Investment Manager

0001104659-18-067734.txt : 20181113 0001104659-18-067734.hdr.sgml : 20181113 20181113075507 ACCESSION NUMBER: 0001104659-18-067734 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181113 DATE AS OF CHANGE: 20181113 EFFECTIVENESS DATE: 20181113 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: 181175185 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 09-30-2018 09-30-2018 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. David M. Knott, Jr., as Co-Manager of Dorset Management Corp., is included with Dorset Management Corp. Knott David M Investment Manager 516-364-0303 /s/David M. Knott Syosset NY 11-13-2018 1 139 308229 false 2 0001203370 028-10281 DORSET MANAGEMENT CORP INFORMATION TABLE 2 a18-40122_1informationtable.xml INFORMATION TABLE AbbVie Inc. Common 00287Y109 4493 47500 SH DFND 2 47500 0 0 AbbVie Inc. Common 00287Y109 473 5000 SH DFND 1 0 5000 0 Abeona Therapeutics, Inc. Common 00289Y107 244 19050 SH DFND 2 19050 0 0 Acceleron Pharma, Inc. Common 00434H108 939 16400 SH DFND 2 16400 0 0 Affimed NV Common N01045108 104 24000 SH DFND 2 24000 0 0 Aimmune Therapeutics, Inc. Common 00900T107 1204 44152 SH DFND 2 44152 0 0 Alerian MLP Common 00162Q866 5 600 SH DFND 1 0 600 0 Alimera Sciences, Inc. Common 016259103 316 322900 SH DFND 2 322900 0 0 AllianceBernstein Holdings LP Unit Ltd Common 01881G106 1492 49000 SH DFND 1 0 49000 0 AllianceBernstein Holdings LP Unit Ltd Common 01881G106 46 1500 SH DFND 1 1500 0 0 Alnylam Pharmaceuticals, Inc Common 02043Q107 44 500 SH DFND 2 500 0 0 AMAG Pharmaceuticals, Inc. Common 00163U106 20 1000 SH DFND 2 1000 0 0 American Outdoor Brands Corporation Common 02874P103 5125 330000 SH DFND 2 330000 0 0 Anadarko Petroleum Corporation Common 032511107 4368 64800 SH DFND 2 64800 0 0 Anadarko Petroleum Corporation Common 032511107 479 7100 SH DFND 1 0 7100 0 Anadarko Petroleum Corporation Common 032511107 597 8860 SH DFND 1 8860 0 0 Anchor Bancorp Common 032511107 142 5000 SH DFND 1 0 5000 0 Anchor Bancorp Common 032511107 205 7250 SH DFND 1 7250 0 0 Apollo Global Management LLC Common 037612306 3628 105000 SH DFND 2 105000 0 0 Apple Inc. Common 037833100 5418 24000 SH DFND 2 24000 0 0 Apple Inc. Common 037833100 119 525 SH DFND 1 0 525 0 Apple Inc. Common 037833100 119 525 SH DFND 1 525 0 0 Arena Pharmaceuticals, Inc. Common 040047607 1725 37491 SH DFND 2 37491 0 0 AT&T Inc. Common 00206R102 672 20000 SH DFND 1 0 20000 0 AT&T Inc. Common 00206R102 69 2050 SH DFND 1 2050 0 0 Bank Nova Scotia Halifax Common 064149107 24 400 SH DFND 1 0 400 0 Bellicum Pharmaceuticals, Inc. Common 079481107 556 90327 SH DFND 2 90327 0 0 Biodelivery Sciences Intl Common 09060J106 1047 374000 SH DFND 2 374000 0 0 Bristol-Myers Squibb Company Common 110122108 138 2225 SH DFND 2 2225 0 0 Calumet Specialty Products Partners, LP Common 131476103 9329 1457731 SH DFND 2 1457731 0 0 Canadian Natural Resources Inc. Common 136385101 449 13750 SH DFND 1 0 13750 0 Canadian Natural Resources Inc. Common 136385101 607 18600 SH DFND 1 18600 0 0 Capitol Federal Financial, Inc. Common 14057J101 8671 680600 SH DFND 2 680600 0 0 Capitol Federal Financial, Inc. Common 14057J101 51 4000 SH DFND 1 0 4000 0 Capitol Federal Financial, Inc. Common 14057J101 74 5800 SH DFND 1 5800 0 0 Catalyst Pharmaceuticals, Inc. Common 14888U101 2092 553475 SH DFND 2 553475 0 0 Centerstate Banks Corp Common 15201P109 50 1780 SH DFND 1 0 1780 0 Centerstate Banks Corp Common 15201P109 145 