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 September 30, 2002 -------------------- 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: 28-03121 ---------------------------------------------------------- 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] November 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: 1 ------------------------------------------------------------------------ Form 13F Information Table Entry Total: 147 ------------------------------------------------------------------------ Form 13F Information Table Value Total: $ 355,536 (thousands) ------------------------------------ List of Other Included Managers: Dorset Management Corporation ("Dorset") Page 3 of 9
FORM 13F INFORMATION TABLE ------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 ------------------------------------------------------------------------------------------------------------------------ Name of Issuer Title of Class CUSIP Value Shrs or SH/PRN Put/Call ($) prn amt ------------------------------------------------------------------------------------------------------------------------ 1800 Contacts Inc. Common 681977104 71,000 7,100 SH ------------------------------------------------------------------------------------------------------------------------ 1800 Contacts Inc. Common 681977104 29,000 2,900 SH ------------------------------------------------------------------------------------------------------------------------ Alberto-Culver Company Common 013068200 1,106,400 24,000 SH ------------------------------------------------------------------------------------------------------------------------ Alberto-Culver Company Common 013068200 585,470 12,700 SH ------------------------------------------------------------------------------------------------------------------------ Ambac Financial Group Inc. Common 023139108 9,915,760 184,000 SH ------------------------------------------------------------------------------------------------------------------------ Ambac Financial Group Inc. Common 023139108 5,887,483 109,250 SH ------------------------------------------------------------------------------------------------------------------------ Amerada Hess Corp. Common 023551104 1,493,360 22,000 SH ------------------------------------------------------------------------------------------------------------------------ American Int'l Group Inc. Common 026874107 21,880,000 400,000 SH ------------------------------------------------------------------------------------------------------------------------ American Int'l Group Inc. Common 026874107 12,334,850 225,500 SH ------------------------------------------------------------------------------------------------------------------------ American Service Group Inc. Common 02364L109 3,626,700 330,000 SH ------------------------------------------------------------------------------------------------------------------------ American Service Group Inc. Common 02364L109 1,949,626 177,400 SH ------------------------------------------------------------------------------------------------------------------------ Anadarko Petroleum Corp. Common 032511107 1,336,200 30,000 SH ------------------------------------------------------------------------------------------------------------------------ Andrx Corporation Common 034553107 327,820 14,800 SH ------------------------------------------------------------------------------------------------------------------------ Andrx Corporation Common 034553107 183,845 8,300 SH ------------------------------------------------------------------------------------------------------------------------ Applied Digital Solutions Common 038188108 90,090 231,000 SH ------------------------------------------------------------------------------------------------------------------------ Applied Digital Solutions Common 038188108 39,585 101,500 SH ------------------------------------------------------------------------------------------------------------------------ Applied Graphics Technologies Inc. Common 037937208 103,730 253,000 SH ------------------------------------------------------------------------------------------------------------------------ Applied Graphics Technologies Inc. Common 037937208 74,620 182,000 SH ------------------------------------------------------------------------------------------------------------------------ Aristotle Corp. Common 040448201 11,154 3,380 SH ------------------------------------------------------------------------------------------------------------------------ Astro Power, Inc. Common 04644A101 374,880 52,800 SH ------------------------------------------------------------------------------------------------------------------------ Astro Power, Inc. Common 04644A101 354,113 49,875 SH ------------------------------------------------------------------------------------------------------------------------ Bank of NY Inc. Common 064057102 5,748,000 200,000 SH ------------------------------------------------------------------------------------------------------------------------ Bank of NY Inc. Common 064057102 3,052,188 106,200 SH ------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------- Column 1 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------- Name of Issuer Investment Other Voting Authority discretion Managers ----------------------- Sole Shared None ------------------------------------------------------------------------------------- 1800 Contacts Inc. SOLE X ------------------------------------------------------------------------------------- 1800 Contacts Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Alberto-Culver Company SOLE X ------------------------------------------------------------------------------------- Alberto-Culver Company DEFINED Dorset X ------------------------------------------------------------------------------------- Ambac Financial Group Inc. SOLE X ------------------------------------------------------------------------------------- Ambac Financial Group Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Amerada Hess Corp. DEFINED Dorset X ------------------------------------------------------------------------------------- American Int'l Group Inc. SOLE X ------------------------------------------------------------------------------------- American Int'l Group Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- American Service Group Inc. SOLE X ------------------------------------------------------------------------------------- American Service Group Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Anadarko Petroleum Corp. DEFINED Dorset X ------------------------------------------------------------------------------------- Andrx Corporation SOLE X ------------------------------------------------------------------------------------- Andrx Corporation DEFINED Dorset X ------------------------------------------------------------------------------------- Applied Digital Solutions SOLE X ------------------------------------------------------------------------------------- Applied Digital Solutions DEFINED Dorset X ------------------------------------------------------------------------------------- Applied Graphics Technologies Inc. SOLE X ------------------------------------------------------------------------------------- Applied Graphics Technologies Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Aristotle Corp. SOLE X ------------------------------------------------------------------------------------- Astro Power, Inc. SOLE X ------------------------------------------------------------------------------------- Astro Power, Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Bank of NY Inc. SOLE X ------------------------------------------------------------------------------------- Bank of NY Inc. DEFINED Dorset X -------------------------------------------------------------------------------------
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FORM 13F INFORMATION TABLE ------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 ------------------------------------------------------------------------------------------------------------------------ Name of Issuer Title of Class CUSIP Value Shrs or SH/PRN Put/Call ($) prn amt ------------------------------------------------------------------------------------------------------------------------ Bayview Capital Corp. Common 07262L101 3,402,000 600,000 SH ------------------------------------------------------------------------------------------------------------------------ Bayview Capital Corp. Common 07262L101 1,982,589 349,663 SH ------------------------------------------------------------------------------------------------------------------------ Beazer Home's USA Inc. Common 07556Q105 14,652,000 240,000 SH ------------------------------------------------------------------------------------------------------------------------ Beazer Home's USA Inc. Common 07556Q105 8,571,420 140,400 SH ------------------------------------------------------------------------------------------------------------------------ Brookline Bancorp Inc. Common 11373M107 2,702,730 230,000 SH ------------------------------------------------------------------------------------------------------------------------ Brookline Bancorp Inc. Common 11373M107 1,602,700 136,400 SH ------------------------------------------------------------------------------------------------------------------------ Burlington Resources Inc. Common 122014103 959,000 25,000 SH ------------------------------------------------------------------------------------------------------------------------ Butler International Inc. Common 123649105 174,471 528,700 SH ------------------------------------------------------------------------------------------------------------------------ Butler International Inc. Common 123649105 114,444 346,800 SH ------------------------------------------------------------------------------------------------------------------------ Calpine Corp. Common 131347106 332,956 134,800 SH ------------------------------------------------------------------------------------------------------------------------ Calpine Corp. Common 131347106 592,306 239,800 SH ------------------------------------------------------------------------------------------------------------------------ Canadian Natural Resources Ltd. Common 136385101 6,730,152 212,000 SH ------------------------------------------------------------------------------------------------------------------------ Canadian Natural Resources Ltd. Common 136385101 5,632,450 177,400 SH ------------------------------------------------------------------------------------------------------------------------ Cardinal Health Inc. Common 14149Y108 4,235,820 68,100 SH ------------------------------------------------------------------------------------------------------------------------ Caremark RX Inc. Common 141705131 5,729,000 337,000 SH ------------------------------------------------------------------------------------------------------------------------ Caremark RX Inc. Common 141705131 3,354,100 197,300 SH ------------------------------------------------------------------------------------------------------------------------ Cellergy Pharmaceuticals Common 15115L103 356,160 168,000 SH ------------------------------------------------------------------------------------------------------------------------ Cellergy Pharmaceuticals Common 15115L103 173,840 82,000 SH ------------------------------------------------------------------------------------------------------------------------ Centex Corporation Common 152312104 10,169,455 229,300 SH ------------------------------------------------------------------------------------------------------------------------ Centex Corporation Common 152312104 5,885,245 132,700 SH ------------------------------------------------------------------------------------------------------------------------ Checkfree Corp. Common 162813109 178,666 15,700 SH ------------------------------------------------------------------------------------------------------------------------ Circuit City Stores Inc. Common 172737108 1,515,000 100,000 SH ------------------------------------------------------------------------------------------------------------------------ Circuit City Stores Inc. Common 172737108 902,940 59,600 SH ------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------- Column 1 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------- Name of Issuer Investment Other Voting Authority discretion Managers ----------------------- Sole Shared None ------------------------------------------------------------------------------------- Bayview Capital Corp. SOLE X ------------------------------------------------------------------------------------- Bayview Capital Corp. DEFINED Dorset X ------------------------------------------------------------------------------------- Beazer Home's USA Inc. SOLE X ------------------------------------------------------------------------------------- Beazer Home's USA Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Brookline Bancorp Inc. SOLE X ------------------------------------------------------------------------------------- Brookline Bancorp Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Burlington Resources Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Butler International Inc. SOLE X ------------------------------------------------------------------------------------- Butler International Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Calpine Corp. SOLE X ------------------------------------------------------------------------------------- Calpine Corp. DEFINED Dorset X ------------------------------------------------------------------------------------- Canadian Natural Resources Ltd. SOLE X ------------------------------------------------------------------------------------- Canadian Natural Resources Ltd. DEFINED Dorset X ------------------------------------------------------------------------------------- Cardinal Health Inc. SOLE X ------------------------------------------------------------------------------------- Caremark RX Inc. SOLE X ------------------------------------------------------------------------------------- Caremark RX Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Cellergy Pharmaceuticals SOLE X ------------------------------------------------------------------------------------- Cellergy Pharmaceuticals DEFINED Dorset X ------------------------------------------------------------------------------------- Centex Corporation SOLE X ------------------------------------------------------------------------------------- Centex Corporation DEFINED Dorset X ------------------------------------------------------------------------------------- Checkfree Corp. SOLE X ------------------------------------------------------------------------------------- Circuit City Stores Inc. SOLE X ------------------------------------------------------------------------------------- Circuit City Stores Inc. DEFINED Dorset X -------------------------------------------------------------------------------------
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FORM 13F INFORMATION TABLE ------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 ------------------------------------------------------------------------------------------------------------------------ Name of Issuer Title of Class CUSIP Value Shrs or SH/PRN Put/Call ($) prn amt ------------------------------------------------------------------------------------------------------------------------ Citigroup Inc. Common 172967101 7,145,650 241,000 SH ------------------------------------------------------------------------------------------------------------------------ Citigroup Inc. Common 172967101 3,836,710 129,400 SH ------------------------------------------------------------------------------------------------------------------------ Columbia Labs Inc. Common 197779101 2,633,850 585,300 SH ------------------------------------------------------------------------------------------------------------------------ Columbia Labs Inc. Common 197779101 2,351,700 522,600 SH ------------------------------------------------------------------------------------------------------------------------ Connetics Corporation Common 208192104 2,888,775 312,300 SH ------------------------------------------------------------------------------------------------------------------------ Connetics Corporation Common 208192104 1,527,175 165,100 SH ------------------------------------------------------------------------------------------------------------------------ Cosine Communications Common 221222102 132,804 52,700 SH ------------------------------------------------------------------------------------------------------------------------ Cosine Communications Common 221222102 77,364 30,700 SH ------------------------------------------------------------------------------------------------------------------------ D.R. Horton Inc. Common 23331A109 20,444,760 1,098,000 SH ------------------------------------------------------------------------------------------------------------------------ D.R. Horton Inc. Common 23331A109 11,648,672 625,600 SH ------------------------------------------------------------------------------------------------------------------------ Eastman Kodak Co. @ 20 Exp. 1/03 Common 277461959 34,740 579 SH Puts ------------------------------------------------------------------------------------------------------------------------ Eastman Kodak Co. @ 20 Exp. 1/03 Common 277461959 25,260 421 SH Puts ------------------------------------------------------------------------------------------------------------------------ Edison