Investment Manager

0001104659-21-137652.txt : 20211112 0001104659-21-137652.hdr.sgml : 20211112 20211112091300 ACCESSION NUMBER: 0001104659-21-137652 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211112 DATE AS OF CHANGE: 20211112 EFFECTIVENESS DATE: 20211112 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: 211400344 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 09-30-2021 09-30-2021 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 11-12-2021 1 197 275201 false 2 0001203370 028-10281 DORSET MANAGEMENT CORP INFORMATION TABLE 2 a21-32581_1informationtable.xml INFORMATION TABLE AbbVie Inc. Common 00287Y109 324 3000 SH DFND 2 3000 0 0 AbbVie Inc. Common 00287Y109 539 5000 SH DFND 1 5000 0 0 Acceleron Pharma, Inc. Common 00434H108 172 1000 SH DFND 2 1000 0 0 African Gold Acquistion Corp. Warrants Common G0112R124 5175 450000 SH DFND 2 450000 0 0 African Gold Acquistion Corp. Warrants Common G0112R124 155 13500 SH DFND 1 13500 0 0 African Gold Acquistion Corp. Common G0112R108 175 18000 SH DFND 1 18000 0 0 Alerian MLP Common 00162Q452 4 120 SH DFND 1 120 0 0 Alimera Sciences, Inc. Common 016259202 162 38226 SH DFND 2 38226 0 0 AllianceBernstein Holdings PL Unit Ltd. Common 01881G106 74 1500 SH DFND 1 1500 0 0 AllianceBernstein Holdings PL Unit Ltd. Common 01881G106 2429 49000 SH DFND 1 49000 0 0 Alphabet Inc-Cl C Common 02079K107 14926 5600 SH DFND 2 5600 0 0 ALX Oncology Holdings Inc Common 01166B105 236 3200 SH DFND 2 3200 0 0 American Outdoor Brands Common 028750109 25 1024 SH DFND 1 1024 0 0 Apollo Global Management, Inc. Common 03768E105 15398 250000 SH DFND 2 250000 0 0 Apple Inc. Common 037833100 297 2100 SH DFND 1 2100 0 0 ASLAN Pharmaceuticals Limited Common 04522R101 851 478186 SH DFND 2 478186 0 0 AT&T Inc. Common 00206R102 3 125 SH DFND 1 125 0 0 AT&T Inc. Common 00206R102 540 20000 SH DFND 1 20000 0 0 Aurinia Pharmaceuticals Inc. Common 05156V102 1392 62896 SH DFND 2 62896 0 0 Avadel Pharmaceuticals plc Common 05337M104 2958 301864 SH DFND 2 301864 0 0 Bank Nova Scotia Halifax Common 064149107 25 400 SH DFND 1 400 0 0 B. Riley Principal 150 Merger Corp. Common 05601V103 29 3000 SH DFND 1 3000 0 0 B. Riley Principal 150 Merger Corp. Common 05601V103 1686 172963 SH DFND 2 172963 0 0 B. Riley Principal 150 Merger Corp. Common 05601V103 10 1000 SH DFND 1 1000 0 0 B. Riley Principal 150 Merger Corp. Wts Common 05601V111 663 57654 SH DFND 2 57654 0 0 B. Riley Principal 150 Merger Corp. Wts Common 05601V111 11 999 SH DFND 1 999 0 0 B. Riley Principal 150 Merger Corp. Wts Common 05601V111 4 333 SH DFND 1 333 0 0 B.Riley Principal 250 Merger Corp. Common 05602L104 3395 350000 SH DFND 2 350000 0 0 B.Riley Principal 250 Merger Corp. Wts. Common 05602L112 1342 116666 SH DFND 2 116666 0 0 Bristol-Myers Squibb Company Common 110122108 2509 42409 SH DFND 2 42409 0 0 Brookline Capital Acq Corp. Warrants Common 11374E112 23 2000 SH DFND 2 