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 December 31, 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] February 11, 2002 -------------------------------------------------------------------------------- [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: 139 ------------------------------------------------------------------------------ Form 13F Information Table Value Total: $ 357,089 (thousands) ------------------------------------------------------------------------------ List of Other Included Managers: NONE Page 2 of 9 FORM 13F INFORMATION TABLE
------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------------------------------------------------------ Title of Value Shrs or Put/ Investment Other Voting Authority Name of Issuer Class CUSIP ($) prn amt SH/PRN Call discretion Managers Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ Ambac Financial Group Inc. Common 023139108 10,414,800 180,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Ambac Financial Group Inc. Common 023139108 6,367,493 110,050 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Amerada Hess Corp. Common 023551104 2,250,000 36,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ American Int'l Group Inc. Common 026874107 13,974,400 176,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ American Int'l Group Inc. Common 026874107 8,720,264 109,827 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ American Service Group Inc. Common 02364L109 2,098,250 275,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ American Service Group Inc. Common 02364L109 1,266,580 166,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Anadarko Petroleum Corp. Common 032511107 1,853,310 32,600 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Anadarko Petroleum Corp. Common 032511107 2,782,637 48,947 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Andrx Corporation Common 034553107 218,271 3,100 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Applied Graphics Technologies Inc. Common 037937208 135,000 250,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Aristotle Corp. Common 040448201 24,505 3,380 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Astro Power, Inc. Common 04644A101 396,214 9,800 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Astro Power, Inc. Common 04644A101 390,150 9,650 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Bank of NY Inc. Common 064057102 10,151,040 248,800 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Bank of NY Inc. Common 064057102 5,858,880 143,600 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Bank One Corp. Common 06423A103 2,499,200 64,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Bank One Corp. Common 06423A103 1,522,950 39,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Bayview Capital Corp. Common 07262L101 4,398,000 600,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Bayview Capital Corp. Common 07262L101 2,709,630 369,663 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Beazer Home's USA Inc. Common 07556Q105 7,756,020 106,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Beazer Home's USA Inc. Common 07556Q105 4,909,707 67,100 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Burlington Resources Inc. Common 122014103 1,190,018 31,700 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------
Page 3 of 9 FORM 13F INFORMATION TABLE
------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------------------------------------------------------ Title of Value Shrs or Put/ Investment Other Voting Authority Name of Issuer Class CUSIP ($) prn amt SH/PRN Call discretion Managers Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ Burlington Resources Common 122014103 3,127,082 83,300 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Butler International Inc. Common 123649105 1,481,030 510,700 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Butler International Inc. Common 123649105 1,005,720 346,800 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Calpine Corp. Common 131347106 123,000 150 SH Puts SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Calpine Corp. Common 131347106 3,156,520 188,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Calpine Corp. Common 131347106 2,636,030 157,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Canadian Natural Resources Ltd. Common 136385101 4,813,200 200,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Canadian Natural Resources Ltd. Common 136385101 5,581,833 231,900 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Caremark RX Inc. Common 141705131 3,265,262 200,200 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Caremark RX Inc. Common 141705131 1,965,355 120,500 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Cellergy Pharmaceuticals Common 15115L103 1,441,440 168,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Cellergy Pharmaceuticals Common 15115L103 875,160 102,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Centex Corporation Common 152312104 4,093,353 71,700 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Centex Corporation Common 152312104 2,489,124 43,600 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Circuit City Stores Inc. Common 172737108 2,595,000 100,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Columbia Labs Inc. Common 197779101 2,008,935 582,300 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Columbia Labs Inc. Common 197779101 2,007,900 582,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Connetics Corporation Common 208192104 3,919,860 329,400 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Connetics Corporation Common 208192104 2,003,960 168,400 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Cosine Communications Common 221222102 647,900 418,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Cosine Communications Common 221222102 390,600 252,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ D.R. Horton Inc. Common 23331A109 13,048,920 402,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ D.R. Horton Inc. Common 23331A109 7,902,647 243,458 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------
