13F-HR 1 d13fhr.txt FORM 13F --------------------------- OMB APPROVAL --------------------------- OMB Number: 3235-0006 Expires: October 31, 2000 Estimated average burden hours per response....... 24.7 --------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended June 30, 2001 ---------------- Check here if Amendment [ ]: Amendment Number: This Amendment (Check only one): [_] is a restatement. [_] adds new holdings entries Institutional Investment Manager Filing this Report: Name: David M. Knott --------------- Address: 485 Underhill Boulevard ------------------------ Suite 205 ---------- Syosset, NY 11791 ------------------- Form 13F File Number: 28- ----------------------------------------------------- The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists and tables are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Reporting Manager: Name: David M. Knott --------------- Title: Investment Manager ------------------- Phone: (516) 364-0303 -------------- Signature, Place and Date of Signing: /s/ David M. Knott ------------------- [Signature] Syosset, New York ----------------- [City, State] August 10, 2001 --------------- [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [_] 13F NOTICE. (Check here if no holdings reported are in this report, and\ all holdings are reported by other reporting manager(s).) [_] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) Form 13F Summary Page Report Summary: Number of Other Included Managers: 0 ---------------- Form 13F Information Table Entry Total: 168 ---------------- Form 13F Information Table Value Total: $ 344,147 (thousands) ---------------- List of Other Included Managers: NONE Page 2 of 10
Form 13F Information Table ------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------------------------------------------------------ Name of Issuer Title CUSIP Value Shrs or SH/PRN Put/Call Investment Other Voting Authority of ($) prn amt discretion Managers Class ------------------------------------------------------------------------------------------------------------------------------------ Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ Abbott Laboratories Common 002824100 2,400,000 50,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Abbott Laboratories Common 002824100 1,464,000 30,500 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Ackerly Group Inc. Common 004527107 1,210,680 108,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Ackerly Group Inc. Common 004527107 734,255 65,500 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Ambac Financial Group Inc. Common 023139108 8,730,000 150,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Ambac Financial Group Inc. Common 023139108 5,962,590 102,450 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ American Express Common 025816109 1,218,320 31,400 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ American Express Common 025816109 737,200 19,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ American Int'l Group Inc. Common 026874107 11,760,283 138,340 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ American Int'l Group Inc. Common 026874107 8,389,382 98,687 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Anadarko Petroleum Corp. Common 032511107 1,816,336 33,692 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Anadarko Petroleum Corp. Common 032511107 1,932,943 35,855 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Andrx Corporation Common 034553107 238,700 3,100 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Andrx Corporation Common 034553107 146,300 1,900 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Applied Graphics Common 037937208 182,760 152,300 SH SOLE X Technologies Inc. ------------------------------------------------------------------------------------------------------------------------------------ Applied Graphics Common 037937208 117,240 97,700 SH DEFINED X Technologies Inc. ------------------------------------------------------------------------------------------------------------------------------------ Aristotle Corp. Common 040448201 26,195 3,380 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Astro Power, Inc. Common 04644A101 510,972 9,800 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Astro Power, Inc. Common 04644A101 505,758 9,700 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Bank of NY Inc. Common 064057102 13,123,200 273,400 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Bank of NY Inc. Common 064057102 7,632,000 159,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Bayview Capital Corp. Common 07262L101 4,488,000 600,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Bayview Capital Corp. Common 07262L101 2,794,999 373,663 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------
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Form 13F Information Table ------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------------------------------------------------------ Name of Issuer Title CUSIP Value Shrs or SH/PRN Put/Call Investment Other Voting Authority of ($) prn amt discretion Managers Class ------------------------------------------------------------------------------------------------------------------------------------ Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ Beazer Home's USA Inc. Common 07556Q105 6,729,940 106,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Beazer Home's USA Inc. Common 07556Q105 4,133,199 65,100 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Borders Group Inc. Common 099709107 1,339,520 59,800 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Borders Group Inc. Common 099709107 705,600 31,500 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Butler International Inc. Common 123649105 1,001,520 321,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Butler International Inc. Common 123649105 615,888 197,400 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Canadian Natural Resources Common 136385101 5,928,200 200,000 SH SOLE X Ltd. ------------------------------------------------------------------------------------------------------------------------------------ Canadian Natural Resources Common 136385101 6,837,948 230,700 SH DEFINED X Ltd. ------------------------------------------------------------------------------------------------------------------------------------ Cardio Genesis Corporation Common 14159W109 656,502 223,300 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Cardio Genesis Corporation Common 14159W109 433,062 147,300 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Caremark