Investment Manager

0001104659-21-104658.txt : 20210813 0001104659-21-104658.hdr.sgml : 20210813 20210813082658 ACCESSION NUMBER: 0001104659-21-104658 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210813 DATE AS OF CHANGE: 20210813 EFFECTIVENESS DATE: 20210813 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: 211169836 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 06-30-2021 06-30-2021 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 08-13-2021 1 195 281340 false 2 0001203370 028-10281 DORSET MANAGEMENT CORP INFORMATION TABLE 2 a21-25042_1informationtable.xml INFORMATION TABLE AbbVie Inc. Common 00287Y109 338 3000 SH DFND 2 3000 0 AbbVie Inc. Common 00287Y109 563 5000 SH DFND 1 5000 0 African Gold Acquistion Corp. Common G0112R108 483 50000 SH DFND 2 50000 0 African Gold Acquistion Corp. Common G0112R108 174 18000 SH DFND 1 18000 0 African Gold Acquistion Corp. Warrants Common G0112R124 5175 450000 SH DFND 2 450000 0 African Gold Acquistion Corp. Warrants Common G0112R124 155 13500 SH DFND 1 13500 0 Alerian MLP Common 00162Q452 4 120 SH DFND 1 120 0 Alimera Sciences, Inc. Common 016259202 348 38226 SH DFND 2 38226 0 Alphabet Inc-Cl C Common 02079K107 14035 5600 SH DFND 2 5600 0 ALX Oncology Holdings Inc Common 01166B105 175 3200 SH DFND 2 3200 0 AllianceBernstein Holdings PL Unit Ltd Common 01881G106 70 1500 SH DFND 1 1500 0 AllianceBernstein Holdings PL Unit Ltd Common 01881G106 2281 49000 SH DFND 1 49000 0 Apollo Global Management, Inc. Common 03768E105 18660 300000 SH DFND 2 300000 0 Apple Inc. Common 037833100 288 2100 SH DFND 1 2100 0 ARC Resources Ltd Common 00208D408 10 1190 SH DFND 1 1190 0 ARC Resources Ltd Common 00208D408 1 158 SH DFND 1 158 0 ASLAN Pharmaceuticals Limited Common 04522R101 1578 478186 SH DFND 2 478186 0 AT&T Inc. Common 00206R102 1 50 SH DFND 1 50 0 AT&T Inc. Common 00206R102 576 20000 SH DFND 1 20000 0 Aurinia Pharmaceuticals Inc. Common 05156V102 2136 164840 SH DFND 2 164840 0 Avadel Pharmaceuticals plc Common 05337M104 2052 304922 SH DFND 2 304922 0 Bank Nova Scotia Halifax Common 064149107 26 400 SH DFND 1 400 0 B. Riley Principal 150 Merger Corp. Common 05601V103 1686 172963 SH DFND 2 172963 0 B. Riley Principal 150 Merger Corp. Common 05601V103 29 3000 SH DFND 1 3000 0 B. Riley Principal 150 Merger Corp. Common 05601V103 10 1000 SH DFND 1 1000 0 B. Riley Principal 150 Merger Corp. Wts Common 05601V111 663 57654 SH DFND 2 57654 0 B. Riley Principal 150 Merger Corp. Wts Common 05601V111 11 999 SH DFND 1 999 0 B. Riley Principal 150 Merger Corp. Wts Common 05601V111 4 333 SH DFND 1 333 0 B.Riley Principal 250 Merger Corp. Common 05601V103 3490 350000 SH DFND 2 350000 0 Bristol-Myers Squibb Company Common 110122108 2901 43409 SH DFND 2 43409 0 Brookline Capital Acq Corp. Warrants Common 11374E112 23 2000 SH DFND 2 2000 0 Brookline Capital Acquisition Corp. Common 11374E104 40 4000 SH DFND 2 4000 0 Butterfly Network, Inc. Common 124155102 663 45760 SH DFND 2 45760 0 Calumet Specialty Products Partners, LP Common 131476103 21285 3098300 SH DFND 2 3098300 0 Calumet Specialty Products Partners, LP Common 131476103 378 55000 SH DFND 1 55000 0 Canadian Natural Resources Inc. Common 136385101 663 18285 SH DFND 1 18285 0 Canadian Natural Resources Inc. Common 136385101 145 4000 SH DFND 1 4000 0 Capitol Investment Corp. V Warrants Common 14064F118 958 83333 SH DFND 2 83333 0 Capitol Federal Common 14057J101 45 3800 SH DFND 1 3800 0 Carparts.com Inc. Common 14427M107 75 3700 SH DFND 1 