Investment Manager

0001104659-21-065760.txt : 20210513 0001104659-21-065760.hdr.sgml : 20210513 20210513130140 ACCESSION NUMBER: 0001104659-21-065760 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210513 DATE AS OF CHANGE: 20210513 EFFECTIVENESS DATE: 20210513 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: 21918328 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 03-31-2021 03-31-2021 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 05-13-2021 1 166 233755 false 2 0001203370 028-10281 DORSET MANAGEMENT CORP INFORMATION TABLE 2 a21-16170_3informationtable.xml INFORMATION TABLE AbbVie Inc. Common 00287Y109 2139 19769 SH DFND 2 19769 0 0 AbbVie Inc. Common 00287Y109 541 5000 SH DFND 1 5000 0 0 African Gold Acquistion Corp. Common G0112R116 5928 600000 SH DFND 2 600000 0 0 African Gold Acquistion Corp. Common G0112R116 178 18000 SH DFND 1 18000 0 0 Alerian MLP Common 00162Q452 4 120 SH DFND 1 120 0 0 Alimera Sciences, Inc. Common 016259202 559 58108 SH DFND 2 58108 0 0 Alphabet Inc-Cl C Common 02079K107 11584 5600 SH DFND 2 5600 0 0 ALX Oncology Holdings Inc Common 01166B105 236 3200 SH DFND 2 3200 0 0 AllianceBernstein Holdings PL Unit Ltd Common 01881G106 60 1500 SH DFND 1 1500 0 0 AllianceBernstein Holdings PL Unit Ltd Common 01881G106 1960 49000 SH DFND 1 49000 0 0 Apollo Global Management, Inc. Common 03768E105 14103 300000 SH DFND 2 300000 0 0 Apple Inc. Common 037833100 257 2100 SH DFND 1 2100 0 0 ASLAN Pharmaceuticals Limited Common 04522R101 1465 437412 SH DFND 2 437412 0 0 AT&T Inc. Common 00206R102 2 50 SH DFND 1 50 0 0 AT&T Inc. Common 00206R102 605 20000 SH DFND 1 20000 0 0 Aurinia Pharmaceuticals Inc. Common 05156V102 2011 154840 SH DFND 2 154840 0 0 Avadel Pharmaceuticals plc Common 05337M104 2467 272845 SH DFND 2 272845 0 0 Bank Nova Scotia Halifax Common 064149107 25 400 SH DFND 1 400 0 0 B. Riley Principal 150 Merger Corp. Common 05601V202 1730 172963 SH DFND 2 172963 0 0 B. Riley Principal 150 Merger Corp. Common 05601V202 30 3000 SH DFND 1 3000 0 0 BioCryst Pharmaceuticals, Inc. Common 09058V103 312 30703 SH DFND 2 30703 0 0 Bristol-Myers Squibb Company Common 110122108 3245 51409 SH DFND 2 51409 0 0 Brookline Capital Acq Corp. Warrants Common 11374E112 23 2000 SH DFND 2 2000 0 0 Brookline Capital Acquisition Corp. Common 11374E104 39 4000 SH DFND 2 4000 0 0 Butterfly Network, Inc. Common 124155102 309 18380 SH DFND 2 18380 0 0 Calumet Specialty Products Partners, LP Common 131476103 17080 2800000 SH DFND 2 2800000 0 0 Calumet Specialty Products Partners, LP Common 131476103 275 45000 SH DFND 1 45000 0 0 Canadian Natural Resources Inc. Common 136385101 564 18285 SH DFND 1 18285 0 0 Canadian Natural Resources Inc. Common 136385101 123 4000 SH DFND 1 4000 0 0 Capitol Investment Corp. V Common 14064F100 2525 250000 SH DFND 2 250000 0 0 Capitol Investment Corp. V Warrants Common 14064F118 958 83333 SH DFND 2 83333 0 0 Capitol Federal S&L Common 14057J101 156 5800 SH DFND 1 5800 0 0 Carparts.com Inc. Common 14427M107 53 3700 SH DFND 1 3700 0 0 Cidara