Investment Manager

0001104659-21-021703.txt : 20210212 0001104659-21-021703.hdr.sgml : 20210212 20210212142657 ACCESSION NUMBER: 0001104659-21-021703 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210212 DATE AS OF CHANGE: 20210212 EFFECTIVENESS DATE: 20210212 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: 21625790 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 12-31-2020 12-31-2020 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-President of Dorset Management Corp., is included with Dorset Management Corp.; and as Co-Managing Member of KPM LLC, which is the co-General Partner and the sole Managing General Partner of Knott Partners LP and sole General Partner of Shoshone Partners LP and of Dorset Opportunity Fund LP, shares voting power. Knott David M Investment Manager 516-364-0303 /s/ David M. Knott Syosset NY 02-12-2021 1 145 220973 false 2 0001203370 028-10281 DORSET MANAGEMENT CORP INFORMATION TABLE 2 a21-6531_1informationtable.xml INFORMATION TABLE AbbVie Inc. Common 00287Y109 2975 27769 SH DFND 2 27769 0 0 AbbVie Inc. Common 00287Y109 536 5000 SH DFND 2 5000 0 0 AC Immune SA Common H00263105 27 5309 SH DFND 2 5309 0 0 ADMA Biologics, Inc. Common 000899104 42 21457 SH DFND 2 21457 0 0 Alexion Pharamaceuticals, Inc. Common 015351109 1648 10545 SH DFND 2 10545 0 0 Alerian MLP Common 00162Q452 3 120 SH DFND 1 120 0 0 Alimera Sciences, Inc. Common 016259202 338 80194 SH DFND 2 80194 0 0 Alphabet Inc-Cl C Common 02079K107 9811 5600 SH DFND 2 5600 0 0 ALX Oncology. Inc Common 00166B105 276 3200 SH DFND 2 3200 0 0 AllianceBernstein Holding PL Unit Ltd. Common 01881G106 51 1500 SH DFND 1 1500 0 0 AllianceBernstein Holding PL Unit Ltd. Common 01881G106 1655 49000 SH DFND 1 49000 0 0 Apollo Global Management, Inc. Common 03768E105 14694 300000 SH DFND 2 300000 0 0 Apple Inc. Common 037833100 279 2100 SH DFND 1 2100 0 0 AT&T Inc. Common 00206R102 59 2050 SH DFND 1 2050 0 0 AT&T Inc. Common 00206R102 575 20000 SH DFND 1 20000 0 0 Aurinia Pharmaceuticals Inc. Common 05156V102 2455 177540 SH DFND 2 177540 0 0 Avadel Pharmaceuticals plc Common 05337M104 581 86916 SH DFND 2 86916 0 0 Axovant Gene Therapeutic, Ltd Common G0750W104 111 40000 SH DFND 2 40000 0 0 Bank Nova Scotia Halifax Common 064149107 22 400 SH DFND 1 400 0 0 BioCryst Pharmaceuticals, Inc. Common 09058V103 1635 219461 SH DFND 2 219461 0 0 BioDelivery Sciences International, Inc. Common 09060J106 1555 370230 SH DFND 2 370230 0 0 Bristol-Myers Squibb Company Common 110122108 3251 52409 SH DFND 2 52409 0 0 Bristol-Myers Squibb Company - CVR Common 110122157 45 64720 SH DFND 2 64720 0 0 Calumet Specialty Products Partners, LP Common 131476103 8216 2625000 SH DFND 2 2625000 0 0 Calumet Specialty Products Partners, LP Common 131476103 63 20000 SH DFND 1 20000 0 0 Canadian Natural Resources Inc. Common 136385101 440 18285 SH DFND 1 18285 0 0 Canadian Natural Resources Inc. Common 136385101 96 4000 SH DFND 1 4000 0 0 Capitol Investment Corp. V Common 14064F209 2575 250000 SH DFND 2 250000 0 0 Capitol Federal S&L Common 14057J101 73 5800 SH DFND 1 5800 0 0 Check Cap Ltd. Common M2361E203 1 2224 SH DFND 2 2224 0 0 Chemours Co. Common 163851108 18 720 SH DFND 1 720 0 0 Chemours Co. Common 163851108 11 440 SH DFND 1 440 0 0 Cidara Therapeutics, Inc. Common 171757107 831 415308 SH DFND 2 415308 0 0 Coca Cola Common 191216100 318 5800 SH DFND 1 5800 0 0 Coca Cola Common 191216100 417 7600 SH DFND 1 7600 0 0 Coherus Biosciences, Inc. Common 19249H103 1767 101655 SH DFND 2 101655 0 0 Colony Cap Inc. Common 19626G108 7 1466 SH DFND 1 1466 0 0 Conagra Brands Common 205887102 363 10000 SH DFND 1 10000 0 0 