3700 0 Cidara Therapeutics, Inc. Common 171757107 839 415308 SH DFND 2 415308 0 Chemours Co. Common 163851108 17 480 SH DFND 1 480 0 Chemours Co. Common 163851108 15 440 SH DFND 1 440 0 Coca-Cola Common 191216100 314 5800 SH DFND 1 5800 0 Coca-Cola Common 191216100 411 7600 SH DFND 1 7600 0 Coherus Biosciences, Inc. Common 19249H103 1378 99655 SH DFND 2 99655 0 Conagra Brands Common 205887102 364 10000 SH DFND 1 10000 0 Coliseum Acquisition Corp. Common G2263T115 14672 1485000 SH DFND 2 1485000 0 Colombier Acquisition Corp Common 19533H207 794 80000 SH DFND 2 80000 0 Constellation Pharmaceuticals, Inc. Common 210373106 3107 91909 SH DFND 2 91909 0 Corteva Inc. Common 22052L104 44 982 SH DFND 1 982 0 Corteva Inc. Common 22052L104 490 11051 SH DFND 1 11051 0 Cousins Properties Common 222795502 123 3357 SH DFND 1 3357 0 CRISPR Therapeutics AG Common H17182108 324 2000 SH DFND 2 2000 0 CTI BioPharma Corp. Common 12648L601 150 60000 SH DFND 2 60000 0 Curis, Inc. Common 231269200 81 10000 SH DFND 2 10000 0 Danimer Scientific, Inc. Common 236272100 5010 200000 SH DFND 2 200000 0 Digital Bridge Group Common 25401T108 87 11000 SH DFND 1 11000 0 Digital Bridge Group Common 25401T108 12 1466 SH DFND 1 1466 0 Dow Inc. Common 260557103 95 1494 SH DFND 1 1494 0 Dow Inc. Common 260557103 672 10624 SH DFND 1 10624 0 Dupont De Nemours Inc. Common 26614N102 116 1494 SH DFND 1 1494 0 Dupont De Nemours Inc. Common 26614N102 822 10624 SH DFND 1 10624 0 Eagle Materials Common 26969P108 32 228 SH DFND 1 228 0 Eastern Bankshares Inc Common 27627N105 3908 190000 SH DFND 2 190000 0 Eastern Bankshares Inc Common 27627N105 206 10000 SH DFND 1 10000 0 Editas Medicine, Inc. Common 28106W103 57 1000 SH DFND 2 1000 0 Eiger BioPharmaceuticals, Inc. Common 28249U105 2441 286554 SH DFND 2 286554 0 Eli Lilly Inc. Common 532457108 69 300 SH DFND 1 300 0 FNB Corporation Common 302520101 110 8905 SH DFND 1 8905 0 Facebook Inc. Common 30303M102 344 990 SH DFND 1 990 0 Fortress Trans & Infrastructure Inv. LLC Common 34960P101 16698 497700 SH DFND 2 497700 0 FS Bancorp Common 30263Y104 151 2117 SH DFND 1 2117 0 FS Bancorp Common 30263Y104 104 1460 SH DFND 1 1460 0 FS KKR Capital Corp. Common 302635206 7529 350000 SH DFND 2 350000 0 FS KKR Capital Corp. Common 302635206 345 16050 SH DFND 1 16050 0 FS KKR Capital Corp. Common 302635206 626 29125 SH DFND 1 29125 0 Galapagos NV Common 36315X101 138 2000 SH DFND 2 2000 0 General Electric Common 369604103 31 2280 SH DFND 1 2280 0 General Electric Common 369604103 16 1200 SH DFND 1 1200 0 Gilead Sciences, Inc. Common 375558103 1066 15481 SH DFND 2 15481 0 Glass Houses Acquisition Corp. Common 37714P103 4815 500000 SH DFND 2 500000 0 Glass Houses Acquisition Corp. Warrants Common 37714P111 2875 250000 SH DFND 2 250000 0 Globus Medical, Inc. Common 379577208 359 4631 SH DFND 2 4631 0 HealthCor Catalio Acquisition Corp. Common G44125105 39 4000 SH DFND 2 4000 0 Heritage NOLA Bancorp Common 42727P108 128 9000 SH DFND 1 9000 0 Horizon Acquistion Corporation Common G46044106 2090 210100 SH DFND 2 210100 0 Horizon Therapeutics Public Ltd. Company Common G46188101 2996 32000 SH DFND 2 32000 0 Ibere Pharmaceuticals Common G46843101 348 36000 SH DFND 2 36000 0 Ibere Pharmaceuticals Warrants Common G46843119 207 18000 SH DFND 2 18000 0 Immunovant Inc. Common 45258J102 1028 97294 SH DFND 2 97294 0 Independence Holdings Common G4761A101 93 9500 SH DFND 1 9500 0 Independence Holdings Wts Common G4761A127 22 1900 SH DFND 1 1900 0 Innoviva, Inc. Common 