Schools Inc. Common 281033100 35,508 107,600 SH ------------------------------------------------------------------------------------------------------------------------ Exegenics Inc. Common 301610101 278,300 506,000 SH ------------------------------------------------------------------------------------------------------------------------ Exegenics Inc. Common 301610101 149,930 272,600 SH ------------------------------------------------------------------------------------------------------------------------ Fifth Third Bancorp Common 316773100 14,756,430 241,000 SH ------------------------------------------------------------------------------------------------------------------------ Fifth Third Bancorp Common 316773100 8,866,104 144,800 SH ------------------------------------------------------------------------------------------------------------------------ First Keystone Financial Inc Common 320655103 787,400 50,800 SH ------------------------------------------------------------------------------------------------------------------------ First Keystone Financial Inc Common 320655103 275,900 17,800 SH ------------------------------------------------------------------------------------------------------------------------ Fleming Companies Inc. Common 339130106 200,000 40,000 SH ------------------------------------------------------------------------------------------------------------------------ Florida First Bancorp Common 340902105 529,200 30,000 SH ------------------------------------------------------------------------------------------------------------------------ Fuel-Tech N.V. Common 359523107 888,030 207,000 SH ------------------------------------------------------------------------------------------------------------------------ Fuel-Tech N.V. Common 359523107 519,090 121,000 SH ------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------- Column 1 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------- Name of Issuer Investment Other Voting Authority discretion Managers ----------------------- Sole Shared None ------------------------------------------------------------------------------------- Citigroup Inc. SOLE X ------------------------------------------------------------------------------------- Citigroup Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Columbia Labs Inc. SOLE X ------------------------------------------------------------------------------------- Columbia Labs Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Connetics Corporation SOLE X ------------------------------------------------------------------------------------- Connetics Corporation DEFINED Dorset X ------------------------------------------------------------------------------------- Cosine Communications SOLE X ------------------------------------------------------------------------------------- Cosine Communications DEFINED Dorset X ------------------------------------------------------------------------------------- D.R. Horton Inc. SOLE X ------------------------------------------------------------------------------------- D.R. Horton Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Eastman Kodak Co. @ 20 Exp. 1/03 SOLE X ------------------------------------------------------------------------------------- Eastman Kodak Co. @ 20 Exp. 1/03 DEFINED Dorset X ------------------------------------------------------------------------------------- Edison Schools Inc. SOLE X ------------------------------------------------------------------------------------- Exegenics Inc. SOLE X ------------------------------------------------------------------------------------- Exegenics Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Fifth Third Bancorp SOLE X ------------------------------------------------------------------------------------- Fifth Third Bancorp DEFINED Dorset X ------------------------------------------------------------------------------------- First Keystone Financial Inc SOLE X ------------------------------------------------------------------------------------- First Keystone Financial Inc DEFINED Dorset X ------------------------------------------------------------------------------------- Fleming Companies Inc. SOLE X ------------------------------------------------------------------------------------- Florida First Bancorp SOLE X ------------------------------------------------------------------------------------- Fuel-Tech N.V. SOLE X ------------------------------------------------------------------------------------- Fuel-Tech N.V. DEFINED Dorset X -------------------------------------------------------------------------------------
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FORM 13F INFORMATION TABLE ------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 ------------------------------------------------------------------------------------------------------------------------ Name of Issuer Title of Class CUSIP Value Shrs or SH/PRN Put/Call ($) prn amt ------------------------------------------------------------------------------------------------------------------------ Fuelcell Energy Corp. Common 35952H106 58,590 9,300 SH ------------------------------------------------------------------------------------------------------------------------ Genesco Inc. Common 371532102 931,500 67,500 SH ------------------------------------------------------------------------------------------------------------------------ Genesco Inc. Common 371532102 542,340 39,300 SH ------------------------------------------------------------------------------------------------------------------------ Gentiva Health Services Common 37247A102 3,308,000 400,000 SH ------------------------------------------------------------------------------------------------------------------------ Gentiva Health Services Common 37247A102 1,964,952 237,600 SH ------------------------------------------------------------------------------------------------------------------------ Halliburton Co. Common 406216101 129,100 10,000 SH ------------------------------------------------------------------------------------------------------------------------ Homestead Bancorp. Inc. Common 437698103 585,600 60,000 SH ------------------------------------------------------------------------------------------------------------------------ Homestead Bancorp. Inc. Common 437698103 285,968 29,300 SH ------------------------------------------------------------------------------------------------------------------------ Imclone Systems Common 45245W109 9,360 1,200 SH ------------------------------------------------------------------------------------------------------------------------ Internet Sec. Systems Inc. Common 46060X107 1,505,504 122,200 SH ------------------------------------------------------------------------------------------------------------------------ Internet Sec. Systems Inc. Common 46060X107 466,928 37,900 SH ------------------------------------------------------------------------------------------------------------------------ Ivanhoe Energy Inc. Common 465790103 69,974 88,800 SH ------------------------------------------------------------------------------------------------------------------------ Ivanhoe Energy Inc. Common 465790103 48,348 61,200 SH ------------------------------------------------------------------------------------------------------------------------ iVillage Inc. Common 46588H105 343,940 593,000 SH ------------------------------------------------------------------------------------------------------------------------ iVillage Inc. Common 46588H105 188,964 325,800 SH ------------------------------------------------------------------------------------------------------------------------ KB Home Common 48666K109 7,570,200 155,000 SH ------------------------------------------------------------------------------------------------------------------------ KB Home Common 48666K109 4,141,632 84,800 SH ------------------------------------------------------------------------------------------------------------------------ Lennar Corp. Common 526057104 9,371,040 168,000 SH ------------------------------------------------------------------------------------------------------------------------ Lennar Corp. Common 526057104 5,075,980 91,000 SH ------------------------------------------------------------------------------------------------------------------------ Liquid Metal Technologies Common 53634X100 90,287 11,300 SH ------------------------------------------------------------------------------------------------------------------------ Liquid Metal Technologies Common 53634X100 47,940 6,000 SH ------------------------------------------------------------------------------------------------------------------------ Magna Entertainment Corp. Common 559211107 2,593,926 477,000 SH ------------------------------------------------------------------------------------------------------------------------ Magna Entertainment Corp. Common 559211107 1,838,720 338,000 SH ------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------- Column 1 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------- Name of Issuer Investment Other Voting Authority discretion Managers ----------------------- Sole Shared None ------------------------------------------------------------------------------------- Fuelcell Energy Corp. DEFINED Dorset X ------------------------------------------------------------------------------------- Genesco Inc. SOLE X ------------------------------------------------------------------------------------- Genesco Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Gentiva Health Services SOLE X ------------------------------------------------------------------------------------- Gentiva Health Services DEFINED Dorset X ------------------------------------------------------------------------------------- Halliburton Co. SOLE X ------------------------------------------------------------------------------------- Homestead Bancorp. Inc. SOLE X ------------------------------------------------------------------------------------- Homestead Bancorp. Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Imclone Systems DEFINED Dorset X ------------------------------------------------------------------------------------- Internet Sec. Systems Inc. SOLE X ------------------------------------------------------------------------------------- Internet Sec. Systems Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Ivanhoe Energy Inc. SOLE X ------------------------------------------------------------------------------------- Ivanhoe Energy Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- iVillage Inc. SOLE X ------------------------------------------------------------------------------------- iVillage Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- KB Home SOLE X ------------------------------------------------------------------------------------- KB Home DEFINED Dorset X ------------------------------------------------------------------------------------- Lennar Corp. SOLE X ------------------------------------------------------------------------------------- Lennar Corp. DEFINED Dorset X ------------------------------------------------------------------------------------- Liquid Metal Technologies SOLE X ------------------------------------------------------------------------------------- Liquid Metal Technologies DEFINED Dorset X ------------------------------------------------------------------------------------- Magna Entertainment Corp. SOLE X ------------------------------------------------------------------------------------- Magna Entertainment Corp. DEFINED Dorset X -------------------------------------------------------------------------------------
