Investment Manager

0001104659-22-117090.txt : 20221110 0001104659-22-117090.hdr.sgml : 20221110 20221110154758 ACCESSION NUMBER: 0001104659-22-117090 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220930 FILED AS OF DATE: 20221110 DATE AS OF CHANGE: 20221110 EFFECTIVENESS DATE: 20221110 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Knott David M Jr CENTRAL INDEX KEY: 0001892770 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-21815 FILM NUMBER: 221376790 MAIL ADDRESS: STREET 1: DORSET MANAGEMENT CORPORATION STREET 2: 485 UNDERHILL BOULEVARD, SUITE 205 CITY: SYOSSET STATE: NY ZIP: 11791 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001892770 XXXXXXXX 09-30-2022 09-30-2022 false Knott David M Jr

Dorset Management Corporation 485 Underhill Boulevard, Suite 205 Syosset NY 11791

13F HOLDINGS REPORT 028-21815 N Knott David M Jr Investment Manager 516-364-0303 /s/ David M. Knott Jr Syosset NY 11-10-2022 1 192 237627 2 0001203370 028-10281 DORSET MANAGEMENT CORP INFORMATION TABLE 2 infotable.xml Aadi Bioscience, Inc. Common 00032Q104 693 49039 SH DFND 2 49039 0 0 Abbott Laboratories Common 002824100 5 50 SH DFND 50 0 0 AbbVie Inc. Common 00287Y109 2689 20037 SH DFND 20037 0 0 ADMA Biologics, Inc. Common 000899104 370 152301 SH DFND 2 152301 0 0 Adobe Systems Common 00724F101 10 35 SH DFND 35 0 0 AECOM Common 00766T100 16 228 SH DFND 228 0 0 African Gold Acquistion Corp. Common G0112R108 10 1000 SH DFND 1000 0 0 African Gold Acquistion Corp. Warrants Common G0112R124 9 750 SH DFND 750 0 0 African Gold Acquistion Corp. Warrants Common G0112R124 5175 450000 SH DFND 2 450000 0 0 Alerian MLP ETF Common 00162Q452 4 120 SH DFND 120 0 0 AllianceBernstein Holding L.P. Common 01881G106 1771 50500 SH DFND 50500 0 0 Alphabet Inc Class A Common 02079K305 29 300 SH DFND 300 0 0 Alphabet Inc Class C Common 02079K107 21 220 SH DFND 220 0 0 Alphabet Inc-Cl C Common 02079K107 10769 112000 SH DFND 2 112000 0 0 Amazon Inc. Common 023135106 34 300 SH DFND 300 0 0 American Tower Corp Common 03027X100 20 93 SH DFND 93 0 0 Apollo Global Management, Inc. Common 03769M106 10463 225000 SH DFND 2 225000 0 0 Apple Inc. Common 037833100 290 2100 SH DFND 2100 0 0 Apple Inc. Common 037833100 54 394 SH DFND 394 0 0 Aramark Inc. Common 03852U106 20 651 SH DFND 651 0 0 Arc Resources Ltd. Common 03940R107 11 1229 SH DFND 1229 0 0 Ardelyx, Inc. Common 039697107 774 650000 SH DFND 2 650000 0 0 Aurinia Pharmaceuticals Inc. Common 05156V102 607 80694 SH DFND 2 80694 0 0 Avadel Pharmaceuticals plc Common 05337M104 1958 390861 SH DFND 2 390861 0 0 B.Riley Principal 250 Merger Corp. Wts. Common 05602L112 1342 116666 SH DFND 2 116666 0 0 Bank of Nova Scotia Common 064149107 19 400 SH DFND 400 0 0 Becton Dickinson & Co. Common 075887109 24 106 SH DFND 106 0 0 Blackrock Inc. Common 