Therapeutics, Inc. Common 171757107 1105 415308 SH DFND 2 415308 0 0 Chemours Co Common 163851108 13 480 SH DFND 1 480 0 0 Chemours Co Common 163851108 12 440 SH DFND 1 440 0 0 Coca Cola Common 191216100 306 5800 SH DFND 1 5800 0 0 Coca Cola Common 191216100 401 7600 SH DFND 1 7600 0 0 Coherus Biosciences, Inc. Common 19249H103 1456 99655 SH DFND 2 99655 0 0 Colony Cap Inc. Common 19626G108 10 1466 SH DFND 1 1466 0 0 Colony Cap Inc. Common 19626G108 71 11000 SH DFND 1 11000 0 0 Conagra Brands Common 205887102 376 10000 SH DFND 1 10000 0 0 Constellation Pharmaceuticals, Inc. Common 210373106 2009 85909 SH DFND 2 85909 0 0 Corteva Inc. Common 22052L104 46 982 SH DFND 1 982 0 0 Corteva Inc. Common 22052L104 515 11051 SH DFND 1 11051 0 0 Cousins Properties Common 222795502 119 3357 SH DFND 1 3357 0 0 CTI BioPharma Corp. Common 12648L601 58 20000 SH DFND 2 20000 0 0 Curis, Inc. Common 231269200 113 10000 SH DFND 2 10000 0 0 Danimer Scientific, Inc. Common 236272100 7550 200000 SH DFND 2 200000 0 0 Dow Inc. Common 260557103 96 1494 SH DFND 1 1494 0 0 Dow Inc. Common 260557103 679 10624 SH DFND 1 10624 0 0 Dupont De Nemours Inc. Common 26614N102 115 1494 SH DFND 1 1494 0 0 Dupont De Nemours Inc. Common 26614N102 821 10624 SH DFND 1 10624 0 0 Eagle Materials Common 26969P108 31 228 SH DFND 1 228 0 0 Eastern Bankshares Inc Common 27627N105 193 10000 SH DFND 1 10000 0 0 Eastern Bankshares Inc Common 27627N105 3665 190000 SH DFND 2 190000 0 0 Eiger BioPharmaceuticals, Inc. Common 28249U105 2447 276535 SH DFND 2 276535 0 0 Eli Lilly Inc. Common 532457108 56 300 SH DFND 1 300 0 0 FNB Corporation Common 302520101 113 8905 SH DFND 1 8905 0 0 Facebook Inc. Common 30303M102 292 990 SH DFND 1 990 0 0 Fortress Trans & Infrastructure Inv. LLC Common 34960P101 14095 500000 SH DFND 2 500000 0 0 FS Bancorp Common 30263Y104 142 2117 SH DFND 1 2117 0 0 FS Bancorp Common 30263Y104 98 1460 SH DFND 1 1460 0 0 FS KKR Capital Corp. Common 302635206 6941 350000 SH DFND 2 350000 0 0 FS KKR Capital Corp. Common 302635206 318 16050 SH DFND 1 16050 0 0 FS KKR Capital Corp. Common 302635206 578 29125 SH DFND 1 29125 0 0 Full House Resort Inc. Common 359678109 426 50000 SH DFND 2 50000 0 0 Galapagos NV Common 36315X101 77 1000 SH DFND 2 1000 0 0 General Electric Common 369604103 30 2280 SH DFND 1 2280 0 0 General Electric Common 369604103 16 1200 SH DFND 1 1200 0 0 Gilead Sciences, Inc. Common 375558103 3292 50942 SH DFND 2 50942 0 0 Glass Houses Acquisition Corp. Common 37714P202 5015 500000 SH DFND 2 500000 0 0 Globus Medical, Inc. Common 379577208 286 4631 SH DFND 2 4631 0 0 HealthCor Catalio Acquisition Corp. Common G44125105 40 4000 SH DFND 2 4000 0 0 Heritage NOLA Bancorp Inc. Common 42727P108 122 9000 SH DFND 1 9000 0 0 Horizon Aquistion Corporation Common G46049105 2076 210100 SH DFND 2 210100 0 0 Horizon Therapeutics Public Ltd. Company Common G46188101 3738 40614 SH DFND 2 40614 0 0 Ibere Pharmaceuticals Common G46843127 355 36000 SH DFND 2 36000 0 0 Immunovant Inc. Common 45258J102 547 34100 SH DFND 2 34100 