5162 SH DFND 1 5162 0 0 Check Cap Ltd. Common M2361E203 54 13574 SH DFND 2 13574 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 25 640 SH DFND 1 0 640 0 Chemours Co. Common 163851108 28 720 SH DFND 1 720 0 0 China Ceramics Co Ltd. Common G2113X134 35 25493 SH DFND 1 25493 0 0 Coco Cola Common 191216100 351 7600 SH DFND 1 0 7600 0 Coco Cola Common 191216100 268 5800 SH DFND 1 5800 0 0 Coherus Biosciences, Inc. Common 19249H103 666 40369 SH DFND 2 40369 0 0 Colony Northstar Inc. Common 19625W104 9 1466 SH DFND 1 0 1466 0 Columbia Financial Inc. Common 197641103 390 23363 SH DFND 2 23363 0 0 Community Healthcare Trust Incorporated Common 20369C106 1859 60000 SH DFND 2 60000 0 0 Conagra Brands Common 205887102 340 10000 SH DFND 1 0 10000 0 Concert Pharmaceuticals, Inc. Common 206022105 979 66000 SH DFND 2 66000 0 0 Condor Hospitality Trust, Inc. Common 20676Y403 535 50000 SH DFND 2 50000 0 0 CoreCivic, Inc. Common 21871N101 1825 75000 SH DFND 2 75000 0 0 Cousins Properties Common 222795106 119 13428 SH DFND 1 0 13428 0 CymaBay Therapeutics, Inc. Common 23257D103 698 63000 SH DFND 2 63000 0 0 Dell Technologies, Inc. Common 24703L103 11654 120000 SH DFND 2 120000 0 0 Delta Air Lines, Inc. Common 247361702 3325 57500 SH DFND 2 57500 0 0 DowDupont Inc. Common 26078J100 2132 33158 SH DFND 1 0 33158 0 DowDupont Inc. Common 26078J100 288 4486 SH DFND 1 4486 0 0 Eagle Materials Common 26969P108 19 228 SH DFND 1 0 228 0 Editas Medicine Inc. Common 28106W103 255 8000 SH DFND 2 8000 0 0 Edwards Lifesciences Corporation Common 28176E108 503 2891 SH DFND 2 2891 0 0 Eiger BioPharmaceuticals, Inc. Common 28249U105 1208 100669 SH DFND 2 100669 0 0 Eli Lilly Inc. Common 532457108 32 300 SH DFND 1 0 300 0 Entegra Financial Corporation Common 29363J108 80 3000 SH DFND 1 0 3000 0 Entegra Financial Corporation Common 29363J108 192 7250 SH DFND 1 7250 0 0 Essential Properties Realty Trust, Inc. Common 29670E107 568 40000 SH DFND 2 40000 0 0 Fortress Trans & Infrastructure Inv. LLC Common 34960P101 9109 501064 SH DFND 2 501064 0 0 FNB Corporation Common 302520101 113 8905 SH DFND 1 0 8905 0 Ford Motor Company Common 345370860 46 5000 SH DFND 1 0 5000 0 General Electric Common 369604103 285 25200 SH DFND 1 0 25200 0 General Electric Common 369604103 39 3480 SH DFND 1 3480 0 0 General Motors Common 37045V100 168 5000 SH DFND 1 0 5000 0 Global Medical REIT, Inc. Ser A Cum Pfd. Common 37957W203 879 35000 SH DFND 2 35000 0 0 Heritage NOLA Bancorp Inc. Common 42727P108 38 3000 SH DFND 1 0 3000 0 Heritage NOLA Bancorp Inc. Common 42727P108 113 9000 SH DFND 1 9000 0 0 Horizon Pharma plc Common G4617B105 1442 73640 SH DFND 2 73640 0 0 Hospitality Properties Trust Common 44106M102 721 25000 SH DFND 1 0 25000 0 Immunomedics, Inc Common 452907108 620 29783 SH DFND 2 29783 0 0 Intec Pharma Ltd. Common M53644106 1602 283473 SH DFND 2 283473 0 0 International Business Machines Common 459200101 648 4284 SH DFND 1 0 4284 0 Iridium Communications, Inc. Common 46269C102 6336 281600 SH DFND 2 281600 0 0 JBS S.A. Common 466110103 907 195500 SH DFND 2 195500 0 0 Johnson & Johnson Common 478160104 304 2200 SH DFND 1 0 2200 0 Johnson & Johnson Common 478160104 702 5080 SH DFND 1 5080 0 0 JP Morgan & Chase Common 46625H100 993 8800 SH DFND 1 0 8800 0 JP Morgan & Chase Common 46625H100 1608 14250 SH DFND 1 14250 0 0 Karyopharm Therapeutics, Inc. Common 48576U106 545 32000 SH DFND 2 32000 0 0 Kimberly Clark Corporation Common 494368103 682 