Investment Manager

0001104659-17-008416.txt : 20170213 0001104659-17-008416.hdr.sgml : 20170213 20170213102510 ACCESSION NUMBER: 0001104659-17-008416 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170213 DATE AS OF CHANGE: 20170213 EFFECTIVENESS DATE: 20170213 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: 17596648 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 12-31-2016 12-31-2016 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 02-13-2017 1 100 198703 false 2 0001203370 028-10281 DORSET MANAGEMENT CORP INFORMATION TABLE 2 a17-4305_1informationtable.xml INFORMATION TABLE AbbVie Inc. Common 00287Y109 4684 74800 SH DFND 2 74800 0 0 ACADIA Pharmaceuticals Inc. Common 004225108 1902 65947 SH DFND 2 65947 0 0 Adverum Biotechnologies Inc. Common 00773U108 191 66000 SH DFND 2 66000 0 0 Alerian MLP Common 00162Q866 8 600 SH DFND 1 0 600 0 Allergan plc Common G0177J108 1837 8746 SH DFND 2 8746 0 0 AllianceBernstein Holdings LP Unit Ltd Common 01881G106 23 1000 SH DFND 1 0 1000 0 AllianceBernstein Holdings LP Unit Ltd Common 01881G106 35 1500 SH DFND 1 1500 0 0 Ambac Financial Group, Inc. Common 023139884 3835 170426 SH DFND 2 170426 0 0 Anadarko Petroleum Corporation Common 032511107 4519 64800 SH DFND 2 64800 0 0 Anadarko Petroleum Corporation Common 032511107 495 7100 SH DFND 1 0 7100 0 Anadarko Petroleum Corporation Common 032511107 618 8860 SH DFND 1 8860 0 0 Anchor Bancorp Common 032838104 136 5000 SH DFND 1 0 5000 0 Anchor Bancorp Common 032838104 197 7250 SH DFND 1 7250 0 0 Apple Inc. Common 037833100 2780 24000 SH DFND 2 24000 0 0 Apple Inc. Common 037833100 61 525 SH DFND 1 0 525 0 Apple Inc. Common 037833100 61 525 SH DFND 1 525 0 0 Aralez Pharmaceuticals Inc. Common 03852X100 166 37698 SH DFND 2 37698 0 0 AT&T Inc. Common 00206R102 87 2050 SH DFND 1 2050 0 0 Avadel Pharmaceuticals plc Common 05337M104 1035 99587 SH DFND 2 99587 0 0 Bancorp 34, Inc. Common 05970V106 126 10000 SH DFND 2 10000 0 0 Bank Nova Scotia Halifax Common 064149107 22 400 SH DFND 1 0 400 0 Canadian Natural Resources Ltd. Common 136385101 438 13750 SH DFND 1 0 13750 0 Canadian Natural Resources Ltd. Common 136385101 593 18600 SH DFND 1 18600 0 0 Capitol Federal Financial, Inc. Common 14057J101 11203 680600 SH DFND 2 680600 0 0 Capitol Federal Financial, Inc. Common 14057J101 66 4000 SH DFND 1 0 4000 0 Capitol Federal Financial, Inc. Common 14057J101 95 5800 SH DFND 1 5800 0 0 Check Cap Ltd. Common M2361E112 376 159871 SH DFND 2 159871 0 0 Check Cap Ltd. @7.50 Exp. 2/28/20 Common M2361E120 495 66059 SH DFND 2 66059 0 0 Chemours Co. Common 163851108 14 640 SH DFND 1 0 640 0 Chemours Co. Common 163851108 16 720 SH DFND 1 720 0 0 China Ceramics Co. Ltd. Common G2113X134 108 47195 SH DFND 2 47195 0 0 Coca Cola Inc. Common 191216100 240 5800 SH DFND 1 5800 0 0 Colony Financial Inc. Common 19624R106 20 1000 SH DFND 1 0 1000 0 Community Healthcare Trust Incorporated Common 20369C106 1382 60000 SH DFND 2 60000 0 0 Cousins Properties Inc. Common 222795106 114 13428 SH DFND 1 0 13428 0 CoreCivic, Inc. Common 21871N101 1835 75000 SH DFND 2 75000 0 0 Delta Air Lines, Inc. Common 247361702 1377 28000 SH DFND 2 28000 0 0 Dow Chemical Company Common 260543103 46 800 SH DFND 1 0 800 0 Du Pont E I De Nemours & Co Common 263534109 235 3200 SH DFND 1 0 3200 0 Du Pont E I De Nemours & Co Common 263534109 257 3500 SH DFND 1 3500 0 0 Eagle Materials Inc Common 26969P108 22 228 SH DFND 1 0 228 0 Eli Lilly & Co. Common 532457108 22 300 SH DFND 1 0 300 0 Entegra Financial Corp. Common 29363J108 618 30000 SH DFND 2 30000 0 0 Entegra Financial Corp. Common 29363J108 62 3000 SH DFND 1 0 3000 0 Entegra Financial Corp. Common 29363J108 149 7250 SH DFND 1 7250 0 0 FNB Corporation Common 302520101 143 8905 SH