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FORM 13F INFORMATION TABLE ------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 ------------------------------------------------------------------------------------------------------------------------ Name of Issuer Title of Class CUSIP Value Shrs or SH/PRN Put/Call ($) prn amt ------------------------------------------------------------------------------------------------------------------------ Medicis Pharmaceutical Corp. Common 584690309 183,915 4,500 SH ------------------------------------------------------------------------------------------------------------------------ Medicis Pharmaceutical Corp. Common 584690309 91,958 2,250 SH ------------------------------------------------------------------------------------------------------------------------ Meritage Corp. Common 59001A102 5,352,950 151,000 SH ------------------------------------------------------------------------------------------------------------------------ Meritage Corp. Common 59001A102 3,190,500 90,000 SH ------------------------------------------------------------------------------------------------------------------------ Methanex Corp. Common 59151K108 2,366,640 275,800 SH ------------------------------------------------------------------------------------------------------------------------ Methanex Corp. Common 59151K108 978,120 114,000 SH ------------------------------------------------------------------------------------------------------------------------ Murphys Oil Corporation Common 626717102 2,215,890 27,000 SH ------------------------------------------------------------------------------------------------------------------------ Nabi Common 628716102 1,138,830 210,000 SH ------------------------------------------------------------------------------------------------------------------------ Nabi Common 628716102 589,154 108,700 SH ------------------------------------------------------------------------------------------------------------------------ Neoware Systems Inc. Common 64065P102 601,870 43,300 SH ------------------------------------------------------------------------------------------------------------------------ Neoware Systems Inc. Common 64065P102 329,430 23,700 SH ------------------------------------------------------------------------------------------------------------------------ Neurobiological Tech Inc. Common 64124W106 961,040 328,000 SH ------------------------------------------------------------------------------------------------------------------------ Neurobiological Tech Inc. Common 64124W106 486,966 166,200 SH ------------------------------------------------------------------------------------------------------------------------ Northrup Grumman Corp. Common 666807102 2,480,800 20,000 SH ------------------------------------------------------------------------------------------------------------------------ Northrup Grumman Corp. Common 666807102 1,538,096 12,400 SH ------------------------------------------------------------------------------------------------------------------------ Ocean Energy Inc. Common 67481E106 2,314,200 116,000 SH ------------------------------------------------------------------------------------------------------------------------ Ocean Energy Inc. Common 67481E106 1,681,785 84,300 SH ------------------------------------------------------------------------------------------------------------------------ Penwest Pharmaceuticals Co. Common 709754105 2,626,449 315,300 SH ------------------------------------------------------------------------------------------------------------------------ Penwest Pharmaceuticals Co. Common 709754105 1,413,601 169,700 SH ------------------------------------------------------------------------------------------------------------------------ Pharmaceutical Resources Inc. Common 717125108 4,113,060 147,000 SH ------------------------------------------------------------------------------------------------------------------------ Pharmaceutical Resources Inc. Common 717125108 2,285,966 81,700 SH ------------------------------------------------------------------------------------------------------------------------ Pogo Producing Co. Common 730448107 1,703,000 50,000 SH ------------------------------------------------------------------------------------------------------------------------ Polycom Inc. Common 73172K104 658,630 97,000 SH ------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------- Column 1 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------- Name of Issuer Investment Other Voting Authority discretion Managers ----------------------- Sole Shared None ------------------------------------------------------------------------------------- Medicis Pharmaceutical Corp. SOLE X ------------------------------------------------------------------------------------- Medicis Pharmaceutical Corp. DEFINED Dorset X ------------------------------------------------------------------------------------- Meritage Corp. SOLE X ------------------------------------------------------------------------------------- Meritage Corp. DEFINED Dorset X ------------------------------------------------------------------------------------- Methanex Corp. SOLE X ------------------------------------------------------------------------------------- Methanex Corp. DEFINED Dorset X ------------------------------------------------------------------------------------- Murphys Oil Corporation DEFINED Dorset X ------------------------------------------------------------------------------------- Nabi SOLE X ------------------------------------------------------------------------------------- Nabi DEFINED Dorset X ------------------------------------------------------------------------------------- Neoware Systems Inc. SOLE X ------------------------------------------------------------------------------------- Neoware Systems Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Neurobiological Tech Inc. SOLE