Investment Manager

0001104659-16-096353.txt : 20160212 0001104659-16-096353.hdr.sgml : 20160212 20160212095636 ACCESSION NUMBER: 0001104659-16-096353 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20151231 FILED AS OF DATE: 20160212 DATE AS OF CHANGE: 20160212 EFFECTIVENESS DATE: 20160212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KNOTT DAVID M CENTRAL INDEX KEY: 0000808722 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03121 FILM NUMBER: 161415552 MAIL ADDRESS: STREET 1: 485 UNDERHILL BLVD STREET 2: STE 205 CITY: SYOSSET STATE: NY ZIP: 11791-3419 13F-HR 1 primary_doc.xml 13F-HR LIVE 0000808722 XXXXXXXX 12-31-2015 12-31-2015 false Knott David M

485 Underhill Blvd Ste 205 Syosset NY 11791-3419

13F HOLDINGS REPORT 028-03121 Y Mr. Knott is designated as 1 in Column 7 of the Information Table. Knott David M Investment Manager 516-364-0303 /s/David M. Knott Syosset NY 02-12-2016 1 124 364861 false 2 0001203370 028-10281 DORSET MANAGEMENT CORP INFORMATION TABLE 2 a16-4257_1informationtable.xml INFORMATION TABLE AbbVie Inc. Common 00287Y109 29620 500 SH DFND 2 0 500 0 AbbVie Inc. Common 00287Y109 4431152 74800 SH DFND 2 74800 0 0 Affymetrix, Inc. Common 00826T108 16144 1600 SH DFND 2 0 1600 0 Affymetrix, Inc. Common 00826T108 1709246 169400 SH DFND 2 169400 0 0 Alerian MLP Common 00162Q866 7230 600 SH DFND 1 0 600 0 Allergan plc Common G0177J108 2750000 8800 SH DFND 2 8800 0 0 AllianceBernstein Holdings LP Unit Ltd. Common 01881G106 23850 1000 SH DFND 1 0 1000 0 AllianceBernstein Holdings LP Unit Ltd. Common 01881G106 35775 1500 SH DFND 1 1500 0 0 Ambac Financial Group, Inc. Common 023139884 42270 3000 SH DFND 2 0 3000 0 Ambac Financial Group, Inc. Common 023139884 2401302 170426 SH DFND 2 170426 0 0 Anadarko Petroleum Corporation Common 032511107 2905084 59800 SH DFND 2 59800 0 0 Anadarko Petroleum Corporation Common 032511107 9737861 200450 SH DFND 2 0 200450 0 Anadarko Petroleum Corporation Common 032511107 344918 7100 SH DFND 1 0 7100 0 Anadarko Petroleum Corporation Common 032511107 430419 8860 SH DFND 1 8860 0 0 Anchor Bancorp Common 032838104 129450 5000 SH DFND 1 0 5000 0 Anchor Bancorp Common 032838104 187703 7250 SH DFND 1 7250 0 0 Antero Resources Corporation Common 03674X106 4360000 200000 SH DFND 2 0 200000 0 Apple Inc. Common 037833100 2526240 24000 SH DFND 2 24000 0 0 Apple Inc. Common 037833100 55262 525 SH DFND 1 0 525 0 Apple Inc. Common 037833100 55262 525 SH DFND 1 525 0 0 AT&T Inc. Common 00206R102 93767 2725 SH DFND 1 2725 0 0 Bank Nova Scotia Halifax Common 064149107 16176 400 SH DFND 1 0 400 0 Cabot Oil & Gas Corporation Common 127097103 7783600 440000 SH DFND 2 0 440000 0 Canadian Natural Resources Ltd. Common 136385101 8758241 401000 SH DFND 2 0 401000 0 Canadian Natural Resources Ltd. Common 136385101 300163 13750 SH DFND 1 0 13750 0 Canadian Natural Resources Ltd. Common 136385101 406038 18600 SH DFND 1 18600 0 0 Capitol Federal Financial, Inc. Common 14057J101 25120 2000 SH DFND 2 0 2000 0 Capitol Federal Financial, Inc. Common 14057J101 8548336 680600 SH DFND 2 680600 0 0 Capitol Federal Financial, Inc. Common 14057J101 50240 4000 SH DFND 1 0 4000 0 Capitol Federal Financial, Inc. Common 14057J101 72848 5800 SH DFND 1 5800 0 0 Check Cap Ltd. Common M2361E112 3780 2000 SH DFND 2 0 2000 0 Check Cap Ltd. Common M2361E112 