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------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------------------------------------------------------ Title of Value Shrs or Put/ Investment Other Voting Authority Name of Issuer Class CUSIP ($) prn amt SH/PRN Call discretion Managers Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ Ensign Resources Services Group Common 29357T104 628,950 75,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Ensign Resources Services Group Common 29357T104 755,100 90,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Exegenics Inc. Common 301610101 1,615,050 485,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Exegenics Inc. Common 301610101 977,688 293,600 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Fifth Third Bancorp Common 316773100 13,063,290 213,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Fifth Third Bancorp Common 316773100 8,407,423 137,085 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ First Keystone Financial Inc Common 320655103 594,811 42,700 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ First Keystone Financial Inc Common 320655103 360,787 25,900 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Florida First Bancorp Common 340902105 482,700 30,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Fuelcell Energy Corp. Common 35952H106 337,404 18,600 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Genesco Inc. Common 371532102 830,400 40,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Genesco Inc. Common 371532102 465,024 22,400 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Gentiva Health Services Inc. Common 37247A102 10,037,735 457,300 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Gentiva Health Services Inc. Common 37247A102 6,988,880 318,400 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Gulf Indonesia Resources Ltd. Common 402284103 2,378,700 264,300 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Gulf Indonesia Resources Ltd. Common 402284103 2,720,700 302,300 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Helmerich & Payne Inc. Common 423452101 834,500 25,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Helmerich & Payne Inc. Common 423452101 500,700 15,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Hollinger International Inc. Common 435569108 561,600 48,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Hollinger International Inc. Common 435569108 327,600 28,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Homestead Bancorp. Inc. Common 437698103 556,200 60,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Homestead Bancorp. Inc. Common 437698103 345,771 37,300 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Ivanhoe Energy Inc. Common 465790103 201,931 88,800 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------
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------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------------------------------------------------------ Title of Value Shrs or Put/ Investment Other Voting Authority Name of Issuer Class CUSIP ($) prn amt SH/PRN Call discretion Managers Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ Ivanhoe Energy Inc. Common 465790103 138,924 61,200 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ iVillage Inc. Common 46588H105 165,300 87,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ iVillage Inc. Common 46588H105 100,700 53,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ JCPenney Company Common 708160956 55 100 SH Put DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ KB Home Common 48666K109 10,626,500 265,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ KB Home Common 48666K109 5,453,600 136,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Kemet Corporation Common 488360108 656,750 37,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Kemet Corporation Common 488360108 408,250 23,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Kerr McGee Corp. Common 492386107 1,057,640 19,300 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Kerr McGee Corp. Common 492386107 1,748,120 31,900 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Magna Entertainment Corp. Common 559211107 2,009,000 287,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Magna Entertainment Corp. Common 559211107 1,211,000 173,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Maxim Pharmaceuticals Common 57772M107 65,550 9,500 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ MCG Capital Corp. Common 58047P107 356,000 20,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Medicis Pharmaceutical Corp. Common 584690309 290,655 4,500 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Medicis Pharmaceutical Corp. Common 584690309 145,328 2,250 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Mellon Financial Corporation Common 58551A108 6,026,724 160,200 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Mellon Financial Corporation Common 58551A108 3,754,476 99,800 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Meritage Corp. Common 59001A102 3,693,600 72,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Meritage Corp. Common 59001A102 2,313,630 45,100 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Methanex Corp. Common 59151K108 1,528,208 275,800 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Methanex Corp. Common 59151K108 927,396 167,400 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Murphy Oilcorp. Common 626717102 714,340 8,500 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------
