-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Dw1XVhsM4LldY88vPAeAbDtV2Sdv8AnBWlIOVV70mJkZPYgvptxKGzvMGtsJrb0r FctCVU2DV6WVzKmR7J9geA== 0000950130-99-004775.txt : 19990813 0000950130-99-004775.hdr.sgml : 19990813 ACCESSION NUMBER: 0000950130-99-004775 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990630 FILED AS OF DATE: 19990812 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KNOTT DAVID M CENTRAL INDEX KEY: 0000808722 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-03121 FILM NUMBER: 99686172 BUSINESS ADDRESS: STREET 1: 485 UNDERHILL BLVD STREET 2: STE 205 CITY: SYOSSET STATE: NY ZIP: 11791-3419 MAIL ADDRESS: STREET 1: 485 UNDERHILL BLVD STREET 2: STE 205 CITY: SYOSSET STATE: NY ZIP: 11791-3419 13F-HR 1 13F HOLDING REPORT ----------------------------- OMB APPROVAL OMB Number: 3235-0006 Expires: October 31, 2000 Estimated average burden hours per response........24.7 ----------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended June 30, 1999 Check here if Amendment [ ]: Amendment Number: This Amendment (Check only one): |_| is a restatement. |_| adds new holdings entries Institutional Investment Manager Filing this Report: Name: David M. Knott -------------------------------------------------------------------------- Address: 485 Underhill Boulevard ----------------------------------------------------------------------- Suite 205 ----------------------------------------------------------------------- Syosset, NY 11791 ----------------------------------------------------------------------- Form 13F File Number: 28- -------------------------------------------------------- The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists and tables are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Reporting Manager: Name: David M. Knott -------------------------------------------------------------------------- Title: Investment Manager ------------------------------------------------------------------------- Phone: (516) 364-0303 ------------------------------------------------------------------------- Signature, Place and Date of Signing: /s/ David M. Knott - -------------------------------------------------------------------------------- [Signature] Syosset, New York - -------------------------------------------------------------------------------- [City, State] August 12, 1999 - -------------------------------------------------------------------------------- [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: 114 -------------------------------------------------------------------------- Form 13F Information Table Value Total: $ 370,547 (thousands) -------------- List of Other Included Managers: NONE Page 2 of 8
FORM 13F INFORMATION TABLE - ------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 - ------------------------------------------------------------------------------------------------------------------------------------ Name of Issuer Title of Class CUSIP Value Shrs SH/PRN Put/Call Investment ($) or discretion pm amt - ------------------------------------------------------------------------------------------------------------------------------------ Ackerly Group Inc. Common 004527107 2,417,119 132,900 SH SOLE Ackerly Group Inc. Common 004527107 2,624,817 144,300 SH DEFINED AHT Corporation Common 00130R103 467,250 124,600 SH SOLE AHT Corporation Common 00130R103 372,000 99,200 SH DEFINED AgriBiotech Inc. Common 008494106 1,723,569 284,300 SH SOLE AgriBiotech Inc. Common 008494106 717,504 118,400 SH DEFINED Amazon.com Inc. Common 023135106 750,750 6,000 SH SOLE Amazon.com Inc. Common 023135106 563,040 4,500 SH DEFINED American Int'l Group Inc. Common 026874107 23,684,500 202,000 SH SOLE American Int'l Group Inc. Common 026874107 18,951,938 161,637 SH DEFINED American Express Common 025816109 9,707,325 74,600 SH SOLE American Express Common 025816109 7,742,140 59,500 SH DEFINED AMR Corp. Common 001765106 2,934,750 43,000 SH SOLE AMR Corp. Common 001765106 2,156,700 31,600 