09247X101 17 31 SH DFND 31 0 0 Blackstone Inc. Common 09260D107 18 210 SH DFND 210 0 0 Bridgebio Pharma, Inc. Common 10806X102 1422 143096 SH DFND 2 143096 0 0 Broadcom Inc. Common 11135F101 32 71 SH DFND 71 0 0 Brookfield Infrastructure Corporation Common 11275Q107 203 4999 SH DFND 4999 0 0 Brookfield Infrastructure Partners L.P. Common G16252101 1616 45000 SH DFND 45000 0 0 Calumet Specialty Products Partners, LP Common 131476103 1473 115000 SH Call DFND 2 115000 0 0 Calumet Specialty Products Partners, LP Common 131476103 55403 4325000 SH DFND 2 4325000 0 0 Canadian Natural Resources Limited Common 136385101 298 6400 SH DFND 6400 0 0 Capitol Federal Financial, Inc. Common 14057J101 17 2000 SH DFND 2000 0 0 Cenovus Energy Inc. Common 15135U109 1460 95000 SH DFND 2 95000 0 0 Chesapeake Energy Corporation Common 165167735 1884 20000 SH DFND 2 20000 0 0 Chevron Corp Common 166764100 14 96 SH DFND 96 0 0 Chipotle Mexican Grill Inc. Common 169656105 15 10 SH DFND 10 0 0 Chubb Ltd Common H1467J104 22 121 SH DFND 121 0 0 Cidara Therapeutics, Inc. Common 171757107 431 686027 SH DFND 2 686027 0 0 Coca-Cola Co. Common 191216100 538 9600 SH DFND 9600 0 0 Codexis, Inc. Common 192005106 1346 222107 SH DFND 2 222107 0 0 Cogent Communications Holdings, Inc. Common 19239V302 730 14000 SH DFND 14000 0 0 Coherus Biosciences, Inc. Common 19249H103 1922 200000 SH DFND 2 200000 0 0 Coliseum Acquisition Corp. Wts Common G2263T107 5693 495000 SH DFND 2 495000 0 0 Colombier Acquisition Corp. Wts. Common 19533H116 307 26666 SH DFND 2 26666 0 0 Conagra Brands, Inc. Common 205887102 326 10000 SH DFND 10000 0 0 Concert Pharmaceuticals, Inc. Common 206022105 335 50000 SH DFND 2 50000 0 0 Conocophillips Com Common 20825C104 12 113 SH DFND 113 0 0 Corteva, Inc. Common 22052L104 661 11563 SH DFND 11563 0 0 Crane Holdings Co Common 224441105 17 194 SH DFND 194 0 0 CTI BioPharma Corp. Common 12648L601 3298 566687 SH DFND 2 566687 0 0 CVS Health Corp Common 126650100 25 258 SH DFND 258 0 0 Danaher Corp Common 235851102 46 180 SH DFND 180 0 0 DigitalBridge Group, Inc. Common 25401T108 5 366 SH DFND 366 0 0 Disney Walt Co. Common 254687106 11 116 SH DFND 116 0 0 DocGo, Inc. Common 256086109 13888 1400000 SH DFND 2 1400000 0 0 Dow Inc. Common 260557103 489 11136 SH DFND 11136 0 0 DuPont de Nemours, Inc. Common 26614N102 561 11136 SH DFND 11136 0 0 Eagle Materials Inc. Common 26969P108 24 228 SH DFND 228 0 0 Eiger BioPharmaceuticals, Inc. Common 28249U105 3082 409292 SH DFND 2 409292 0 0 Eli Lilly & Co. Common 532457108 97 300 SH DFND 300 0 0 Equinix Inc. Common 29444U700 21 37 SH DFND 37 0 0 F.N.B. Corporation Common 302520101 690 59485 SH DFND 59485 0 0 FaZe Holdings Inc. Warrants Common 31423J110 8 667 SH DFND 667 0 0 FaZe Holdings Inc. Warrants Common 31423J110 663 57654 SH DFND 2 57654 0 0 