45781M101 641 47798 SH DFND 2 47798 0 Inspired Entertainment, Inc. Common 45782N108 1275 100000 SH DFND 2 100000 0 International Business Machines Common 459200101 628 4284 SH DFND 1 4284 0 International Gaming Technologies Common G4863A108 2396 100000 SH DFND 2 100000 0 International Gaming Technologies Common G4863A108 180 7500 SH DFND 1 7500 0 Johnson & Johnson Common 478160104 837 5080 SH DFND 1 5080 0 Johnson & Johnson Common 478160104 165 1000 SH DFND 1 1000 0 JP Morgan Chase Common 46625H100 1936 12450 SH DFND 1 12450 0 JP Morgan Chase Common 46625H100 890 5720 SH DFND 1 5720 0 Jumia Technologies AG Common 48138M105 297 9800 SH DFND 1 9800 0 Kadmon Holdings, Inc. Common 48283N106 3244 838190 SH DFND 2 838190 0 Kairos Acquisition Corp. Common G52110114 3210 330963 SH DFND 2 330963 0 Kairos Acquisition Corp. Common G52110114 141 14500 SH DFND 1 14500 0 Kairos Acquisition Corp. Warrants Common G52110106 1602 139278 SH DFND 2 139278 0 Kairos Acquisition Corp. Warrants Common G52110106 83 7250 SH DFND 1 7250 0 Kennedy-Wilson Holdings, Inc. Common 489398107 4173 210000 SH DFND 2 210000 0 Kimberly Clark Corporation Common 494368103 803 6000 SH DFND 1 6000 0 KKR & Co. Inc. Common 48251W104 5924 100000 SH DFND 2 100000 0 Legacy Housing Corporation Common 52472M101 85 5000 SH DFND 1 5000 0 Legacy Housing Corporation Common 52472M101 68 4000 SH DFND 1 4000 0 Ligand Pharmaceuticals Incorporated Common 53220K504 9839 75000 SH DFND 2 75000 0 Live Oak Mobility Aquisition Corp. Common 538126103 3529 360152 SH DFND 2 360152 0 Live Oak Mobility Aquisition Corp. Wts Common 538126111 828 72030 SH DFND 2 72030 0 Longview Acquisition Corp II Common 54319Q105 626 63900 SH DFND 2 63900 0 Longview Acquisition Corp II Warrants Common 54319Q113 147 12780 SH DFND 2 12780 0 Marinus Pharmaceuticals, Inc. Common 56854Q200 1456 81166 SH DFND 2 81166 0 Macquire Infrastructure Corp Common 55608B105 126 3300 SH DFND 1 3300 0 Macquire Infrastructure Corp Common 55608B105 377 9850 SH DFND 1 9850 0 Medicus Science Acquisition, Corp. Common G59605108 1930 200000 SH DFND 2 200000 0 Medicus Science Acquisition, Corp. Wts Common G5960S124 256 22222 SH DFND 2 22222 0 Merck & Co. Inc. Common 58933Y105 62 800 SH DFND 1 800 0 Merck & Co. Inc. Common 58933Y105 39 500 SH DFND 1 500 0 Medtronics Common G5960L103 130 1050 SH DFND 1 1050 0 Microsoft Corporation Common 594918104 108 400 SH DFND 1 400 0 Microsoft Corporation Common 594918104 271 1000 SH DFND 1 1000 0 Midwest Holding Inc. Common 59833J206 6470 165000 SH DFND 2 165000 0 Mondelez Int'l Inc. Common 609207105 182 2900 SH DFND 1 2900 0 Mondelez Int'l Inc. Common 609207105 812 13000 SH DFND 1 13000 0 Occidental Pete Corp Common 674599105 35 1114 SH DFND 1 1114 0 Occidental Pete Corp Common 674599105 40 1273 SH DFND 1 1273 0 Occidental Pete Corp Wts exp 8/3/27 Common 674599162 5 212 SH DFND 1 212 0 Occidental Pete Corp Wts exp 8/3/27 Common 674599162 3 158 SH DFND 1 158 0 Organon & Co. Common 68622V106 2 80 SH DFND 1 80 0 Organon & Co. Common 68622V106 2 50 SH DFND 1 50 0 Peoples United Financial Common 712704105 26 1500 SH DFND 1 1500 0 Perrigo Company PLC Common G97822103 225 4915 SH DFND 2 4915 0 Pershing Square Holdings, Ltd Common 71531R109 6259 275000 SH DFND 2 275000 0 Pfizer Inc. Common 717081103 1210 30900 SH DFND 1 30900 0 Pfizer Inc. Common 717081103 3485 89000 SH DFND 1 89000 0 Poseida Therapeutics, Inc. Common 73730P108 296 29566 SH DFND 2 29566 0 Protara Therapeutics, Inc. Common 74365U107 