SH DEFINED Aristotle Corp. Common 040448201 19,435 3,380 SH SOLE Bank of NY Inc. Common 064057102 28,029,250 764,000 SH SOLE Bank of NY Inc. Common 064057102 22,171,767 604,300 SH DEFINED Berkshire Hathaway Inc. Cl. B Common 084670207 2,240,000 1,000 SH SOLE Berkshire Hathaway Inc. Cl. B Common 084670207 1,758,400 785 SH DEFINED Chesapeake Energy Corp. Common 165167107 923,256 314,300 SH SOLE Chesapeake Energy Corp. Common 165167107 3,528 1,200 SH DEFINED CNB Bancshares Inc. Common 126126101 413,364 7,252 SH DEFINED - ------------------------------------------------------------------------------------------------------------------------------------ COLUMN TOTAL $ 130,372,402 - ------------------------------------------------------------------------------------------------------------------------------------
- ----------------------------------------- Column 7 Column 8 - ----------------------------------------- Other Voting Authority Managers ---------------------------- Sole Shared None - ----------------------------------------- X X X X X X X X X X X X X X X X X X X X X X Page 3 of 8 FORM 13F INFORMATION TABLE
- ------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 - ------------------------------------------------------------------------------------------------------------------------------------ Name of Issuer Title of Class CUSIP Value Shrs SH/PRN Put/Call Investment ($) or discretion pm amt - ------------------------------------------------------------------------------------------------------------------------------------ Coca-Cola Co. Common 191216100 1,674,000 27,000 SH SOLE Columbia Labs Inc. Common 197779101 7,432,250 868,000 SH SOLE Columbia Labs Inc. Common 197779101 821,496 96,100 SH DEFINED Computer Learning Centers Inc. Common 205199102 93,812 19,000 SH SOLE Delphi Automotive Systems Corp. Common 247126105 370,000 20,000 SH SOLE Delphi Automotive Systems Corp. Common 247126105 299,700 16,200 SH DEFINED EBay Inc. Common 278642103 4,041,712 26,700 SH SOLE EBay Inc. Common 278642103 2,088,906 13,800 SH DEFINED Eclipse Surgical Tech Inc. Common 278849104 3,574,180 330,560 SH SOLE Eclipse Surgical Tech Inc. Common 278849104 2,897,512 198,000 SH DEFINED Fifth Third Bancorp Common 316773100 9,988,127 150,062 SH DEFINED Fifth Third Bancorp Common 316773100 13,179,375 198,000 SH SOLE Fila Holding SPA Common 316850106 37,792 3,200 SH DEFINED Fila Holding SPA Common 316850106 198,450 16,800 SH SOLE First Security Corp. Common 336294103 1,356,341 49,774 SH SOLE First Security Corp. Common 336294103 1,152,266 42,285 SH DEFINED First Keystone Financial Inc. Common 320655103 802,944 61,200 SH DEFINED First Keystone Financial Inc. Common 320655103 1,113,000 84,800 SH SOLE Firstar Corp. Common 33763V109 10,414,236 371,937 SH DEFINED Firstar Corp. Common 33763V109 12,264,000 438,000 SH SOLE Frontier Airlines Inc. Common 359065109 2,299,425 142,600 SH SOLE Frontier Airlines Inc. Common 359065109 1,823,172 113,100 SH DEFINED General Nutrition Cos. Inc. Common 37047F103 2,303,275 98,800 SH SOLE General Nutrition Cos. Inc. Common 37047F103 1,829,835 78,500 SH DEFINED - ------------------------------------------------------------------------------------------------------------------------------------ COLUMN TOTAL $ 82,055,806 - ------------------------------------------------------------------------------------------------------------------------------------
- --------------------------------------------- Column 7 Column 8 - --------------------------------------------- Other Voting Authority Managers -------------------------------- Sole Shared None - --------------------------------------------- X X X X X X X X X X X X X X X X X X X X X X X X Page 4 of 8 FORM 13F INFORMATION TABLE