Fortress Trans & Infrastructure Inv. LLC Common 34960P101 6373 425000 SH DFND 2 425000 0 0 Franklin BSP Realty Trust, Inc. Common 35243J101 9252 859047 SH DFND 2 859047 0 0 FS Bancorp, Inc. Common 30263Y104 119 4380 SH DFND 4380 0 0 FS KKR Capital Corp. Common 302635107 257 15175 SH DFND 15175 0 0 F-Star Therapeutics, Inc. Common 30315R107 1208 235945 SH DFND 2 235945 0 0 FTAI Infrastructure LLC Common 35953C106 1020 425000 SH DFND 2 425000 0 0 Generac Holdings Inc. Common 368736104 12 69 SH DFND 69 0 0 General Electric Company Common 369604103 19 312 SH DFND 312 0 0 Glass Houses Acquisition Corp. Warrants Common 37714P111 2875 250000 SH DFND 2 250000 0 0 GlaxoSmithKline plc Common 37733W105 1177 40000 SH DFND 2 40000 0 0 Globus Medical, Inc. Common 379577208 1122 18831 SH DFND 2 18831 0 0 Heritage NOLA Bancorp, Inc. Common 42727P108 54 3000 SH DFND 3000 0 0 Home Depot Inc. Common 437076102 22 80 SH DFND 80 0 0 Horizon Therapeutics Public Ltd. Company Common G46188101 2692 43490 SH DFND 2 43490 0 0 HV Bancorp, Inc. Common 40441H105 519 25000 SH DFND 25000 0 0 Ibere Pharmaceuticals Common G46843101 357 36000 SH DFND 2 36000 0 0 Ibere Pharmaceuticals Warrants Common G46843119 207 18000 SH DFND 2 18000 0 0 Incyte Corporation Common 45337C102 1083 16257 SH DFND 2 16257 0 0 International Game Technology PLC Common G4863A108 261 16500 SH DFND 16500 0 0 Intuitive Surgical Inc. Common 46120E602 11 61 SH DFND 61 0 0 Iovance Biotherapeutics, Inc. Common 462260100 312 32614 SH DFND 2 32614 0 0 iPath Series B S&P 500 VIX Short-Term Fut Common 06747R477 2121 100000 SH DFND 2 100000 0 0 Iqvia Holdings Inc. Common 46266C105 22 122 SH DFND 122 0 0 Ishares Inc MSCI Eurozone Common 464286608 2 55 SH DFND 55 0 0 Ishares Inc MSCI Germany Common 464286806 3 150 SH DFND 150 0 0 Ishares Inc. Core MSCI Emerging Markets Common 46434G103 16 363 SH DFND 363 0 0 Ishares Trust Core MSCI Eafe Common 46432F842 33 633 SH DFND 633 0 0 Ishares Trust Core S&P Small Cap Common 464287804 27 313 SH DFND 313 0 0 Ishares Trust MSCI Eafe Value Common 464288877 2 63 SH DFND 63 0 0 Ishares Trust MSCI Eafe Value Growth Common 464288885 18 252 SH DFND 252 0 0 Ishares Trust MSCI United Kingdom Common 46435G334 3 116 SH DFND 116 0 0 Ishares Trust MSCI United Kingdom Small Cap Common 46429B416 6 246 SH DFND 246 0 0 Ishares Trust Russell 2000 Growth Common 464287648 24 118 SH DFND 118 0 0 Ishares Trust Russell 2000 Value Common 464287630 11 86 SH DFND 86 0 0 Ishares Trust Russell Mid Cap Value Common 464287473 26 273 SH DFND 273 0 0 Ishares Trust Russell Mid Cap Value Growth Common 464287481 55 695 SH DFND 695 0 0 Jazz Pharmaceuticals PLC Common G50871105 2987 22411 SH DFND 2 22411 0 0 Johnson & Johnson Common 478160104 4051 24800 SH DFND 24800 0 0 JP Morgan Chase Common 46625H100 17 165 SH DFND 165 0 0 