000 0 0 Kimberly Clark Corporation Common 494368103 886 6000 SH DFND 1 6000 0 0 Kennedy-Wilson Holdings, Inc. Common 489398107 3049 210000 SH DFND 2 210000 0 0 KKR & Co. Inc. Common 48251W104 3434 100000 SH DFND 2 100000 0 0 Krystal Biotech, Inc. Common 501147102 305 7079 SH DFND 2 7079 0 0 Legacy Housing Corporation Common 52472M101 68 5000 SH DFND 1 5000 0 0 Legacy Housing Corporation Common 52472M101 55 4000 SH DFND 1 4000 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 22610 237198 SH DFND 2 237198 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 858 9000 SH DFND 1 9000 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 176 1843 SH DFND 1 1843 0 0 LKQ Corporation Common 501889208 4160 150000 SH DFND 2 150000 0 0 Midwest Holding Inc. Common 59833J206 1247 83344 SH DFND 2 83344 0 0 MPLX LP Common 55336V100 1574 100000 SH DFND 2 100000 0 0 Macquarie Infrastructure Corporation Common 55608B105 89 3300 SH DFND 1 3300 0 0 Macquarie Infrastructure Corporation Common 55608B105 265 9850 SH DFND 1 9850 0 0 Medtronics Common G5960L103 109 1050 SH DFND 1 1050 0 0 Merck & Co. Inc. Common 58993Y105 66 800 SH DFND 1 800 0 0 Merck & Co. Inc. Common 58993Y105 41 500 SH DFND 1 500 0 0 Microsoft Corporation Common 594918104 84 400 SH DFND 1 400 0 0 Microsoft Corporation Common 594918104 210 1000 SH DFND 1 1000 0 0 Mondelez Int'l Inc. Common 609207105 167 2900 SH DFND 1 2900 0 0 Mondelez Int'l Inc. Common 609207105 747 13000 SH DFND 1 13000 0 0 Occidental Pete Corp Common 674599105 17 1700 SH DFND 1 1700 0 0 Occidental Pete Corp Common 674599105 13 1273 SH DFND 1 1273 0 0 Occidental Pete Corp wts exp 8/3/27 Common 674599162 0 212 SH DFND 1 212 0 0 Occidental Pete Corp wts exp 8/3/27 Common 674599162 0 158 SH DFND 1 158 0 0 Peoples United Financial Common 712704105 15 1500 SH DFND 1 1500 0 0 Pfizer Inc. Common 717081103 1134 30900 SH DFND 1 30900 0 0 Pfizer Inc. Common 717081103 3707 101000 SH DFND 1 101000 0 0 Protara Therapeutics, Inc. Common 74365U107 134 7948 SH DFND 2 7948 0 0 Radius Health Inc. Common 750469207 545 48034 SH DFND 2 48034 0 0 Relmada Therapeutics, Inc. Common 75955J402 113 3000 SH DFND 2 3000 0 0 RMR Group Inc. Common 74967R106 0 16 SH DFND 1 16 0 0 Ryman Hospitality Ppty Inc. Common 78377T107 442 12000 SH DFND 1 12000 0 0 Ryman Hospitality Ppty Inc. Common 78377T107 15 400 SH DFND 1 400 0 0 Sculptor Capital Management Common 811246107 2 200 SH DFND 1 200 0 0 Service Ppty Trust Common 81761L102 8 1000 SH DFND 1 1000 0 0 South Street Corporation Common 840441109 75 1548 SH DFND 1 1548 0 0 South Street Corporation Common 840441109 26 534 SH DFND 1 534 0 0 Starwood Ppty Common 85571B105 6 400 SH DFND 1 400 0 0 Stericycle, Inc. Common 858912108 10090 160000 SH DFND 2 160000 0 0 Strongbridge Biopharma PLC Common G85347105 781 372000 SH DFND 2 372000 0 0 TG Therapeutics Inc. Common 88322Q108 1359 50773 SH DFND 2 50773 0 0 The Kraft Heinz Company Common 500754106 91 3035 SH DFND 1 3035 0 0 The Kraft Heinz Company Common 500754106 36 1199 SH DFND 1 1199 0 0 Total SA Common 89151E109 81 2360 SH DFND 1 2360 0 0 Total SA Common 89151E109 17 500 SH DFND 1 500 0 0 Trillium Therapeutics Inc. Common 89620X506 2504 176215 SH DFND 2 176215 0 0 uniQure N.V. Common N90064101 1142 31000 SH DFND 2 31000 0 0 Upland Software, Inc. Common 91544A109 15325 406500 SH DFND 2 406500 0 0 Vapotherm, Inc. Common 922107107 1421 49000 SH DFND 2 49000 0 0 Valley National Bancorp Common 919794107 64 9280 SH DFND 1 9280 0 0 Valley National Bancorp Common 919794107 22 3200 SH DFND 1 3200 0 0 Verizon Communications Inc. Common 92343V104 79 1320 SH DFND 1 1320 0 0 Verizon Communications Inc. Common 92343V104 1011 16991 SH DFND 1 16991 0 0 Verrica Pharmaceuticals, Inc. Common 92511W108 357 46125 SH DFND 2 46125 0 0 Viking Therapeutics, Inc. Common 92686J106 1269 218102 SH DFND 2 218102 0 0 WABTEC Common 929740108 1 17 SH DFND 1 17 0 0 WABTEC Common 929740108 0 6 SH DFND 1 6 0 0 WP Carey Common 92936U109 391 6000 SH DFND 1 6000 0 0 Xenon Pharmaceuticals Inc. Common 98420N105 1959 177000 SH DFND 2 177000 0 0 Zogenix, Inc. Common 98978L204 2021 112707 SH DFND 2 112707 0 0