6000 SH DFND 1 0 6000 0 Ligand Pharmaceuticals Incorporated Common 53220K504 93930 342198 SH DFND 2 342198 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 506 1843 SH DFND 1 0 1843 0 LKQ Corporation Common 501889208 2375 75000 SH DFND 2 75000 0 0 Lowe's Companies Inc. Common 548661107 5167 45000 SH DFND 2 45000 0 0 Macquarie Infrastructure Corporation Common 55608B105 7547 163600 SH DFND 2 163600 0 0 Macquarie Infrastructure Corporation Common 55608B105 415 9000 SH DFND 1 0 9000 0 Macquarie Infrastructure Corporation Common 55608B105 152 3300 SH DFND 1 3300 0 0 Medtronics Inc. Common G5960L103 103 1050 SH DFND 1 0 1050 0 MEI Pharma, Inc. Common 55279B202 91 21000 SH DFND 2 21000 0 0 Merck & Co. Inc. Common 58993Y105 35 500 SH DFND 1 0 500 0 Merck & Co. Inc. Common 58993Y105 57 800 SH DFND 1 800 0 0 Microsoft Corporation Common 594918104 114 1000 SH DFND 1 0 1000 0 Microsoft Corporation Common 594918104 46 400 SH DFND 1 400 0 0 Mitel Networks Corp. Common 60671Q104 7904 717196 SH DFND 2 717196 0 0 Mondelez Int'l Inc. Common 609207105 558 13000 SH DFND 1 0 13000 0 Mondelez Int'l Inc. Common 609207105 125 2900 SH DFND 1 2900 0 0 MPLX LP Common 55336V100 10404 300000 SH DFND 2 300000 0 0 Newell Brands Inc. Common 651229106 4060 200000 SH DFND 2 200000 0 0 Novartis AG Common 66987V109 258 3000 SH DFND 2 3000 0 0 Novelion Therapeutics, Inc. Common 67001K202 323 109184 SH DFND 2 109184 0 0 Och-Ziff Capital Management Group Common 67551U105 3 2000 SH DFND 1 2000 0 0 Oracle Corporation Common 68389X105 7734 150000 SH DFND 2 150000 0 0 Oritani Financial Corp Common 68633D103 31 2000 SH DFND 1 0 2000 0 Oritani Financial Corp Common 68633D103 90 5800 SH DFND 1 5800 0 0 Pfizer Inc. Common 717081103 13445 305076 SH DFND 2 305076 0 0 Pfizer Inc. Common 717081103 4451 101000 SH DFND 1 0 101000 0 Pfizer Inc. Common 717081103 1939 44000 SH DFND 1 44000 0 0 Peoples United Financial Common 712704105 26 1500 SH DFND 1 0 1500 0 Quotient Limited Common G73268107 1261 167000 SH DFND 2 167000 0 0 RMR Group Inc. Common 74967R106 1 16 SH DFND 1 0 16 0 Radius Health Inc. Common 750469207 392 22000 SH DFND 2 22000 0 0 Ryman Hospitality Ppty Inc. Common 78377T107 1034 12000 SH DFND 1 0 12000 0 Ryman Hospitality Ppty Inc. Common 78377T107 34 400 SH DFND 1 400 0 0 Starwood Ppty Common 85571B105 9 400 SH DFND 1 400 0 0 Stemline Therapeutics, Inc. Common 85858C107 1748 105287 SH DFND 2 105287 0 0 The Howard Hughes Corporation Common 44267D107 2894 23300 SH DFND 2 23300 0 0 The Kraft Heinz Company Common 500754106 323 5865 SH DFND 1 0 5865 0 The Kraft Heinz Company Common 500754106 167 3035 SH DFND 1 3035 0 0 The Michaels Companies, Inc. Common 59408Q106 4869 300000 SH DFND 2 300000 0 0 Total SA Common 89151E109 187 2900 SH DFND 1 0 2900 0 Total SA Common 89151E109 152 2360 SH DFND 1 2360 0 0 Upland Software Inc. Common 91544A109 11309 350000 SH DFND 2 350000 0 0 Verizon Communications Inc. Common 92343V104 907 16991 SH DFND 1 0 16991 0 Verizon Communications Inc. Common 92343V104 70 1320 SH DFND 1 1320 0 0 Viking Therapeutics, Inc. Common 92686J106 4122 236600 SH DFND 2 236600 0 0 Viveve Medical, Inc. Common 92852W204 170 63449 SH DFND 2 63449 0 0 Wheeler Real Estate Investment Trust, Inc. Common 963025606 611 29165 SH DFND 2 29165 0 0 WP Carey Common 92936U109 386 6000 SH DFND 1 0 6000 0 Xenon Pharmaceuticals Inc. Common 98420N105 2289 173390 SH DFND 2 173390 0 0 Zogenix, Inc. Common 98978L204 1292 26039 SH DFND 2 26039 0 0