- ------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 - ------------------------------------------------------------------------------------------------------------------------------------ Name of Issuer Title of Class CUSIP Value Shrs SH/PRN Put/Call Investment ($) or discretion pm amt - ------------------------------------------------------------------------------------------------------------------------------------ Globalstar Communications Ltd. Common G3930H104 2,318,750 100,000 SH SOLE Globalstar Communications Ltd. Common G3930H104 1,864,569 80,404 SH DEFINED Goldman Sachs Common 38141G104 361,250 5,000 SH DEFINED Hollinger Inc. Common 435569108 4,678,750 394,000 SH SOLE Hollinger Inc. Common 435569108 3,722,432 313,600 SH DEFINED Homestead Bancorp. Inc. Common 437698103 393,750 52,500 SH DEFINED Homestead Bancorp. Inc. Common 437698103 480,000 64,000 SH SOLE Household Int'l Inc. Common 441815107 8,821,225 186,200 SH SOLE Household Int'l Inc. Common 441815107 7,067,604 149,200 SH DEFINED Houston Exploration Common 442120101 276,524 14,600 SH DEFINED Houston Exploration Common 442120101 356,025 18,800 SH SOLE IDT Corp. Common 448947101 82,325 3,700 SH DEFINED IDT Corp. Common 448947101 129,050 5,800 SH SOLE Igen International Inc. Common 449536101 221,312 7,600 SH DEFINED Igen International Inc. Common 449536101 704,825 24,200 SH SOLE ITLA Capital Corp. Common 450565106 529,200 33,600 SH DEFINED ITLA Capital Corp. Common 450565106 663,075 42,100 SH SOLE JCC Holding Co. Common 46611Q205 1,928,200 248,800 SH SOLE JCC Holding Co. Common 46611Q205 1,558,525 201,100 SH DEFINED JeffBanks Inc. Common 472317106 610,297 21,461 SH SOLE Jefferies Group Inc. Common 472318104 954,100 32,900 SH SOLE Jefferies Group Inc. Common 472318104 698,900 24,100 SH DEFINED - ------------------------------------------------------------------------------------------------------------------------------------ COLUMN TOTAL $ 38,420,688 - ------------------------------------------------------------------------------------------------------------------------------------
- --------------------------------------------- Column 7 Column 8 - --------------------------------------------- Other Voting Authority Managers -------------------------------- Sole Shared None - --------------------------------------------- X X X X X X X X X X X X X X X X X X X X X X Page 5 of 8 FORM 13F INFORMATION TABLE
- ------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 - ------------------------------------------------------------------------------------------------------------------------------------ Name of Issuer Title of Class CUSIP Value Shrs SH/PRN Put/Call Investment ($) or discretion pm amt - ------------------------------------------------------------------------------------------------------------------------------------ Labor Ready Inc. Common 505401208 377,000 11,600 SH SOLE Maxxam Inc. Common 577913106 10,068,450 156,100 SH DEFINED Maxxam Inc. Common 577913106 11,932,500 185,000 SH SOLE Medicis Pharmaceutical Corp. Common 584690309 114,187 4,500 SH SOLE Medicis Pharmaceutical Corp. Common 584690309 76,110 3,000 SH DEFINED Mercantile Bancorporation Inc. Common 587342106 1,276,518 22,348 SH DEFINED Mercantile Bancorporation Inc. Common 587342106 2,349,494 41,129 SH SOLE Mesa Air Group Inc. Common 590479101 420,875 56,000 SH SOLE Mesa Air Group Inc. Common 590479101 330,880 44,000 SH DEFINED Offshore Logistics Inc. Common 676255102 239,187 21,500 SH SOLE Offshore Logistics Inc. Common 676255102 177,920 16,000 SH DEFINED Onsale Inc. Common 682838107 172,354 9,100 SH DEFINED Onsale Inc. Common 682838107 395,794 20,900 SH SOLE Picturetel Corp. Common 720035302 1,716,000 214,500 SH SOLE Picturetel Corp. Common 720035302 1,376,800 172,100 SH DEFINED PLC Systems Inc. Common 69341D104 142,800 40,800 SH SOLE PYR Energy Corp. Common 693677106 258,813 126,250 SH DEFINED PYR Energy Corp. Common 693677106 317,750 155,000 SH SOLE Splash Technology Holdings Inc. Common 848623104 531,562 75,600 SH SOLE Splash Technology Holdings Inc. Common 848623104 417,582 59,400 SH DEFINED Stone Energy Corp. Common 861642106 3,508,650 82,800 SH SOLE Stone Energy Corp. Common 861642106 2,682,021 63,300 SH DEFINED - ------------------------------------------------------------------------------------------------------------------------------------ COLUMN TOTAL $ 38,883,247 - ------------------------------------------------------------------------------------------------------------------------------------
