13F-HR 1 d13fhr.txt FOR PERIOD ENDING 9/30/2001 /------------------------------/ / 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: September 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: Name: David M. Knott --------------------------------------------- Title: Investment Manager --------------------------------------------- Phone: (516) 354-0303 --------------------------------------------- Signature, Place, and Date of Signing: /s/ David M. Knott Syosset, New York November 9, 2001 ------------------------ ----------------------------- ---------------- [Signature] [City, State] [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: 155 ----------------------------------------------------------------------- Form 13F Information Table Value Total: $ 295,500 (thousands) ------------------------------ List of Other Included Managers: NONE
Form 13F Information Table ------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------------------------------------------------------ Name of Issuer Title of CUSIP Value Shrs or Investment Other Voting Authority Class ($) prn amt SH/PRN Put/Call discretion Managers ---------------- Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ Abbott Laboratories Common 002824100 2,592,500 50,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Abbott Laboratories Common 002824100 1,477,725 28,500 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Ackerly Group Inc. Common 004527107 567,100 53,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Ackerly Group Inc. Common 004527107 344,540 32,200 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Ambac Financial Group Inc. Common 023139108 9,847,800 180,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Ambac Financial Group Inc. Common 023139108 6,020,836 110,050 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ American Int'l Group Inc. Common 026874107 13,728,000 176,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ American Int'l Group Inc. Common 026874107 8,566,506 109,827 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Anadarko Petroleum Corp. Common 032511107 1,567,408 32,600 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Anadarko Petroleum Corp. Common 032511107 2,353,372 48,947 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Andix Corporation Common 034553107 201,252 3,100 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Andix Corporation Common 034553107 123,348 1,900 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Applied Graphics Technologies Inc. Common 037937208 121,840 152,300 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Applied Graphics Technologies Inc. Common 037937208 78,160 97,700 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Aristotle Corp. Common 040448201 16,900 3,380 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Astro Power, Inc. Common 04644A101 338,198 9,800 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Astro Power, Inc. Common 04644A101 333,022 9,650 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Bank of NY Inc. Common 064057102 9,569,000 273,400 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Bank of NY Inc. Common 064057102 5,565,000 159,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Bayview Capital Corp. Common 07262L101 4,200,000 600,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Bayview Capital Corp. Common 07262L101 2,587,641 369,663 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Beazer Home's USA Inc. Common 07556Q105 5,151,600 106,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Beazer Home's USA Inc. Common 07556Q105 3,261,060 67,100 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Burlington Resources Inc. Common 122014103 684,200 20,000 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 of CUSIP Value Shrs or Investment Other Class ($) prn amt SH/PRN Put/Call discretion Managers Voting Authority ---------------- Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ Butler International Inc. Common 123649105 1,013,400 563,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Butler International Inc. Common 123649105 624,240 346,800 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Canadian Natural Resources Ltd. Common 136385101 4,912,400 200,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Canadian Natural Resources Ltd. Common 136385101 5,695,464 231,900 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Caremark RX Inc. Common 141705131 2,310,180 138,500 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Caremark RX Inc. Common 141705131 1,409,460 84,500 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Cellergy Pharmaceuticals Common 15115L103 1,167,600 168,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Cellergy Pharmaceuticals Common 15115L103 708,900 102,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Centex Corporation Common 152312104 1,079,360 32,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Centex Corporation Common 152312104 630,757 18,700 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Checkfree Corp. Common 162813109 868,864 51,200 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Circuit City Stores Inc. Common 172737108 1,200,000 100,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Circuit City Stores Inc. Common 172737108 720,000 60,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Columbia Labs Inc. Common 197779101 2,282,267 508,300 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Columbia Labs Inc. Common 197779101 2,478,480 552,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Connetics Corporation Common 208192104 2,612,076 399,400 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Connetics Corporation Common 208192104 1,101,336 168,400 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Conseco Inc. Common 208464107 309,276 42,600 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Cosine Communications Common 221222102 184,630 499,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Cosine Communications Common 221222102 111,370 301,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Crystallex Int'l Corp. Common 22942F101 18,298 16,500 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Cytoclonal Pharm Inc. Common 23282G105 1,123,500 350,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Cytoclonal Pharm Inc. Common 23282G105 682,125 212,500 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ D.R. Horton Inc. Common 23331A109 7,885,080 378,000 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 of CUSIP Value