RX Inc. Common 141705103 1,978,935 120,300 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Caremark RX Inc. Common 141705103 1,212,365 73,700 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Cellergy Pharmaceuticals Common 15115L103 1,121,232 168,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Cellergy Pharmaceuticals Common 15115L103 680,340 102,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Checkfree Corp. Common 162813109 1,795,584 51,200 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Columbia Labs Inc. Common 197779101 4,112,147 508,300 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Columbia Labs Inc. Common 197779101 4,481,051 553,900 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Connetics Corporation Common 208192104 3,068,384 404,800 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Connetics Corporation Common 208192104 1,276,472 168,400 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Conseco Inc. Common 208464107 590,010 42,600 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Crystallex Int'l Corp. Common 22942F101 23,991 16,500 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Cytoclonal Pharm Inc. Common 23282G105 224,840 61,600 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Cytoclonal Pharm Inc. Common 23282G105 140,160 38,400 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------
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Form 13F Information Table ------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------------------------------------------------------ Name of Issuer Title CUSIP Value Shrs or SH/PRN Put/Call Investment Other Voting Authority of ($) prn amt discretion Managers Class ------------------------------------------------------------------------------------------------------------------------------------ Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ D.R. Horton Inc. Common 23331A109 8,262,800 364,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ D.R. Horton Inc. Common 23331A109 5,040,717 222,058 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Eden Bioscience Corp. Common 279445100 507,492 50,800 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Eden Bioscience Corp. Common 279445100 248,751 24,900 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Encore Acquisition Co. Common 29255W100 97,750 8,500 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Ensign Resources Services Common 29357T104 746,025 75,000 SH SOLE X Group ------------------------------------------------------------------------------------------------------------------------------------ Ensign Resources Services Common 29357T104 895,500 90,000 SH DEFINED X Group ------------------------------------------------------------------------------------------------------------------------------------ Fifth Third Bancorp Common 316773100 12,394,320 206,400 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Fifth Third Bancorp Common 316773100 8,087,834 134,685 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ First Keystone Financial Common 320655103 603,778 42,700 SH SOLE X Inc. ------------------------------------------------------------------------------------------------------------------------------------ First Keystone Financial Common 320655103 366,226 25,900 SH DEFINED X Inc. ------------------------------------------------------------------------------------------------------------------------------------ Florida First Bancorp Common 340902105 451,500 30,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Frontline Limited Common 35921R102 1,308,150 76,500 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Frontline Limited Common 35921R102 1,000,350 58,500 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Fuelcell Energy Inc. Common 35952H106 955,926 41,400 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Fuelcell Energy Inc. Common 35952H106 429,474 18,600 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Genesco Inc. Common 371532102 1,730,400 51,500 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Genesco Inc. Common 371532102 954,240 28,400 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Gentiva Health Services Common 37247A102 8,231,400 457,300 SH SOLE X Inc. ------------------------------------------------------------------------------------------------------------------------------------ Gentiva Health Services Common 37247A102 5,731,200 318,400 SH DEFINED X Inc. ------------------------------------------------------------------------------------------------------------------------------------ Gulf Canada Resources Ltd. Common 40218L305 8,552,560 1,053,790 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Gulf Indonesia Resources Common 402284103 2,685,288 264,300 SH SOLE X Ltd. ------------------------------------------------------------------------------------------------------------------------------------ Gulf Indonesia Resources Common 402284103 2,282,952 224,700 SH DEFINED X Ltd. ------------------------------------------------------------------------------------------------------------------------------------
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Form 13F Information Table ------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------------------------------------------------------ Name of Issuer Title CUSIP Value Shrs or SH/PRN Put/Call Investment Other Voting Authority of ($) prn amt discretion Managers Class ------------------------------------------------------------------------------------------------------------------------------------ Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ Hollinger International Common 435569108 660,000 48,000 SH SOLE X Inc. ------------------------------------------------------------------------------------------------------------------------------------ Hollinger International Common 435569108 411,125 29,900 SH DEFINED X Inc. ------------------------------------------------------------------------------------------------------------------------------------ Homestead Bancorp. Inc. Common 437698103 553,800 60,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Homestead Bancorp. Inc. Common 437698103 344,279 37,300 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Household Int'l Inc. Common 441815107 3,768,550 56,500 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Household Int'l Inc. Common 441815107 1,800,900 27,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Infosys Technologies Common 456788108 552,500 8,500 SH SOLE X Limited ------------------------------------------------------------------------------------------------------------------------------------ International Speedway Common 460335201 865,200 20,600 SH SOLE X Corp. ------------------------------------------------------------------------------------------------------------------------------------ InterTAN, Inc. Common 461120107 2,178,400 155,600 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ InterTAN, Inc. Common 461120107 1,321,600 94,400 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ IntraNet Solutions Inc. Common 460939309 258,740 6,800 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ IntraNet Solutions Inc. Common 460939309 121,760 3,200 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Intrawest Corporation Common 460915200 1,421,784 74,400 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Intrawest Corporation Common 460915200 800,709 41,900 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Ivanhoe Energy Inc. Common 465790103 331,579 88,800 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Ivanhoe Energy Inc. Common 465790103 228,521 61,200 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ KB Home Common 48666K109 3,017,000 100,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ KB Home Common 48666K109 1,837,353 60,900 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Kemet Corporation Common 488360108 743,700 37,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Kemet Corporation Common 488360108 462,300 23,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Kerr McGee Corp. Common 492386107 2,173,656 32,800 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Kerr McGee Corp. Common 492386107 2,942,388 44,400 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ LML Payment Systems Common 50208P109 116,790 22,900 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------
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Form 13F Information Table ------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------------------------------------------------------ Name of Issuer Title CUSIP Value Shrs or SH/PRN Put/Call Investment Other Voting Authority of ($) prn amt discretion Managers Class ------------------------------------------------------------------------------------------------------------------------------------ Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ LML Payment Systems Common 50208P109 43,860 8,600 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Magna Entertainment Corp. Common 559211107 623,025 97,500 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Magna Entertainment Corp. Common 559211107 399,375 62,500 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Maxim Pharmaceuticals Common 57772M107 59,945 9,500 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Maxim Pharmaceuticals Common 57772M107 34,705 5,500 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Medicis Pharmaceutical Common 584690309 238,500 4,500 SH SOLE X Corp. ------------------------------------------------------------------------------------------------------------------------------------ Medicis Pharmaceutical Common 584690309 119,250 2,250 SH DEFINED X Corp. ------------------------------------------------------------------------------------------------------------------------------------ Mellon Financial Common 58551A108 7,178,562 160,200 SH SOLE X Corporation ------------------------------------------------------------------------------------------------------------------------------------ Mellon Financial Common 58551A108 4,472,038 99,800 SH DEFINED X Corporation ------------------------------------------------------------------------------------------------------------------------------------ Mercury General Corp. Common 589400100 2,098,200 60,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Mercury General Corp. Common 589400100 1,272,908 36,400 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Meritage Corp. Common 59001A102 3,128,000 68,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Meritage Corp. Common 59001A102 1,904,400 41,400 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Methanex Corp. Common 59151K108 1,665,175 302,100 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Methanex Corp. Common 59151K108 1,090,429 197,900 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Murphy Oilcorp. Common 626717102 2,355,200 32,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Murphy Oilcorp. Common 626717102 2,134,400 29,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Nabi Common 628716102 1,225,142 154,300 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Nabi Common 628716102 759,858 95,700 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Northern Trust Corporation Common 665859104 368,750 5,900 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Ocean Energy Inc. Common 67481E106 2,317,360 132,800 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Ocean Energy Inc. Common 67481E106 2,849,585 163,300 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Penwest Pharmaceuticals Co. Common 709754105 659,874 42,600 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------
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Form 13F Information Table ------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------------------------------------------------------ Name of Issuer Title CUSIP Value Shrs or SH/PRN Put/Call Investment Other Voting Authority of ($) prn amt discretion Managers Class ------------------------------------------------------------------------------------------------------------------------------------ Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ Penwest Pharmaceuticals Co. Common 709754105 424,426 27,400 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Pharmaceutical Resources Common 717125108 3,069,000 100,000 SH SOLE X Inc. ------------------------------------------------------------------------------------------------------------------------------------ Pharmaceutical Resources Common 717125108 1,973,367 64,300 SH DEFINED X Inc. ------------------------------------------------------------------------------------------------------------------------------------ Pogo Producing Co. Common 730448107 830,400 34,600 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Pogo Producing Co. Common 730448107 1,670,400 69,600 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Polymedica Corp. Common 731738100 2,721,600 67,200 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Polymedica Corp. Common 731738100 1,644,300 40,600 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Polymedica Corp. @ 