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------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------------------------------------------------------ Title of Value Shrs or Put/ Investment Other Voting Authority Name of Issuer Class CUSIP ($) prn amt SH/PRN Call discretion Managers Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ Murphy Oilcorp. Common 626717102 831,996 9,900 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Nabi Common 628716102 1,592,376 154,300 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Nabi Common 628716102 987,624 95,700 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Neurobiological Tech Inc. Common 64124W106 1,417,800 278,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Neurobiological Tech Inc. Common 64124W106 860,095 168,646 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Ocean Energy Inc. Common 67481E106 2,549,760 132,800 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Ocean Energy Inc. Common 67481E106 3,480,960 181,300 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Penwest Pharmaceuticals Co. Common 709754105 4,952,350 247,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Penwest Pharmaceuticals Co. Common 709754105 3,067,650 153,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Pharmaceutical Resources Inc. Common 717125108 3,988,400 118,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Pharmaceutical Resources Inc. Common 717125108 2,443,740 72,300 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Pogo Producing Co. Common 730448107 1,576,200 60,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ PolyMedica Corp. Common 731738100 717,120 43,200 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ PolyMedica Corp. Common 731738100 805,100 48,500 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ QuadraMed Corp. Common 74730W101 526,435 62,300 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ QuadraMed Corp. Common 74730W101 318,565 37,700 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Racing Champions Corp. Common 750069106 3,825,300 311,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Racing Champions Corp. Common 750069106 2,321,010 188,700 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Reckson Associates Realty Common 75621K106 4,672,000 200,000 SH SOLE X Corporation ------------------------------------------------------------------------------------------------------------------------------------ Reckson Associates Realty Common 75621K106 2,845,248 121,800 SH DEFINED X Corporation ------------------------------------------------------------------------------------------------------------------------------------ Register.com, Inc. Common 75914G101 2,179,250 189,500 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Register.com, Inc. Common 75914G101 1,322,500 115,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Rehabilicare Inc. Common 758944102 1,179,350 229,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------
Page 7 of 9 FORM 13F INFORMATION TABLE
------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------------------------------------------------------ Title of Value Shrs or Put/ Investment Other Voting Authority Name of Issuer Class CUSIP ($) prn amt SH/PRN Call discretion Managers Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ Rehabilicare Inc. Common 758944102 736,450 143,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Sapient Corporation Common 803062108 47,864 6,200 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Scientific Games Corporation Common 80874P109 1,618,750 185,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Scientific Games Corporation Common 80874P109 982,625 112,300 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Seven Seas Petroleum Common 817917107 258,897 122,700 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Stamps.com Inc. Common 852857101 560,986 156,700 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Standard Pacific Corp. Common 85375C101 2,918,400 120,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Standard Pacific Corp. Common 85375C101 1,792,384 73,700 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Stone Energy Corp. Common 861642106 1,050,700 26,600 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Stone Energy Corp. Common 861642106 639,900 16,200 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ SWS Group Inc. Common 78503N107 1,462,841 57,479 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ SWS Group Inc. Common 78503N107 997,640 39,200 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Talisman Energy Inc. Common 87425E103 6,156,972 162,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Talisman Energy Inc. Common 87425E103 6,507,312 171,200 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Unocal Corp. Common 915289102 504,980 14,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Unocal Corp. Common 915289102 2,853,137 79,100 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Verso Technologies Inc. Common 925317109 831,869 639,900 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ Verso Technologies Inc. Common 925317109 487,241 374,800 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Vornado Realty Trust Common 929042109 1,040,000 25,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Vornado Realty Trust Common 929042109 624,000 15,000 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Wells Fargo & Co. Common 949746101 6,433,560 148,000 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------ Wells Fargo & Co. Common 949746101 3,794,931 87,300 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ Zions Bancorp Common 989701107 4,285,270 81,500 SH SOLE X ------------------------------------------------------------------------------------------------------------------------------------
Page 8 of 9 FORM 13F INFORMATION TABLE
------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------------------------------------------------------ Title of Value Shrs or Put/ Investment Other Voting Authority Name of Issuer Class CUSIP ($) prn amt SH/PRB Call discretion Managers Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ Zions Bancorp Common 989701107 2,209,727 42,026 SH DEFINED X ------------------------------------------------------------------------------------------------------------------------------------ GRAND TOTAL 357,089,105 19,853,761 ------------------------------------------------------------------------------------------------------------------------------------
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