Shrs or Investment Other Class ($) prn amt SH/PRN Put/Call discretion Managers Voting Authority ----------------- Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ D.R. Horton Inc. Common 23331A109 4,849,074 232,458 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Eden Bioscience Corp. Common 279445100 387,096 50,800 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Eden Bioscience Corp. Common 279445100 189,738 24,900 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Encore Acquisition Company Common 29255W100 127,500 8,500 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Ensign Resources Services Group Common 29357T104 527,550 75,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Ensign Resources Services Group Common 29357T104 632,700 90,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Fifth Third Bancorp Common 316773100 13,095,240 213,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Fifth Third Bancorp Common 316773100 8,427,986 137,085 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ First Keystone Financial Inc Common 320655103 565,775 42,700 SH SOLE ------------------------------------------------------------------------------------------------------------------------------------ First Keystone Financial Inc Common 320655103 343,175 25,900 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------------ Florida First Bancorp Common 340902105 501,300 30,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Frontline Limited Common 35921R102 258,440 28,400 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Frontline Limited Common 35921R102 196,560 21,600 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Fuelcell Energy Corp. Common 35952H106 613,134 41,400 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Fuelcell Energy Corp. Common 35952H106 275,466 18,600 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Genesco Inc. Common 371532102 650,000 40,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Genesco Inc. Common 371532102 364,000 22,400 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Gentiva Health Services Inc. Common 37247A102 8,235,973 457,300 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Gentiva Health Services Inc. Common 37247A102 5,734,384 318,400 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Gulf Indonesia Resources Ltd. Common 402284103 2,299,410 264,300 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Gulf Indonesia Resources Ltd. Common 402284103 1,954,890 224,700 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Hollinger International Inc. Common 435569108 504,000 48,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Hollinger International Inc. Common 435569108 294,000 28,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Homestead Bancorp. Inc. Common 437698103 552,600 60,000 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 of CUSIP Value Shrs or Investment Other Class ($) prn amt SH/PRN Put/Call discretion Managers Voting Authority ---------------- Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ Homestead Bancorp. Inc. Common 437698103 343,533 37,300 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Infosys Technologies Limited Common 456788108 287,385 8,500 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Intrawest Corporation Common 460915200 622,908 46,800 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Intrawest Corporation Common 460915200 379,335 28,500 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Ivanhoe Energy Inc. Common 465790103 145,188 88,800 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Ivanhoe Energy Inc. Common 465790103 99,756 61,200 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ KB Home Common 48666K109 7,528,650 265,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ KB Home Common 48666K109 3,863,760 136,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Kemet Corporation Common 488360108 609,020 37,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Kemet Corporation Common 488360108 378,580 23,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Kerr McGee Corp. Common 492386107 1,001,863 19,300 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Kerr McGee Corp. Common 492386107 1,448,289 27,900 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Knight Trading Group Inc. Common 499063105 98,688 12,800 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Knight Trading Group Inc. Common 499063105 55,512 7,200 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ LML Payment Systems Common 50208P109 47,725 11,500 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ LML Payment Systems Common 50208P109 13,280 3,200 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Magna Entertainment Corp. Common 559211107 590,850 97,500 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Magna Entertainment Corp. Common 559211107 378,750 62,500 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Maxim Pharmaceuticals Common 57772M107 37,525 9,500 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Maxim Pharmaceuticals Common 57772M107 21,725 5,500 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Medicis Pharmaceutical Corp. Common 584690309 224,910 4,500 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Medicis Pharmaceutical Corp. Common 584690309 112,455 2,250 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Mellon Financial Corporation Common 58551A108 5,179,266 160,200 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Mellon Financial Corporation Common 58551A108 3,226,534 99,800 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 of CUSIP Value Shrs or SH/PRN Put/Call Investment Other Voting Authority ------------------ Class ($) prn amt discretion Managers Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ Mercury General Corp. Common 589400100 2,064,400 52,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Mercury General Corp. Common 589400100 1,198,940 30,200 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Meritage Corp. Common 59001A102 2,664,000 72,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Meritage Corp. Common 59001A102 1,668,700 45,100 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Methanex Corp. Common 59151K108 1,468,206 302,100 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Methanex Corp. Common 59151K108 961,794 197,900 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Murphy Oilcorp. Common 626717102 795,960 11,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Murphy Oilcorp. Common 626717102 955,152 