352 36164 SH DFND 2 36164 0 Support.com, Inc. Common 86858W200 3345 866700 SH Put DFND 2 866700 0 Support.com, Inc. Common 86858W200 1911 495200 SH Put DFND 2 495200 0 Quotient Technology Inc. Common 749119103 1351 125000 SH DFND 2 125000 0 Regeneron Pharmaceuticals, Inc. Common 75886F107 3351 6000 SH DFND 2 6000 0 Relmada Therapeutics, Inc. Common 75955J402 192 6000 SH DFND 2 6000 0 Roth CH Acquisition III Co. Common 77867Q102 987 100000 SH DFND 2 100000 0 Roth CH Acquisition III Co. Warrants Common 77867Q110 288 25000 SH DFND 2 25000 0 RMR Group Inc. Common 74967R106 1 16 SH DFND 1 16 0 Ryman Hospitality Ppty Inc. Common 78377T107 32 400 SH DFND 1 400 0 Ryman Hospitality Ppty Inc. Common 78377T107 948 12000 SH DFND 1 12000 0 Sailpoint Technologies Common 78781P105 87 1700 SH DFND 1 1700 0 Sculptor Capital Management Common 811246107 5 200 SH DFND 1 200 0 Seelos Therapeutics, Inc. Common 81577F109 191 72367 SH DFND 2 72367 0 Service Ppty Trust Common 81761L102 13 1000 SH DFND 1 1000 0 Sio Gene Therapies, Inc. Common 829399104 218 80000 SH DFND 2 80000 0 South Street Corporation Common 840441109 127 1548 SH DFND 1 1548 0 South Street Corporation Common 840441109 44 534 SH DFND 1 534 0 SPDR S&P Biotech ETF Common 78464A870 108 800 SH DFND 2 800 0 Starwood Ppty Common 85571B105 10 400 SH DFND 1 400 0 Tastemaker Acquisition Corp. Common 876545104 1944 200000 SH DFND 2 200000 0 Tastemaker Acquisition Corp. Warrants Common 876545112 1150 100000 SH DFND 2 100000 0 Tempest Therapeutics, Inc. Common 87978U108 155 13833 SH DFND 2 13833 0 TG Therapeutics, Inc. Common 88322Q108 1954 50373 SH DFND 2 50373 0 The Kraft Company Common 500754106 110 2702 SH DFND 1 2702 0 The Kraft Company Common 500754106 49 1199 SH DFND 1 1199 0 Total SA Common 89151E109 89 1960 SH DFND 1 1960 0 Total SA Common 89151E109 23 500 SH DFND 1 500 0 T-Mobil US Inc. Common 872590104 101 700 SH DFND 1 700 0 Trillium Therapeutics Inc. Common 89620X506 1927 198699 SH DFND 2 198699 0 Twelve Seas Investment Company II Common 90118T106 4825 500000 SH DFND 2 500000 0 Twelve Seas Investment Company II Common 90118T106 145 15000 SH DFND 1 15000 0 Twelve Seas Investment Company II Warrants Common 90118T114 1917 166666 SH DFND 2 166666 0 Twelve Seas Investment Company II Warrants Common 90118T114 58 5000 SH DFND 1 5000 0 uniQure N.V. Common N90064101 1440 46766 SH DFND 2 46766 0 United Therapeutics Corporation Common 91307C102 2745 15300 SH DFND 2 15300 0 Up Fintech Holdings Common 91531W106 398 13736 SH DFND 1 13736 0 Upland Software, Inc. Common 91544A109 12351 300000 SH DFND 2 300000 0 Valley National Bancorp Common 919794107 125 9280 SH DFND 1 9280 0 Valley National Bancorp Common 919794107 43 3200 SH DFND 1 3200 0 Verizon Communications Common 92343V104 40 720 SH DFND 1 720 0 Verizon Communications Common 92343V104 952 16991 SH DFND 1 16991 0 Verrica Pharmaceuticals, Inc. Common 92511W108 16 1375 SH DFND 2 1375 0 Viatris Inc. Common 92556V106 11 794 SH DFND 1 794 0 Viking Therapeutics, Inc. Common 92686J106 1247 208102 SH DFND 2 208102 0 WABTEC Common 929740108 1 11 SH DFND 1 11 0 WABTEC Common 929740108 0 6 SH DFND 1 6 0 WP Carey Common 92936U109 448 6000 SH DFND 1 6000 0 Warrior Technologies Acquisition Comp Wt Common 936273119 144 12500 SH DFND 2 12500 0 Warrior Technologies Acquisition Company Common 936273101 242 25000 SH DFND 2 25000 0 Xenon Pharmaceuticals Inc. Common 98420N105 2617 140551 SH DFND 2 140551 0 Zogenix, Inc. Common 98978L204 2155 124688 SH DFND 2 124688 0