Constellation Phamaceuticals, Inc. Common 210373106 950 33000 SH DFND 2 33000 0 0 Corveta Inc. Common 22052L104 58 1494 SH DFND 1 1494 0 0 Corveta Inc. Common 22052L104 428 11051 SH DFND 1 11051 0 0 Cousins Properties Common 222795502 112 3357 SH DFND 1 3357 0 0 CTI BioPharma Corp. Common 12648L601 64 20000 SH DFND 2 20000 0 0 Danimer Scientific, Inc. Common 236272100 11755 500000 SH DFND 2 500000 0 0 DFP Healthcare Acquistions Corp. Common 23343Q209 11 1000 SH DFND 2 1000 0 0 Dow Inc. Common 260557103 83 1494 SH DFND 1 1494 0 0 Dow Inc. Common 260557103 590 10624 SH DFND 1 10624 0 0 Dupont De Nemours Inc. Common 26614N102 106 1494 SH DFND 1 1494 0 0 Dupont De Nemours Inc. Common 26614N102 755 10624 SH DFND 1 10624 0 0 Eagle Materials Common 26969P108 23 228 SH DFND 1 228 0 0 Eastern Bankshares Inc Common 27627N105 3099 190000 SH DFND 2 190000 0 0 Eastern Bankshares Inc Common 27627N105 163 10000 SH DFND 1 10000 0 0 Editas Medicine Inc. Common 28106W103 421 6000 SH DFND 2 6000 0 0 Eiger BioPharmaceuticals, Inc. Common 28249U105 3626 295035 SH DFND 2 295035 0 0 Eli Lilly Inc. Common 532457108 51 300 SH DFND 1 300 0 0 FibroGen, Inc. Common 31572Q808 371 10000 SH DFND 2 10000 0 0 FNB Corporation Common 302520101 85 8905 SH DFND 1 8905 0 0 Fortress Trans & Infrastructure Inv. LLC Common 34960P101 16422 700000 SH DFND 2 700000 0 0 FS Bancorp Common 30263Y104 116 2117 SH DFND 1 2117 0 0 FS Bancorp Common 30263Y104 80 1460 SH DFND 1 1460 0 0 FS KKR Capital Corp. Common 302635206 5796 350000 SH DFND 2 350000 0 0 FS KKR Capital Corp. Common 302635206 266 16050 SH DFND 1 16050 0 0 FS KKR Capital Corp. Common 302635206 482 29125 SH DFND 1 29125 0 0 General Electric Common 369604103 38 3480 SH DFND 1 3480 0 0 General Electric Common 369604103 13 1200 SH DFND 1 1200 0 0 Gilead Sciences, Inc. Common 375558103 3778 64842 SH DFND 2 64842 0 0 Globus Medical, Inc. Common 379577208 302 4631 SH DFND 2 4631 0 0 Heritage NOLA Bancorp Inc. Common 42727P108 110 9000 SH DFND 1 9000 0 0 Horizon Aquistion Corporation Common G46049105 2105 210100 SH DFND 2 210100 0 0 Horizon Therapeutics Public Ltd. Company Common G46188101 3117 42614 SH DFND 2 42614 0 0 International Business Machines Common 459200101 539 4284 SH DFND 1 4284 0 0 International Gaming Technologies Common G4863A108 1694 100000 SH DFND 2 100000 0 0 International Gaming Technologies Common G4863A108 127 7500 SH DFND 1 7500 0 0 iPath Series B S&P 500 VIX Short-Term Fut Common 06746P621 3358 200000 SH DFND 2 200000 0 0 iShares Nasdaq Biotechnology ETF Common 464287556 151 1000 SH DFND 2 1000 0 0 Johnson & Johnson Common 478160104 799 5080 SH DFND 1 5080 0 0 Johnson & Johnson Common 478160104 157 1000 SH DFND 1 1000 0 0 JP Morgan Chase Common 46625H100 1811 14250 SH DFND 1 14250 0 0 JP Morgan Chase Common 46625H100 727 5720 SH DFND 1 5720 0 0 Kadmon Holdings, Inc. Common 48283N106 2913 702000 SH DFND 2 702000 0 0 Kimberly Clark Corporation Common 494368103 809 6000 SH DFND 1 6000 0 0 Kennedy-Wilson Holdings, Inc. Common 489398107 3757 210000 SH DFND 2 210000 0 0 KKR & Co. Inc. Common 48251W104 4049 100000 SH DFND 2 100000 0 0 Leap Therapeutics, Inc. Common 52187K101 22 9700 SH DFND 2 9700 0 0 Legacy Housing Corporation Common 52472M101 76 5000 SH DFND 1 5000 0 0 Legacy Housing Corporation Common 52472M101 60 4000 SH DFND 1 4000 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 23589 237198 SH DFND 2 237198 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 895 9000 SH DFND 1 9000 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 183 1843 SH DFND 1 1843 0 0 LKQ Corporation Common 501889208 4229 120000 SH DFND 2 120000 0 0 Longview Aquisition