DFND 1 0 8905 0 FutureFuel Corporation Common 36116M106 762 54804 SH DFND 2 54804 0 0 General Electric Common 369604103 38 1200 SH DFND 1 0 1200 0 General Electric Common 369604103 110 3480 SH DFND 1 3480 0 0 Gilead Sciences, Inc. Common 375558103 370 5170 SH DFND 2 5170 0 0 GlaxoSmithKline plc Common 37733W105 870 22600 SH DFND 2 22600 0 0 Global Medical REIT, Inc Common 37954A204 687 77000 SH DFND 2 77000 0 0 Hertz Global Holdings Inc. Common 42806J106 539 25000 SH DFND 2 25000 0 0 Hospitality Properties Trust Common 44106M102 32 1000 SH DFND 1 0 1000 0 Independence Realty Trust, Inc. Common 45378A106 446 50000 SH DFND 2 50000 0 0 Innovative Industrial Properties, Inc. Common 45781V101 455 25000 SH DFND 2 25000 0 0 International Business Machines Corp Common 459200101 711 4284 SH DFND 1 0 4284 0 Iridium Communications, Inc. Common 46269C102 3245 338000 SH DFND 2 338000 0 0 Johnson & Johnson Common 478160104 253 2200 SH DFND 1 0 2200 0 Johnson & Johnson Common 478160104 585 5080 SH DFND 1 5080 0 0 JP Morgan Chase & Co Common 46625H100 759 8800 SH DFND 1 0 8800 0 JP Morgan Chase & Co Common 46625H100 1230 14250 SH DFND 1 14250 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 101230 996257 SH DFND 2 996257 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 187 1843 SH DFND 1 0 1843 0 Macquarie Infrastructure Common 55608B105 270 3300 SH DFND 1 3300 0 0 Medtronics Inc. Common G5960L103 75 1050 SH DFND 1 0 1050 0 Merck & Co. Inc. Common 58933Y105 29 500 SH DFND 1 0 500 0 Merck & Co. Inc. Common 58933Y105 47 800 SH DFND 1 800 0 0 Microsoft Corporation Common 594918104 4185 67350 SH DFND 2 67350 0 0 Microsoft Corporation Common 594918104 62 1000 SH DFND 1 0 1000 0 Microsoft Corporation Common 594918104 25 400 SH DFND 1 400 0 0 Mondelez Int'l Inc. Common 609207105 131 3000 SH DFND 1 0 3000 0 Mondelez Int'l Inc. Common 609207105 129 2900 SH DFND 1 2900 0 0 Novelion Therapeutics, Inc. Common 67001K202 919 109184 SH DFND 2 109184 0 0 Och-Ziff Capital Management Group Common 67551U105 7 2000 SH DFND 1 2000 0 0 Oritani Financial Corp Common 68633D103 38 2000 SH DFND 1 0 2000 0 Oritani Financial Corp Common 68633D103 109 5800 SH DFND 1 5800 0 0 Peoples United Financial Common 712704105 29 1500 SH DFND 1 0 1500 0 Pfizer Inc. Common 717081103 28864 888676 SH DFND 2 888676 0 0 Pfizer Inc. Common 717081103 844 26000 SH DFND 1 0 26000 0 Pfizer Inc. Common 717081103 1916 59000 SH DFND 1 59000 0 0 Physicians Realty Trust Common 71943U104 1058 55800 SH DFND 2 55800 0 0 RMR Group Inc. Common 74967R106 1 16 SH DFND 1 0 16 0 Rand Logistics, Inc. Common 752182105 551 664435 SH DFND 2 664435 0 0 Ryman Hospitality Ppty Inc. Common 78377T107 25 400 SH DFND 1 400 0 0 Standard Financial Corp. Common 853393106 504 20000 SH DFND 2 20000 0 0 Starwood Ppty Inc. Common 85571B105 9 400 SH DFND 1 400 0 0 Sunshine Bancorp, Inc. Common 86777J108 343 20000 SH DFND 2 20000 0 0 Sunshine Bancorp, Inc. Common 86777J108 34 2000 SH DFND 1 0 2000 0 Sunshine Bancorp, Inc. Common 86777J108 99 5800 SH DFND 1 5800 0 0 Synergy Pharmaceuticals, Inc. Common 871639308 965 158400 SH DFND 2 158400 0 0 The Kraft Heinz Company Common 500754106 611 7000 SH DFND 2 7000 0 0 The Kraft Heinz Company Common 500754106 163 1865 SH DFND 1 0 1865 0 The Kraft Heinz Company Common 500754106 265 3035 SH DFND 1 3035 0 0 TheStreet Inc. Common 88368Q103 86 100600 SH DFND 2 100600 0 0 Total SA Sponsored ADR Common 89151E109 148 2900 SH DFND 1 0 2900 0 Total SA Sponsored ADR Common 89151E109 120 2360 SH DFND 1 2360 0 0 Verizon Communications Inc. Common 92343V104 14 263 SH DFND 1 0 263 0 Verizon Communications Inc. Common 92343V104 70 1320 SH DFND 1 1320 0 0 Wheeler Real Estate Investment Trust, Inc. Common 963025606 705 30000 SH DFND 2 30000 0 0