0 0 Independence Holdings Corp Units Common G4761A119 95 9500 SH DFND 1 9500 0 0 International Business Machines Common 459200101 571 4284 SH DFND 1 4284 0 0 International Gaming Technologies Common G4863A108 120 7500 SH DFND 1 7500 0 0 International Gaming Technologies Common G4863A108 1605 100000 SH DFND 2 100000 0 0 iShares Nasdaq Biotechnology ETF Common 464287556 151 1000 SH DFND 2 1000 0 0 Johnson & Johnson Common 478160104 835 5080 SH DFND 1 5080 0 0 Johnson & Johnson Common 478160104 164 1000 SH DFND 1 1000 0 0 JP Morgan Chase Common 46625H100 1484 9750 SH DFND 1 9750 0 0 JP Morgan Chase Common 46625H100 871 5720 SH DFND 1 5720 0 0 Jumia Technologies AG Common 48138M105 202 5700 SH DFND 1 5700 0 0 Kadmon Holdings, Inc. Common 48283N106 2964 762000 SH DFND 2 762000 0 0 Kairos Acquisition Corp. Common G52110114 2546 261374 SH DFND 2 261374 0 0 Kairos Acquisition Corp Units Common G52110122 145 14500 SH DFND 1 14500 0 0 Kairos Acquisition Corp. Warrants Common G52110106 1503 130687 SH DFND 2 130687 0 0 Kennedy-Wilson Holdings, Inc. Common 489398107 4244 210000 SH DFND 2 210000 0 0 Kimberly Clark Corporation Common 494368103 834 6000 SH DFND 1 6000 0 0 KKR & Co. Inc. Common 48251W104 4885 100000 SH DFND 2 100000 0 0 Legacy Housing Corporation Common 52472M101 89 5000 SH DFND 1 5000 0 0 Legacy Housing Corporation Common 52472M101 71 4000 SH DFND 1 4000 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 11434 75000 SH DFND 2 75000 0 0 Live Oak Mobility Aquisition Corp. Common 538126202 3594 360152 SH DFND 2 360152 0 0 Longview Acquisition Corp II Common 54319Q204 642 63900 SH DFND 2 63900 0 0 Marinus Pharmaceuticals, Inc. Common 56854Q200 933 60266 SH DFND 2 60266 0 0 Macquarie Infrastructure Corporation Common 55608B105 105 3300 SH DFND 1 3300 0 0 Macquarie Infrastructure Corporation Common 55608B105 313 9850 SH DFND 1 9850 0 0 Medicus Science Acquisition, Corp. Common G5960S116 1970 200000 SH DFND 2 200000 0 0 Merck & Co. Inc. Common 58933Y105 62 800 SH DFND 1 800 0 0 Merck & Co. Inc. Common 58933Y105 39 500 SH DFND 1 500 0 0 Medtronics Common G5960L103 124 1050 SH DFND 1 1050 0 0 Microsoft Corporation Common 594918104 94 400 SH DFND 1 400 0 0 Microsoft Corporation Common 594918104 236 1000 SH DFND 1 1000 0 0 Midwest Holding Inc. Common 59833J206 7499 150000 SH DFND 2 150000 0 0 Millendo Therapeutics, Inc. Common 60040X103 165 137900 SH DFND 2 137900 0 0 Mondelez Int'l Inc. Common 609207105 170 2900 SH DFND 1 2900 0 0 Mondelez Int'l Inc. Common 609207105 761 13000 SH DFND 1 13000 0 0 Occidental Pete Corp Common 674599105 30 1114 SH DFND 1 1114 0 0 Occidental Pete Corp Wts exp 8/3/27 Common 674599162 5 212 SH DFND 1 212 0 0 Occidental Pete Corp Common 674599105 34 1273 SH DFND 1 1273 0 0 Occidental Pete Corp Wts exp 8/3/27 Common 674599162 3 158 SH DFND 1 158 0 0 Peoples United Financial Common 712704105 27 1500 SH DFND 1 1500 0 0 Pfizer Inc. Common 717081103 1120 30900 SH DFND 1 30900 0 0 Pfizer Inc. Common 717081103 3224 89000 SH DFND 1 89000 0 0 Poseida Therapeutics, Inc. Common 