2000 0 0 Brookline Capital Acquisition Corp. Common 11374E104 40 4000 SH DFND 2 4000 0 0 Butterfly Network, Inc. Common 124155102 478 45760 SH DFND 2 45760 0 0 Calumet Specialty Products Partners, LP Common 131476103 27685 3500000 SH DFND 2 3500000 0 0 Calumet Specialty Products Partners, LP Common 131476103 534 67500 SH DFND 1 67500 0 0 Canadian Natural Resources Inc. Common 136385101 690 18885 SH DFND 1 18885 0 0 Capitol Federal Common 14057J101 46 4000 SH DFND 1 4000 0 0 Carparts.com Inc. Common 14427M107 58 3700 SH DFND 1 3700 0 0 Cidara Therapeutics, Inc. Common 171757107 930 415308 SH DFND 2 415308 0 0 Chemours Co. Common 163851108 14 480 SH DFND 1 480 0 0 Chemours Co. Common 163851108 13 440 SH DFND 1 440 0 0 Coca Cola Common 191216100 304 5800 SH DFND 1 5800 0 0 Coca Cola Common 191216100 399 7600 SH DFND 1 7600 0 0 Codexis, Inc. Common 192005106 233 10000 SH DFND 2 10000 0 0 Coherus Biosciences, Inc. Common 19249H103 1648 102555 SH DFND 2 102555 0 0 Coliseum Acquisition Corp Common G2263T123 9563 984835 SH DFND 2 984835 0 0 Coliseum Acquisition Corp. Wts Common G2263T107 5693 495000 SH DFND 2 495000 0 0 Colombier Acquisition Corp. Common 19533H108 774 80000 SH DFND 2 80000 0 0 Colombier Acquisition Corp. Wts. Common 19533H116 307 26666 SH DFND 2 26666 0 0 Conagra Brands Common 205887102 339 10000 SH DFND 1 10000 0 0 Corteva Inc. Common 22052L104 43 1024 SH DFND 1 1024 0 0 Corteva Inc. Common 22052L104 465 11051 SH DFND 1 11051 0 0 CRISPR Therapeutics AG Common H17182108 224 2000 SH DFND 2 2000 0 0 CTI BioPharma Corp. Common 12648L601 177 60000 SH DFND 2 60000 0 0 Curis, Inc. Common 231269200 78 10000 SH DFND 2 10000 0 0 Danimer Scientific, Inc. Common 236272100 3268 200000 SH DFND 2 200000 0 0 Digital Bridge Group Common 25401T108 66 11000 SH DFND 1 11000 0 0 Digital Bridge Group Common 25401T108 9 1466 SH DFND 1 1466 0 0 Dow Inc. Common 260557103 88 1536 SH DFND 1 1536 0 0 Dow Inc. Common 260557103 612 10624 SH DFND 1 10624 0 0 Dupont De Nemours Inc. Common 26614N102 104 1536 SH DFND 1 1536 0 0 Dupont De Nemours Inc. Common 26614N102 722 10624 SH DFND 1 10624 0 0 Doma Holdings, Inc. - Warrants Common 25703A112 958 83333 SH DFND 2 83333 0 0 Eagle Materials Common 26969P108 30 228 SH DFND 1 228 0 0 Eastern Bankshares Inc Common 27627N105 3857 190000 SH DFND 2 190000 0 0 Eiger BioPharmaceuticals, Inc. Common 28249U105 2087 312492 SH DFND 2 312492 0 0 Eli Lilly Inc. Common 532457108 69 300 SH DFND 1 300 0 0 Facebook Inc. Common 30303M102 336 990 SH DFND 1 990 0 0 FNB Bancorp Common 302520101 103 8905 SH DFND 1 8905 0 0 Fortress Trans & Infrastructure Inv. LLC Common 34960P101 12632 497700 SH DFND 2 497700 0 0 FS Bancorp Common 30263Y104 152 4380 SH DFND 1 4380 0 0 FS Bancorp Common 30263Y104 101 2920 SH DFND 1 2920 0 0 FS KKR Capital Corp. Common 302635206 3408 154650 SH DFND 2 154650 0 0 FS KKR Capital Corp. Common 302635206 354 16050 SH DFND 1 16050 0 