- --------------------------------------------- Column 7 Column 8 Other Voting Authority Managers -------------------------------- Sole Shared None - --------------------------------------------- X X X X X X X X X X X X X X X X X X X X X X Page 6 of 8 FORM 13F INFORMATION TABLE
- ------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 - ------------------------------------------------------------------------------------------------------------------------------------ Name of Issuer Title of Class CUSIP Value Shrs SH/PRN Put/Call Investment ($) or discretion pm amt - ------------------------------------------------------------------------------------------------------------------------------------ Sunrise Techs Common 86769L103 673,750 55,000 SH DEFINED Sunrise Techs Common 86769L103 882,000 72,000 SH SOLE TCSI Corp. Common 87233R106 701,184 273,900 SH DEFINED TCSI Corp. Common 87233R106 905,331 353,300 SH SOLE Triton Energy Corp. Common G90751101 3,186 300 SH DEFINED Triton Energy Corp. Common G90751101 1,083,750 102,000 SH SOLE U.S. Bancorp Common 902973106 2,136,000 64,000 SH SOLE U.S. Bancorp Common 902973106 1,698,533 50,900 SH DEFINED Unocal Corp. Common 915289102 2,139,750 54,000 SH SOLE Unocal Corp. Common 915289102 1,719,508 43,400 SH DEFINED Valassis Communications Co. Common 918866104 3,735,750 102,000 SH SOLE Valassis Communications Co. Common 918866104 2,953,403 80,650 SH DEFINED Value Line Inc. Common 920437100 616,200 15,800 SH SOLE Value Line Inc. Common 920437100 475,800 12,200 SH DEFINED Vialog Corp. Common 92552X106 143,500 41,000 SH SOLE Vialog Corp. Common 92552X106 119,000 34,000 SH DEFINED Wachovia Corp. Common 929771103 6,930,360 81,000 SH DEFINED Wachovia Corp. Common 929771103 8,727,375 102,000 SH SOLE Wells Fargo & Co. Common 949740104 18,981,000 444,000 SH SOLE Wells Fargo & Co. Common 949740104 15,022,350 351,400 SH DEFINED Zions Bancorp Common 989701107 4,851,400 76,400 SH DEFINED Zions Bancorp Common 989701107 6,223,000 98,000 SH SOLE - ------------------------------------------------------------------------------------------------------------------------------------ COLUMN TOTAL $ 80,722,130 - ------------------------------------------------------------------------------------------------------------------------------------
- --------------------------------------------- Column 7 Column 8 Other Voting Authority Managers --------------------------------- Sole Shared None - --------------------------------------------- X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X Page 7 of 8
FORM 13F INFORMATION TABLE - ------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 - ------------------------------------------------------------------------------------------------------------------------------------ Name of Issuer Title of Class CUSIP Value Shrs SH/PRN Put/Call Investment ($) or discretion pm amt - ------------------------------------------------------------------------------------------------------------------------------------ Zonagen Inc. Common 98975L108 51,800 5,600 SH SOLE Zonagen Inc. Common 98975L108 40,700 4,400 SH DEFINED COLUMN TOTAL $ 92,500 - ------------------------------------------------------------------------------------------------------------------------------------ GRAND TOTAL: $ 370,546,773 - ------------------------------------------------------------------------------------------------------------------------------------
- ----------------------------------------- Column 7 Column 8 Other Voting Authority Managers --------------------------- Sole Shared None - ----------------------------------------- X X Page 8 of 8 -----END PRIVACY-ENHANCED MESSAGE-----