73730P108 282 29566 SH DFND 2 29566 0 0 Protara Therapeutics, Inc. Common 74365U107 226 14369 SH DFND 2 14369 0 0 Quotient Technology Inc. Common 749119103 817 50000 SH DFND 2 50000 0 0 Relmada Therapeutics, Inc. Common 75955J402 106 3000 SH DFND 2 3000 0 0 Roth CH Acquisition III Co. Common 77867Q201 1000 100000 SH DFND 2 100000 0 0 RMR Group Inc. Common 74967R106 1 16 SH DFND 1 16 0 0 Ryman Hospitality Ppty Inc. Common 78377T107 31 400 SH DFND 1 400 0 0 Ryman Hospitality Ppty Inc. Common 78377T107 930 12000 SH DFND 1 12000 0 0 Sailpoint Technologies Common 78781P105 86 1700 SH DFND 1 1700 0 0 Sculptor Capital Management Common 811246107 4 200 SH DFND 1 200 0 0 Seelos Therapeutics, Inc. Common 81577F109 361 72367 SH DFND 2 72367 0 0 Service Ppty Trust Common 81761L102 12 1000 SH DFND 1 1000 0 0 Sio Gene Therapies, Inc. Common 829399104 183 70000 SH DFND 2 70000 0 0 South Street Corporation Common 840441109 122 1548 SH DFND 1 1548 0 0 South Street Corporation Common 840441109 42 534 SH DFND 1 534 0 0 SPDR S&P Biotech ETF Common 78464A870 515 3800 SH DFND 2 3800 0 0 Starwood Ppty Common 85571B105 10 400 SH DFND 1 400 0 0 TG Therapeutics, Inc. Common 88322Q108 2505 51973 SH DFND 2 51973 0 0 T-Mobil US Inc. Common 872590104 88 700 SH DFND 1 700 0 0 Tastemaker Acquisition Corp. Common 876545104 1948 200000 SH DFND 2 200000 0 0 Tastemaker Acquisition Corp. Warrants Common 876545112 1150 100000 SH DFND 2 100000 0 0 The Kraft Company Common 500754106 108 2702 SH DFND 1 2702 0 0 The Kraft Company Common 500754106 48 1199 SH DFND 1 1199 0 0 Total SA Common 89151E109 91 1960 SH DFND 1 1960 0 0 Total SA Common 89151E109 23 500 SH DFND 1 500 0 0 Trillium Therapeutics Inc. Common 89620X506 2134 198699 SH DFND 2 198699 0 0 Twelve Seas Investment Company II Common 90118T205 4925 500000 SH DFND 2 500000 0 0 Twelve Seas Investment Company II Common 90118T205 148 15000 SH DFND 1 15000 0 0 uniQure N.V. Common N90064101 1407 41766 SH DFND 2 41766 0 0 United Therapeutics Corporation Common 91307C102 2425 14500 SH DFND 2 14500 0 0 Up Fintech Holdings Common 91531W106 244 13736 SH DFND 1 13736 0 0 Upland Software, Inc. Common 91544A109 14157 300000 SH DFND 2 300000 0 0 Valley National Bancorp Common 919794107 128 9280 SH DFND 1 9280 0 0 Valley National Bancorp Common 919794107 44 3200 SH DFND 1 3200 0 0 Verizon Communications Common 92343V104 42 720 SH DFND 1 720 0 0 Verizon Communications Common 92343V104 988 16991 SH DFND 1 16991 0 0 Verrica Pharmaceuticals, Inc. Common 92511W108 1188 78424 SH DFND 2 78424 0 0 Viatris Inc. Common 92556V106 3 248 SH DFND 1 248 0 0 Viking Therapeutics, Inc. Common 92686J106 1316 208102 SH DFND 2 208102 0 0 WABTEC Common 929740108 1 11 SH DFND 1 11 0 0 WABTEC Common 929740108 0 6 SH DFND 1 6 0 0 WP Carey Common 92936U109 425 6000 SH DFND 1 6000 0 0 Warrior Technologies Acquisition Company Common 936273200 248 25000 SH DFND 2 25000 0 0 Xenon Pharmaceuticals Inc. Common 98420N105 2579 144101 SH DFND 2 144101 0 0 Zogenix, Inc. Common 98978L204 2297 117688 SH DFND 2 117688 0 0