0 FS KKR Capital Corp. Common 302635206 642 29125 SH DFND 1 29125 0 0 Galapagos NV Common 36315X101 105 2000 SH DFND 2 2000 0 0 Gilead Sciences, Inc. Common 375558103 1081 15481 SH DFND 2 15481 0 0 General Electric Common 369604103 31 300 SH DFND 1 300 0 0 General Electric Common 369604103 15 150 SH DFND 1 150 0 0 Glass Houses Acquisition Corp. Common 37714P103 4890 500000 SH DFND 2 500000 0 0 Glass Houses Acquisition Corp. Warrants Common 37714P111 2875 250000 SH DFND 2 250000 0 0 Globus Medical, Inc. Common 379577208 355 4631 SH DFND 2 4631 0 0 Greenidge Generation Holdings Inc. Common 39531G100 5721 224000 SH DFND 2 224000 0 0 Greenidge Generation Holdings Inc. Common 39531G950 75 2937 SH Put DFND 2 2937 0 0 Greenidge Generation Holdings Inc. Common 39531G950 932 36487 SH Put DFND 2 36487 0 0 Greenidge Generation Holdings Inc. Common 39531G950 431 16885 SH Put DFND 2 16885 0 0 Greenidge Generation Holdings Inc. Common 39531G950 281 11000 SH Put DFND 2 11000 0 0 Greenidge Generation Holdings Inc. Common 39531G950 562 22000 SH Put DFND 2 22000 0 0 Greenidge Generation Holdings Inc. Common 39531G950 140 5500 SH Put DFND 2 5500 0 0 Greenidge Generation Holdings Inc. Common 39531G950 6385 250000 SH Put DFND 2 250000 0 0 Greenidge Generation Holdings Inc. Common 39531G950 2656 104000 SH Put DFND 2 104000 0 0 HealthCor Catalio Acquisition Corp. Common G44125105 40 4000 SH DFND 2 4000 0 0 Heritiage NOLA Bancorp Common 42727P108 139 9000 SH DFND 1 9000 0 0 Horizon Acquistion Corporation Common G46049105 2097 210100 SH DFND 2 210100 0 0 Horizon Therapeutics Public Ltd. Company Common G46188101 2191 20000 SH DFND 2 20000 0 0 Ibere Pharmaceuticals Common G46843101 349 36000 SH DFND 2 36000 0 0 Ibere Pharmaceuticals Warrants Common G46843119 207 18000 SH DFND 2 18000 0 0 Immunovant Inc. Common 45258J102 370 42600 SH DFND 2 42600 0 0 Incyte Corporation Common 45337C102 1821 26475 SH DFND 2 26475 0 0 Independence Holdings Common G4761A101 93 9500 SH DFND 1 9500 0 0 Independence Holdings Warrants Common G4761A127 22 1900 SH DFND 1 1900 0 0 Innoviva, Inc. Common 45781M101 1926 115269 SH DFND 2 115269 0 0 Interantional Gaming Technologies Common G4863A108 79 3000 SH DFND 1 3000 0 0 Interantional Gaming Technologies Common G4863A108 197 7500 SH DFND 1 7500 0 0 Iovance Biotherapeutics, Inc. Common 462260100 99 4000 SH DFND 2 4000 0 0 Johnson & Johnson Common 478160104 840 5200 SH DFND 1 5200 0 0 JP Morgan Chase Common 46625H100 2000 12220 SH DFND 1 12220 0 0 JP Morgan Chase Common 46625H100 740 4520 SH DFND 1 4520 0 0 Jumia Technologies AG Common 48138M105 182 9800 SH DFND 1 9800 0 0 Kadmon Holdings, Inc. Common 48283N106 8618 989450 SH DFND 2 989450 0 0 Kairos Acquisition Corp. Common G52110114 3200 330963 SH DFND 2 330963 0 0 Kairos Acquisition Corp. Common G52110114 140 14500 SH DFND 1 14500 0 0 Kairos Acquisition Corp. Warrants Common G52110106 1602 139278 SH DFND 2 139278 