Corp. Common 543195101 364 18380 SH DFND 2 18380 0 0 Marinus Pharmaceutical, Inc. Common 56854Q200 305 25000 SH DFND 2 25000 0 0 Macquarie Infrastructure Corporation Common 55608B105 124 3300 SH DFND 1 3300 0 0 Macquarie Infrastructure Corporation Common 55608B105 370 9850 SH DFND 1 9850 0 0 Medtronics Common G5960L103 123 1050 SH DFND 1 1050 0 0 Merck & Co. Inc. Common 58993Y105 65 800 SH DFND 1 800 0 0 Merck & Co. Inc. Common 58993Y105 41 500 SH DFND 1 500 0 0 Microsoft Corporation Common 594918104 89 400 SH DFND 1 400 0 0 Microsoft Corporation Common 594918104 222 1000 SH DFND 1 1000 0 0 Midwest Holdings Inc. Common 59833J206 7705 143621 SH DFND 2 143621 0 0 Mondelez Int'l Inc. Common 609207105 170 2900 SH DFND 1 2900 0 0 Mondelez Int'l Inc. Common 609207105 760 13000 SH DFND 1 13000 0 0 MPLX LP Common 55336V100 2165 100000 SH DFND 2 100000 0 0 Occidental Pete Corp Common 674599105 29 1700 SH DFND 1 1700 0 0 Occidental Pete Corp Common 674599105 22 1273 SH DFND 1 1273 0 0 Occidental Pete Corp Wts exp 8/3/27 Common 674599162 5 212 SH DFND 1 212 0 0 Occidental Pete Corp Wts exp 8/3/27 Common 674599162 3 158 SH DFND 1 158 0 0 Peoples United Financial Common 712704105 19 1500 SH DFND 1 1500 0 0 Pfizer Inc. Common 717081103 1137 30900 SH DFND 1 30900 0 0 Pfizer Inc. Common 717081103 3276 89000 SH DFND 1 89000 0 0 Protara Therapeutics, Inc. Common 74365U107 348 14369 SH DFND 2 14369 0 0 Quotient Technology Inc. Common 749119103 471 50000 SH DFND 2 50000 0 0 Radius Health Inc. Common 750469207 447 25034 SH DFND 2 25034 0 0 Reinvent Technology Partners Common G7483N129 2037 176226 SH DFND 2 176226 0 0 Relmada Therapeutics, Inc. Common 75955J402 96 3000 SH DFND 2 3000 0 0 RMR Group Inc. Common 74967R106 1 16 SH DFND 1 16 0 0 Ryman Hospitality Ppty Inc. Common 78377T107 27 400 SH DFND 1 400 0 0 Ryman Hospitality Ppty Inc. Common 78377T107 813 12000 SH DFND 1 12000 0 0 Sculptor Capital Management Common 811246107 3 200 SH DFND 1 200 0 0 Service Ppty Trust Common 81761L102 11 1000 SH DFND 1 1000 0 0 South Street Corporation Common 840441109 112 1548 SH DFND 1 1548 0 0 South Street Corporation Common 840441109 39 534 SH DFND 1 534 0 0 Starwood Ppty Common 85571B105 8 400 SH DFND 1 400 0 0 Strongbridge Biopharma PLC Common BY25XL9US 647 266194 SH DFND 2 266194 0 0 TG Therapeutics Inc. Common 88322Q108 2641 50773 SH DFND 2 50773 0 0 Trillium Therapeutics Inc. Common 89620X506 2570 174699 SH DFND 2 174699 0 0 The Kraft Heinz Company Common 500754106 105 3035 SH DFND 1 3035 0 0 The Kraft Heinz Company Common 500754106 42 1199 SH DFND 1 1199 0 0 Total SA Common 89151E109 99 2360 SH DFND 1 2360 0 0 Total SA Common 89151E109 21 500 SH DFND 1 500 0 0 uniQure N.V. Common N90064101 1265 35000 SH DFND 2 35000 0 0 Upland Software, Inc. Common 91544A109 18654 406500 SH DFND 2 406500 0 0 Valley National Bancorp Common 919794107 90 9280 SH DFND 1 9280 0 0 Valley National Bancorp Common 919794107 31 3200 SH DFND 1 3200 0 0 Vapotherm, Inc. Common 922107107 1316 49000 SH DFND 2 49000 0 0 Verizon Communications Common 92343V104 78 1320 SH DFND 1 1320 0 0 Verizon Communications Common 92343V104 998 16991 SH DFND 1 16991 0 0 Verrica Pharmaceuticals, Inc. Common 92511W108 881 76585 SH DFND 2 76585 0 0 Viatris Inc. Common 92556V106 5 80 SH DFND 1 80 0 0 Viking Therapeutics, Inc. Common 92686J106 1228 218102 SH DFND 2 218102 0 0 WABTEC Common 929740108 1 17 SH DFND 1 17 0 0 WABTEC Common 929740108 0 6 SH DFND 1 6 0 0 WP Carey Common 92936U109 423 6000 SH DFND 1 6000 0 0 Xenon Pharmaceuticals Inc. Common 98420N105 3076 200000 SH DFND 2 200000 0 0 Zogenix, Inc. Common 98978L204 2253 112707 SH DFND 2 112707 0 0