X ------------------------------------------------------------------------------------- Neurobiological Tech Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Northrup Grumman Corp. SOLE X ------------------------------------------------------------------------------------- Northrup Grumman Corp. DEFINED Dorset X ------------------------------------------------------------------------------------- Ocean Energy Inc. SOLE X ------------------------------------------------------------------------------------- Ocean Energy Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Penwest Pharmaceuticals Co. SOLE X ------------------------------------------------------------------------------------- Penwest Pharmaceuticals Co. DEFINED Dorset X ------------------------------------------------------------------------------------- Pharmaceutical Resources Inc. SOLE X ------------------------------------------------------------------------------------- Pharmaceutical Resources Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Pogo Producing Co. DEFINED Dorset X ------------------------------------------------------------------------------------- Polycom Inc. SOLE X -------------------------------------------------------------------------------------
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FORM 13F INFORMATION TABLE ------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 ------------------------------------------------------------------------------------------------------------------------ Name of Issuer Title of Class CUSIP Value Shrs or SH/PRN Put/Call ($) prn amt ------------------------------------------------------------------------------------------------------------------------ Polycom Inc. Common 73172K104 359,870 53,000 SH ------------------------------------------------------------------------------------------------------------------------ PolyMedica Corp. Common 731738100 2,250,984 85,200 SH ------------------------------------------------------------------------------------------------------------------------ PolyMedica Corp. Common 731738100 478,202 18,100 SH ------------------------------------------------------------------------------------------------------------------------ Presstek Common 741113104 336,600 132,000 SH ------------------------------------------------------------------------------------------------------------------------ Presstek Common 741113104 173,400 68,000 SH ------------------------------------------------------------------------------------------------------------------------ QLT Inc. Common 746927102 408,339 53,100 SH ------------------------------------------------------------------------------------------------------------------------ QuadraMed Corp. Common 74730W101 492,320 272,000 SH ------------------------------------------------------------------------------------------------------------------------ QuadraMed Corp. Common 74730W101 262,993 145,300 SH ------------------------------------------------------------------------------------------------------------------------ Racing Champions Corp. Common 750069106 3,268,000 200,000 SH ------------------------------------------------------------------------------------------------------------------------ Racing Champions Corp. Common 750069106 1,799,034 110,100 SH ------------------------------------------------------------------------------------------------------------------------ Rehabilicare Inc. Common 758944102 377,580 108,500 SH ------------------------------------------------------------------------------------------------------------------------ Rehabilicare Inc. Common 758944102 196,620 56,500 SH ------------------------------------------------------------------------------------------------------------------------ Scientific Games Corporation Common 80874P109 1,789,167 267,000 SH ------------------------------------------------------------------------------------------------------------------------ Scientific Games Corporation Common 80874P109 1,098,130 163,900 SH ------------------------------------------------------------------------------------------------------------------------ Soundview Technology Group Inc. Common 83611Q109 198,900 153,000 SH ------------------------------------------------------------------------------------------------------------------------ Soundview Technology Group Inc. Common 83611Q109 99,320 76,400 SH ------------------------------------------------------------------------------------------------------------------------ Standard Pacific Corp. Common 85375C101 3,137,596 134,200 SH ------------------------------------------------------------------------------------------------------------------------ Standard Pacific Corp. Common 85375C101 1,800,260 77,000 SH ------------------------------------------------------------------------------------------------------------------------ SWS Group Inc. Common 78503N107 1,213,718 99,079 SH ------------------------------------------------------------------------------------------------------------------------ SWS Group Inc. Common 78503N107 480,200 39,200 SH ------------------------------------------------------------------------------------------------------------------------ Talisman Energy Inc. Common 87425E103 5,293,200 132,000 SH ------------------------------------------------------------------------------------------------------------------------ Talisman Energy Inc. Common 87425E103 4,350,850 108,500 SH ------------------------------------------------------------------------------------------------------------------------ Tyco International Common 902124106 390,570 27,700 SH ------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------- Column 1 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------- Name of Issuer Investment Other Voting Authority discretion Managers ----------------------- Sole Shared None ------------------------------------------------------------------------------------- Polycom Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- PolyMedica Corp. SOLE X ------------------------------------------------------------------------------------- PolyMedica Corp. DEFINED Dorset X ------------------------------------------------------------------------------------- Presstek SOLE X ------------------------------------------------------------------------------------- Presstek DEFINED Dorset X ------------------------------------------------------------------------------------- QLT Inc. SOLE X ------------------------------------------------------------------------------------- QuadraMed Corp. SOLE X ------------------------------------------------------------------------------------- QuadraMed Corp. DEFINED Dorset X ------------------------------------------------------------------------------------- Racing Champions Corp. SOLE X ------------------------------------------------------------------------------------- Racing Champions Corp. DEFINED Dorset X ------------------------------------------------------------------------------------- Rehabilicare Inc. SOLE X ------------------------------------------------------------------------------------- Rehabilicare Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Scientific Games Corporation SOLE X ------------------------------------------------------------------------------------- Scientific Games Corporation DEFINED Dorsest X ------------------------------------------------------------------------------------- Soundview Technology Group Inc. SOLE X ------------------------------------------------------------------------------------- Soundview Technology Group Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Standard Pacific Corp. SOLE X ------------------------------------------------------------------------------------- Standard Pacific Corp. DEFINED Dorset X ------------------------------------------------------------------------------------- SWS Group Inc. SOLE X ------------------------------------------------------------------------------------- SWS Group Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Talisman Energy Inc. SOLE X ------------------------------------------------------------------------------------- Talisman Energy Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Tyco International SOLE X -------------------------------------------------------------------------------------
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FORM 13F INFORMATION TABLE ------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 ------------------------------------------------------------------------------------------------------------------------ Name of Issuer Title of Class CUSIP Value Shrs or SH/PRN Put/Call ($) prn amt ------------------------------------------------------------------------------------------------------------------------ Unocal Corp. Common 915289102 1,883,400 60,000 SH ------------------------------------------------------------------------------------------------------------------------ Verso Technologies Inc. Common 925317109 369,750 1,275,000 SH ------------------------------------------------------------------------------------------------------------------------ Verso Technologies Inc. Common 925317109 191,767 661,265 SH ------------------------------------------------------------------------------------------------------------------------ Wells Fargo & Co. Common 949746101 5,971,840 124,000 SH ------------------------------------------------------------------------------------------------------------------------ Wells Fargo & Co. Common 949746101 2,798,096 58,100 SH ------------------------------------------------------------------------------------------------------------------------ Westwood Holdings Group, Inc. Common 961765104 204,615 14,369 SH ------------------------------------------------------------------------------------------------------------------------ Westwood Holdings Group, Inc. Common 961765104 139,552 9,800 SH ------------------------------------------------------------------------------------------------------------------------ Zions Bancorp Common 989701107 1,741,200 40,000 SH ------------------------------------------------------------------------------------------------------------------------ Zions Bancorp Common 989701107 950,086 21,826 SH ------------------------------------------------------------------------------------------------------------------------ GRAND TOTAL 355,536,472 23,876,857 ------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------- Column 1 Column 6 Column 7 Column 8 ------------------------------------------------------------------------------------- Name of Issuer Investment Other Voting Authority discretion Managers ----------------------- Sole Shared None ------------------------------------------------------------------------------------- Unocal Corp. DEFINED Dorset X ------------------------------------------------------------------------------------- Verso Technologies Inc. SOLE X ------------------------------------------------------------------------------------- Verso Technologies Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Wells Fargo & Co. SOLE X ------------------------------------------------------------------------------------- Wells Fargo & Co. DEFINED Dorset X ------------------------------------------------------------------------------------- Westwood Holdings Group, Inc. SOLE X ------------------------------------------------------------------------------------- Westwood Holdings Group, Inc. DEFINED Dorset X ------------------------------------------------------------------------------------- Zions Bancorp SOLE X ------------------------------------------------------------------------------------- Zions Bancorp DEFINED Dorset X ------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------