0 0 Kairos Acquisition Corp. Warrants Common G52110106 83 7250 SH DFND 1 7250 0 0 Kennedy-Wilson Holdings, Inc. Common 489398107 4393 210000 SH DFND 2 210000 0 0 Kimberly Clark Corporation Common 494368103 795 6000 SH DFND 1 6000 0 0 KKR & Co. Inc. Common 48251W104 3044 50000 SH DFND 2 50000 0 0 Legacy Housing Corporation Common 52472M101 90 5000 SH DFND 1 5000 0 0 Legacy Housing Corporation Common 52472M101 72 4000 SH DFND 1 4000 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 10449 75000 SH DFND 2 75000 0 0 Live Oak Mobility Aquisition Corp. Common 538126103 3483 360152 SH DFND 2 360152 0 0 Live Oak Mobility Aquisition Corp. Wts Common 538126111 828 72030 SH DFND 2 72030 0 0 Longview Acquisition Corp II Common 54319Q105 632 63900 SH DFND 2 63900 0 0 Longview Acquisition Corp II Warrants Common 54319Q113 147 12780 SH DFND 2 12780 0 0 Marinus Pharmaceuticals, Inc. Common 56854Q200 924 81166 SH DFND 2 81166 0 0 Macquire Infrastructure Corp Common 556088105 142 3500 SH DFND 1 3500 0 0 Macquire Infrastructure Corp Common 556088105 400 9850 SH DFND 1 9850 0 0 Medicus Science Acquisition, Corp. Common G5960S108 1950 200000 SH DFND 2 200000 0 0 Medicus Science Acquisition, Corp. Wts Common G5960S124 256 22222 SH DFND 2 22222 0 0 Merck & Co. Inc. Common 58933Y105 73 975 SH DFND 1 975 0 0 Merck & Co. Inc. Common 58933Y105 38 500 SH DFND 1 500 0 0 Medtronics Common G5960L103 132 1050 SH DFND 1 1050 0 0 Microsoft Corporation Common 594918104 113 400 SH DFND 1 400 0 0 Microsoft Corporation Common 594918104 282 1000 SH DFND 1 1000 0 0 Midwest Holding Inc. Common 59833J206 6613 170000 SH DFND 2 170000 0 0 Mondelez Int'l Inc. Common 609207105 175 3000 SH DFND 1 3000 0 0 Mondelez Int'l Inc. Common 609207105 756 13000 SH DFND 1 13000 0 0 Occidental Pete Corp Common 674599105 33 1114 SH DFND 1 1114 0 0 Occidental Pete Corp Common 674599105 20 687 SH DFND 1 687 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 2 85 SH DFND 1 85 0 0 Organon & Co. Common 68622V106 3 97 SH DFND 1 97 0 0 Organon & Co. Common 68622V106 2 50 SH DFND 1 50 0 0 Peoples United Financial Common 712704105 26 1500 SH DFND 1 1500 0 0 Pfizer Inc. Common 717081103 1372 31900 SH DFND 1 31900 0 0 Pfizer Inc. Common 717081103 3553 82600 SH DFND 1 82600 0 0 Poseida Therapeutics, Inc. Common 73730P108 216 29566 SH DFND 2 29566 0 0 Protara Therapeutics, Inc. Common 74365U107 252 36479 SH DFND 2 36479 0 0 Quotient Technology Inc. Common 749119103 728 125000 SH DFND 2 125000 0 0 Regeneron Pharmaceuticals, Inc. Common 75886F107 3631 6000 SH DFND 2 6000 0 0 Relmada Therapeutics, Inc. Common 75955J402 157 6000 SH DFND 2 6000 0 0 Roth CH Acquisition III Co. Common 77867Q102 994 100000 SH DFND 2 100000 0 0 Roth CH Acquisition III Co. Warrants Common 77867Q110 288 25000 SH DFND 2 25000 0 0 RMR Group Inc. Common 74967R106 1 16 SH DFND 1 16 0 0 Ryman Hospitality Ppty Inc Common 78377T107 33 400 SH DFND 1 400 0 