25 Exp Calls 731738900 105,700 70 SH SOLE X 9/01 ------------------------------------------------------------------------------------------------------------------------------------ Polymedica Corp. @ 25 Exp Calls 731738900 60,400 40 SH DEFINED X 9/01 ------------------------------------------------------------------------------------------------------------------------------------ Presstek Inc. Common 741113104 69,216 5,768 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Presstek Inc. Common 741113104 1,776 148 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Proquest Company Common 74346P102 2,427,300 78,300 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Proquest Company Common 74346P102 1,416,700 45,700 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ PurchasePro.com Inc. Common 746144104 50,616 34,200 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ QLT Inc. Common 746927102 1,039,698 53,100 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Racing Champions Corp. Common 750069106 275,600 53,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Racing Champions Corp. Common 750069106 163,800 31,500 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Register.com, Inc. Common 75914G101 6,319,920 408,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Register.com, Inc. Common 75914G101 3,864,755 249,500 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Rehabilicare Inc. Common 758944102 755,700 229,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Rehabilicare Inc. Common 758944102 471,900 143,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Research in Motion, Ltd. Common 760975102 199,950 6,200 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Rite Aid Corp. Common 767754104 763,650 84,850 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------
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Form 13F Information Table ------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------------------------------------------------------ Name of Issuer Title CUSIP Value Shrs or SH/PRN Put/Call Investment Other Voting Authority of ($) prn amt discretion Managers Class ------------------------------------------------------------------------------------------------------------------------------------ Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ Sapient Corporation Common 803062108 60,450 6,200 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Schering Plough Corp. Common 806605101 1,812,000 50,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Schering Plough Corp. Common 806605101 1,105,320 30,500 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Scientific Games Common 80874P109 730,360 124,000 SH SOLE X Corporation ------------------------------------------------------------------------------------------------------------------------------------ Scientific Games Common 80874P109 447,640 76,000 SH DEFINED X Corporation ------------------------------------------------------------------------------------------------------------------------------------ Seven Seas Petroleum Common 817917107 153,840 64,100 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Sigma Aldrich Corp. Common 826552101 969,362 25,100 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Sorrento Networks Common 83586Q100 575,040 48,000 SH SOLE X Corporation ------------------------------------------------------------------------------------------------------------------------------------ Sorrento Networks Common 83586Q100 353,410 29,500 SH DEFINED X Corporation ------------------------------------------------------------------------------------------------------------------------------------ Stamps.com Inc. Common 852857101 750,000 200,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Standard Pacific Corp. Common 85375C101 2,504,830 108,200 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Standard Pacific Corp. Common 85375C101 1,527,900 66,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Stone Energy Corp. Common 861642106 1,776,430 40,100 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Stone Energy Corp. Common 861642106 917,010 20,700 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Talisman Energy Inc. Common 87425E103 6,106,720 160,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Talisman Energy Inc. Common 87425E103 6,793,726 178,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Unocal Corp. Common 915289102 1,748,480 51,200 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Unocal Corp. Common 915289102 1,840,685 53,900 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ USX-US Steel Group Common 90337T101 1,612,000 80,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ USX-US Steel Group Common 90337T101 987,350 49,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Valassis Communications Co. Common 918866104 1,295,960 36,200 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Valassis Communications Co. Common 918866104 502,990 14,050 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Verisign Inc. Common 92343E102 312,052 5,200 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------
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Form 13F Information Table ------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------------------------------------------------------ Name of Issuer Title CUSIP Value Shrs or SH/PRN Put/Call Investment Other Voting Authority of ($) prn amt discretion Managers Class ------------------------------------------------------------------------------------------------------------------------------------ Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ Verso Technologies Inc. Common 925317109 274,359 322,775 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Verso Technologies Inc. Common 925317109 171,126 201,325 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Wells Fargo & Co. Common 949746101 6,871,640 148,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Wells Fargo & Co. Common 949746101 4,183,343 90,100 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Xcelera.com Inc. Common G31611109 107,640 26,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Zions Bancorp Common 989701107 4,808,500 81,500 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Zions Bancorp Common 989701107 1,842,334 31,226 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ GRAND TOTAL 344,147,282 17,293,737 ------------------------------------------------------------------------------------------------------------------------------------
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