JPMorgan Chase & Co. Common 46625H100 2113 20220 SH DFND 20220 0 0 Kairos Acquisition Corp. Warrants Common G52110106 1602 139278 SH DFND 2 139278 0 0 Kennedy-Wilson Holdings, Inc. Common 489398107 2706 175000 SH DFND 2 175000 0 0 Kimberly-Clark Corporation Common 494368103 675 6000 SH DFND 6000 0 0 Kiwetinohk Energy Corp. Common 49836K102 1637 160000 SH DFND 2 160000 0 0 Lamb Weston Holdings, Inc. Common 513272104 258 3333 SH DFND 3333 0 0 Leap Therapeutics, Inc. Common 52187K101 792 900000 SH DFND 2 900000 0 0 Legacy Housing Corporation Common 52472M101 111 6500 SH DFND 6500 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 3444 40000 SH DFND 40000 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 6458 75000 SH DFND 2 75000 0 0 Linde PLC Common G5494J103 19 70 SH DFND 70 0 0 Live Oak Mobility Aquisition Corp. Wts Common 538126111 828 72030 SH DFND 2 72030 0 0 Longview Acquisition Corp II Common 54319Q105 627 63900 SH DFND 2 63900 0 0 Longview Acquisition Corp II Warrants Common 54319Q113 147 12780 SH DFND 2 12780 0 0 Lululemon Athletica Inc. Common 550021109 11 39 SH DFND 39 0 0 M&T Bank Corporation Common 55261F104 617 3500 SH DFND 3500 0 0 Madrigal Pharmaaceuticals, Inc. Common 558868105 65 1000 SH DFND 2 1000 0 0 Medicus Science Acquisition, Corp. Common G5960S108 1980 200000 SH DFND 2 200000 0 0 Medicus Science Acquisition, Corp. Wts Common G5960S124 256 22222 SH DFND 2 22222 0 0 Medtronic, Inc. Common 585055106 85 1050 SH DFND 1050 0 0 MeiraGTx Holdings plc Common G59665102 507 60295 SH DFND 2 60295 0 0 Merck & Co., Inc. Common 58933Y105 2110 24500 SH DFND 24500 0 0 Microsoft Corp Common 594918104 47 200 SH DFND 200 0 0 Microsoft Corporation Common 594918104 326 1400 SH DFND 1400 0 0 Midwest Holding Inc. Common 59833J206 5163 390241 SH DFND 2 390241 0 0 Mondelez International Inc. Common 609207105 768 14000 SH DFND 14000 0 0 Morgan Stanley Common 617446448 23 293 SH DFND 293 0 0 Newmont Goldcorp Corporation Common 651639106 84 2000 SH DFND 2000 0 0 Nike Inc. Cl B Common 654106103 8 91 SH DFND 91 0 0 Northwest Bancshares, Inc. Common 667340103 135 10000 SH DFND 10000 0 0 Nvidia Corp Common 67066G104 16 128 SH DFND 128 0 0 Occidental Petroleum Corporation Common 674599105 78 1273 SH DFND 1273 0 0 Occidential Pertro Wts exp. 8/3/27 Common 674599162 3 158 SH DFND 158 0 0 Organon & Co. Common 68622V106 57 2450 SH DFND 2450 0 0 Oshkosh Corp Common 688239201 18 258 SH DFND 258 0 0 Ovintiv Inc. Common 69047Q102 1610 35000 SH DFND 2 35000 0 0 Paccar Inc. Common 693718108 8 99 SH DFND 99 0 0 Palo Alto Networks Inc. Common 697435105 17 102 SH DFND 102 0 0 Pfizer Inc. Common 717081103 6280 143500 SH DFND 143500 0 0 Poseida Therapeutics, Inc. Common 73730P108 534 151286 SH DFND 2 151286 0 0 Pure Cycle Corporation Common 746228303 668 80000 SH DFND 80000 0 0 