0 Ryman Hospitality Ppty Inc Common 78377T107 1004 12000 SH DFND 1 12000 0 0 Sailpoint Technologies Common 78781P105 73 1700 SH DFND 1 1700 0 0 Schmitt Industries Common 806870200 11 2500 SH DFND 1 2500 0 0 Sculptor Capital Management Common 811246107 6 200 SH DFND 1 200 0 0 Seelos Therapeutics, Inc. Common 81577F109 174 72367 SH DFND 2 72367 0 0 Service Ppty Trust Common 81761L102 11 1000 SH DFND 1 1000 0 0 Sio Gene Therapies, Inc. Common 829399104 174 80000 SH DFND 2 80000 0 0 Smith & Wesson Brands Common 831754106 85 4097 SH DFND 1 4097 0 0 South Street Corporation Common 840441109 120 1601 SH DFND 1 1601 0 0 South Street Corporation Common 840441109 40 534 SH DFND 1 534 0 0 SPDR S&P Biotech ETF Common 78464A870 101 800 SH DFND 2 800 0 0 Starwood Ppty Common 85571B105 10 400 SH DFND 1 400 0 0 Tastemaker Acquisition Corp. Common 876545104 1972 200000 SH DFND 2 200000 0 0 Tastemaker Acquisition Corp. Warrants Common 876545112 1150 100000 SH DFND 2 100000 0 0 Tempest Therapeutics, Inc. Common 879784108 78 5359 SH DFND 2 5359 0 0 TG Therapeutics, Inc. Common 88322Q108 1650 49592 SH DFND 2 49592 0 0 The Kraft Company Common 500754106 101 2732 SH DFND 1 2732 0 0 Total SA Common 89151E109 96 2000 SH DFND 1 2000 0 0 Total SA Common 89151E109 24 500 SH DFND 1 500 0 0 T-Mobil US Inc. Common 872590104 89 700 SH DFND 1 700 0 0 Trillium Therapeutics Inc. Common 89620X506 3489 198699 SH DFND 2 198699 0 0 Twelve Seas Investment Company II Common 90118T106 4858 500000 SH DFND 2 500000 0 0 Twelve Seas Investment Company II Common 90118T106 146 15000 SH DFND 1 15000 0 0 Twelve Seas Investment Company II Warrants Common 90118T114 1917 166666 SH DFND 2 166666 0 0 Twelve Seas Investment Company II Warrants Common 90118T114 58 5000 SH DFND 1 5000 0 0 uniQure N.V. Common N90064101 1497 46766 SH DFND 2 46766 0 0 United Therapeutics Corporation Common 91307C102 2824 15300 SH DFND 2 15300 0 0 UP Fintech Holdings Common 91531W106 145 13736 SH DFND 1 13736 0 0 Upland Software, Inc. Common 91544A109 10032 300000 SH DFND 2 300000 0 0 Valley National Bancorp Common 919794107 128 9600 SH DFND 1 9600 0 0 Valley National Bancorp Common 919794107 43 3200 SH DFND 1 3200 0 0 Verizon Communications Common 92343V104 54 1000 SH DFND 1 1000 0 0 Verizon Communications Common 92343V104 918 16991 SH DFND 1 16991 0 0 Viking Therapeutics, Inc. Common 92686J106 1307 208102 SH DFND 2 208102 0 0 WABTEC Common 929740108 1 11 SH DFND 1 11 0 0 WABTEC Common 929740108 1 6 SH DFND 1 6 0 0 WP Carey Common 92936U109 438 6000 SH DFND 1 6000 0 0 Warrior Technologies Acquisition Comp Wt Common 936273119 144 12500 SH DFND 2 12500 0 0 Warrior Technologies Acquisition Company Common 936273101 245 25000 SH DFND 2 25000 0 0 Xenon Pharmaceuticals Inc. Common 98420N105 1444 94488 SH DFND 2 94488 0 0 Zogenix, Inc. Common 98978L204 1894 124688 SH DFND 2 124688 0 0 Zymeworks Inc. Common 98985W102 116 4000 SH DFND 2 4000 0 0