302156 159871 SH DFND 2 159871 0 0 Check Cap Ltd. @7.50 Exp. 2/28/20 Common M2361E120 495443 66059 SH DFND 2 66059 0 0 Chemours Co. Common 163851108 3430 640 SH DFND 1 0 640 0 Chemours Co. Common 163851108 3858 720 SH DFND 1 720 0 0 Chevron Corporation Common 166764100 5937360 66000 SH DFND 2 0 66000 0 China Ceramics Co. Ltd. Common G2113X100 370030 377582 SH DFND 2 377582 0 0 Cimarex Energy Co. Common 171798101 8938000 100000 SH DFND 2 0 100000 0 Coca Cola Inc. Common 191216100 249168 5800 SH DFND 1 5800 0 0 Concho Resources Inc. Common 20605P101 10214600 110000 SH DFND 2 0 110000 0 Colony Financial Inc. Common 19624R106 19480 1000 SH DFND 1 0 1000 0 Cobalt International Energy, Inc. Common 19075F106 2700000 500000 SH DFND 2 0 500000 0 Community Healthcare Trust Incorporated Common 20369C106 737200 40000 SH DFND 2 40000 0 0 Continental Resources, Inc. Common 212015101 3447000 150000 SH DFND 2 0 150000 0 Cousins Properties Inc. Common 222795106 126626 13428 SH DFND 1 0 13428 0 Delta Air Lines, Inc. Common 247361702 1013800 20000 SH DFND 2 20000 0 0 Devon Energy Corp. Common 25179M103 7040000 220000 SH DFND 2 0 220000 0 Dow Chemical Company Common 260543103 41184 800 SH DFND 1 0 800 0 Du Pont E I De Nemours & Co. Common 263534109 213120 3200 SH DFND 1 0 3200 0 Du Pont E I De Nemours & Co. Common 263534109 233100 3500 SH DFND 1 3500 0 0 Eagle Materials Inc. Common 26969P108 13778 228 SH DFND 1 0 228 0 Eli Lilly & Co. Common 532457108 25278 300 SH DFND 1 0 300 0 Entegra Financial Corp. Common 29363J108 580737 30000 SH DFND 2 30000 0 0 Entegra Financial Corp. Common 29363J108 183900 9500 SH DFND 1 0 9500 0 Entegra Financial Corp. Common 29363J108 140345 7250 SH DFND 1 7250 0 0 Flamel Technologies S.A. Common 338488109 1215957 99587 SH DFND 2 99587 0 0 FNB Corporation Common 302520101 118793 8905 SH DFND 1 0 8905 0 FutureFuel Corporation Common 36116M106 6750 500 SH DFND 2 0 500 0 FutureFuel Corporation Common 36116M106 739854 54804 SH DFND 2 54804 0 0 General Electric Common 369604103 37380 1200 SH DFND 1 0 1200 0 General Electric Common 369604103 108402 3480 SH DFND 1 3480 0 0 Gilead Sciences, Inc. Common 375558103 300534 2970 SH DFND 2 2970 0 0 GlaxoSmithKline plc Common 37733W105 911910 22600 SH DFND 2 22600 0 0 Gulfport Energy Corporation Common 402635304 6633900 270000 SH DFND 2 0 270000 0 Halliburton Company Common 406216101 5957000 175000 SH DFND 2 0 175000 0 Hancock Fabrics, Inc. Common 409900107 1944 32138 SH DFND 2 32138 0 0 Hess Corporation Common 42809H107 9211200 190000 SH DFND 2 0 190000 0 Hospitality Properties Trust Common 44106M102 26150 1000 SH DFND 1 0 1000 0 International Business Machines Corp Common 459200101 589564 4284 SH DFND 1 0 4284 0 Iridium Communications, Inc. Common 46269C102 16820 2000 SH DFND 2 0 2000 0 Iridium Communications, Inc. Common 46269C102 2842580 338000 SH DFND 2 338000 0 0 JP Morgan Chase & Co. Common 46625H100 581064 8800 SH DFND 1 0 8800 0 JP Morgan Chase & Co. Common 46625H100 940928 14250 SH DFND 1 14250 0 0 Johnson & Johnson Common 478160104 225984 2200 SH DFND 1 0 2200 0 Johnson & Johnson Common 478160104 521818 5080 SH DFND 1 5080 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 180628 1666 SH DFND 2 0 1666 0 Ligand Pharmaceuticals Incorporated Common 53220K504 129698184 1196257 SH DFND 2 1196257 