QualTek Services Inc. - Warrants Common 74760R113 288 25000 SH DFND 2 25000 0 0 Quanta Services Inc. Common 74762E102 22 176 SH DFND 176 0 0 Quotient Limited Common G73268107 245 1633492 SH DFND 2 1633492 0 0 Royal Bank of Canada Common 780087102 225 2500 SH DFND 2500 0 0 Ryman Hospitality Properties, Inc. Common 78377T107 1796 24400 SH DFND 24400 0 0 Salesforce Inc. Common 79466L302 11 77 SH DFND 77 0 0 Sanofi Common 80105N105 760 20000 SH DFND 2 20000 0 0 Schlumberger Ltd. Common 806857108 10 292 SH DFND 292 0 0 Sculptor Cap Mgmt CL A Common 811246107 2 200 SH DFND 200 0 0 Seres Therapeutics, Inc. Common 81750R102 706 110000 SH DFND 2 110000 0 0 Service Properties Trust Common 817761L10 5 1000 SH DFND 1000 0 0 South State Corporation Common 840441109 85 1068 SH DFND 1068 0 0 Spectrum Pharmaceuticals Inc. Common 84763A108 16 36900 SH DFND 2 36900 0 0 Starwood Property Trust, Inc. Common 85571B105 7 400 SH DFND 400 0 0 Stronghold Digital Mining, Inc. Common 86337R103 9 9085 SH DFND 9085 0 0 SVB Financial Group Common 78486Q101 13 40 SH DFND 40 0 0 Target Corp Common 87612E106 21 139 SH DFND 139 0 0 Tastemaker Acquisition Corp. Warrants Common 876545112 1150 100000 SH DFND 2 100000 0 0 Teck Resources Ltd. Common 878742204 1521 50000 SH DFND 2 50000 0 0 TEGNA Inc. Common 87901J105 62 3000 SH DFND 3000 0 0 Tesla Inc. Common 88160R101 12 45 SH DFND 45 0 0 The Chemours Company Common 163851108 17 680 SH DFND 680 0 0 The Kraft Heinz Company Common 500754106 102 3065 SH DFND 3065 0 0 The Mosaic Company Common 61945C103 1692 35000 SH DFND 2 35000 0 0 The Procter & Gamble Company Common 742718109 4 35 SH DFND 35 0 0 The RMR Group Inc. Common 74967R106 10 414 SH DFND 414 0 0 Thermo Fisher Scientific Inc. Common 883556102 23 45 SH DFND 45 0 0 TotalEnergies SE - ADR Common 89151E109 98 2100 SH DFND 2100 0 0 Twelve Seas Investment Company II Warrants Common 90118T114 1917 166666 SH DFND 2 166666 0 0 United Rentals Inc. Common 911363109 21 78 SH DFND 78 0 0 UnitedHealthcare Group Inc. Common 91324P102 29 57 SH DFND 57 0 0 Valley National Bancorp Common 919794107 346 32000 SH DFND 32000 0 0 Verizon Communications Inc. Common 92343V104 10 263 SH DFND 263 0 0 Vertex Pharmaceuticals, Inc. Common 92532F100 4922 17000 SH DFND 2 17000 0 0 Viking Therapeutics, Inc. Common 92686J106 821 301803 SH DFND 2 301803 0 0 Vulcan Materials Co. Common 929160109 16 103 SH DFND 103 0 0 W.P. Carey Inc. Common 92936U109 838 12000 SH DFND 12000 0 0 Wabtec Corporation Common 929740108 1 12 SH DFND 12 0 0 Walmart Inc. Common 931124103 29 225 SH DFND 225 0 0 Wells Fargo & Co. Common 949746101 18 438 SH DFND 438 0 0 Workday Inc. Common 98138H101 7 45 SH DFND 45 0 0 Xenon Pharmaceuticals Inc. Common 98420N105 2148 59500 SH DFND 2 59500 0 0 Zimmer Biomet Holdings Common 98956P102 20 190 SH DFND 190 0 0