13,200 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Nabi Common 628716102 953,574 154,300 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Nabi Common 628716102 591,426 95,700 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Ocean Energy Inc. Common 67481E106 2,164,640 132,800 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Ocean Energy Inc. Common 67481E106 2,792,190 171,300 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Penwest Pharmaceuticals Co. Common 709754105 4,255,810 247,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Penwest Pharmaceuticals Co. Common 709754105 2,636,182 153,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Pharmaceutical Resources Inc. Common 717125108 4,218,500 118,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Pharmaceutical Resources Inc. Common 717125108 2,584,725 72,300 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Pogo Producing Co. Common 730448107 615,700 26,200 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Presstek Inc. Common 741113104 35,762 5,768 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Presstek Inc. Common 741113104 918 148 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ QLT Inc. Common 746927102 819,333 53,100 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Racing Champions Corp. Common 750069106 1,196,580 259,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Racing Champions Corp. Common 750069106 723,954 156,700 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Reckson Associates Realty Common 75621K106 2,415,000 100,000 SH SOLE X Corporation ------------------------------------------------------------------------------------------------------------------------------------
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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 of CUSIP Value Shrs or SH/PRN Put/Call Investment Other Voting Authority ---------------- Class ($) prn amt discretion Managers Sole Shared None ----------------------------------------------------------------------------------------------------------------------------------- Reckson Associates Realty Common 75621K106 1,449,000 60,000 SH DEFINED X Corporation ----------------------------------------------------------------------------------------------------------------------------------- Register.com, Inc. Common 75914G101 3,769,600 380,000 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Register.com, Inc. Common 75914G101 2,303,424 232,200 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Rehabilicare Inc. Common 758944102 638,452 229,000 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Rehabilicare Inc. Common 758944102 398,970 143,000 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Research in Motion, Ltd. Common 760975102 99,696 6,200 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Rite Aid Corp. Common 767754104 809,442 104,850 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Sapient Corporation Common 803062108 23,870 6,200 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Schering Plough Corp. Common 806605101 1,855,000 50,000 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Schering Plough Corp. Common 806605101 1,131,550 30,500 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Scientific Games Corporation Common 80874P109 489,800 124,000 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Scientific Games Corporation Common 80874P109 280,845 71,100 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Seven Seas Petroleum Common 817917107 92,945 64,100 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Southwest Securities Group Inc. Common 845224104 1,092,648 63,600 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Southwest Securities Group Inc. Common 845224104 633,942 36,900 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Stamps.com Inc. Common 852857101 390,183 156,700 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Standard Pacific Corp. Common 85375C101 2,341,200 120,000 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Standard Pacific Corp. Common 85375C101 1,437,887 73,700 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Stellent Inc. Common 85856W105 97,920 6,800 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Stellent Inc. Common 85856W105 46,080 3,200 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Stone Energy Corp. Common 861642106 856,520 26,600 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Stone Energy Corp. Common 861642106 521,640 16,200 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Talisman Energy Inc. Common 87425E103 5,988,500 175,000 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 of CUSIP Value Shrs or SH/PRN Put/Call Investment Other Voting Authority ---------------- Class ($) prn amt discretion Managers Sole Shared None ------------------------------------------------------------------------------------------------------------------------------- Talisman Energy Inc. Common 87425E103 6,782,404 198,200 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------- Unocal Corp. Common 915289102 455,000 14,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------- Unocal Corp. Common 915289102 1,270,750 39,100 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------- Verisign Inc. Common 92343E102 217,880 5,200 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------- Verso Technologies Inc. Common 925317109 258,539 417,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------- Verso Technologies Inc. Common 925317109 159,403 257,100 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------- Vornado Realty Trust Common 929042109 992,500 25,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------- Vornado Realty Trust Common 929042109 595,500 15,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------- Wells Fargo & Co. Common 949746101 6,578,600 148,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------- Wells Fargo & Co. Common 949746101 3,880,485 87,300 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------- Xcelera.com Inc. Common G31611109 27,560 26,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------- Zions Bancorp Common 989701107 4,373,290 81,500 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------- Zions Bancorp Common 989701107 1,675,587 31,226 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------- GRAND TOTAL 290,499,607 17,970,90 2 -------------------------------------------------------------------------------------------------------------------------------