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 199818 1843 SH DFND 1 0 1843 0 Macquarie Infrastructure Common 55608B105 239580 3300 SH DFND 1 3300 0 0 Medtronics Inc. Common G5960L103 80766 1050 SH DFND 1 0 1050 0 Merck & Co., Inc. Common 58933Y105 232408 4400 SH DFND 2 4400 0 0 Merck & Co., Inc. Common 58933Y105 26410 500 SH DFND 1 0 500 0 Merck & Co., Inc. Common 58933Y105 42256 800 SH DFND 1 800 0 0 Microsoft Corporation Common 594918104 3736578 67350 SH DFND 2 67350 0 0 Microsoft Corporation Common 594918104 55480 1000 SH DFND 1 0 1000 0 Microsoft Corporation Common 594918104 22192 400 SH DFND 1 400 0 0 Mondelez Int'l Inc. Common 609207105 134520 3000 SH DFND 1 0 3000 0 Mondelez Int'l Inc. Common 609207105 130036 2900 SH DFND 1 2900 0 0 Noble Energy, Inc. Common 655044105 9220400 280000 SH DFND 2 0 280000 0 Och-Ziff Captial Management Group Common 67551U105 12460 2000 SH DFND 1 2000 0 0 Oritani Financial Corp Common 68633D103 33000 2000 SH DFND 1 0 2000 0 Oritani Financial Corp Common 68633D103 95700 5800 SH DFND 1 5800 0 0 Peoples United Financial Common 712704105 24225 1500 SH DFND 1 0 1500 0 Pfizer Inc. Common 717081103 87156 2700 SH DFND 2 0 2700 0 Pfizer Inc. Common 717081103 29299781 907676 SH DFND 2 907676 0 0 Pfizer Inc. Common 717081103 839280 26000 SH DFND 1 0 26000 0 Pfizer Inc. Common 717081103 1904520 59000 SH DFND 1 59000 0 0 Physicians Realty Trust Common 71943U104 772188 45800 SH DFND 2 45800 0 0 Pioneer Natural Resources Company Common 723787107 10657300 85000 SH DFND 2 0 85000 0 QLT Inc. Common 746927102 1452163 545926 SH DFND 2 545926 0 0 RMR Group Inc. Common 74967R106 230 16 SH DFND 1 0 16 0 Rand Logistics, Inc. Common 752182105 1440 900 SH DFND 2 0 900 0 Rand Logistics, Inc. Common 752182105 1399096 874435 SH DFND 2 874435 0 0 Range Resources Corporation Common 75281A109 5783350 235000 SH DFND 2 0 235000 0 Ryman Hospitality Pptys Inc. Common 78377T107 20656 400 SH DFND 1 400 0 0 Schlumberger Limited Common 806857108 7323750 105000 SH DFND 2 0 105000 0 SM Energy Company Common 78454L100 5308200 270000 SH DFND 2 0 270000 0 Southwestern Energy Company Common 845467109 8709750 1225000 SH DFND 2 0 1225000 0 Standard Financial Corp. Common 853393106 510000 20000 SH DFND 2 20000 0 0 Starwood Ppty Inc. Common 85571B105 8224 400 SH DFND 1 400 0 0 Sunshine Bancorp, Inc. Common 86777J108 304000 20000 SH DFND 2 20000 0 0 Sunshine Bancorp, Inc. Common 86777J108 30400 2000 SH DFND 1 0 2000 0 Sunshine Bancorp, Inc. Common 86777J108 88160 5800 SH DFND 1 5800 0 0 Synergy Pharmaceuticals, Inc. Common 871639308 866943 152900 SH DFND 2 152900 0 0 The Kraft Heinz Company Common 500754106 509320 7000 SH DFND 2 7000 0 0 The Kraft Heinz Company Common 500754106 135697 1865 SH DFND 1 0 1865 0 The Kraft Heinz Company Common 500754106 220826 3035 SH DFND 1 3035 0 0 TheStreet Inc. Common 88368Q103 160800 107200 SH DFND 2 107200 0 0 Total SA Sponsored ADR Common 89151E109 130355 2900 SH DFND 1 0 2900 0 Total SA Sponsored ADR Common 89151E109 106082 2360 SH DFND 1 2360 0 0 U.S. Silica Holdings, Inc. Common 90346E103 7679300 410000 SH DFND 2 0 410000 0 Verizon Communications Inc. Common 92343V104 12156 263 SH DFND 1 0 263 0 Verizon Communications Inc. Common 92343V104 61010 1320 SH DFND 1 1320 0 0 Whiting Petroleum Corporation Common 966387102 4059200 430000 SH DFND 2 0 430000 0