Investment Manager

0001104659-23-058942.txt : 20230511 0001104659-23-058942.hdr.sgml : 20230511 20230511122358 ACCESSION NUMBER: 0001104659-23-058942 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230331 FILED AS OF DATE: 20230511 DATE AS OF CHANGE: 20230511 EFFECTIVENESS DATE: 20230511 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: 23909961 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 X0202 13F-HR LIVE false false false 0001892770 XXXXXXXX 03-31-2023 03-31-2023 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 05-11-2023 1 154 254494 2 0001203370 028-10281 DORSET MANAGEMENT CORP INFORMATION TABLE 2 infotable.xml Aadi Bioscience, Inc. Common 00032Q104 1330 183688 SH DFND 2 183688 0 0 Abbott Laboratories Common 002824100 5 50 SH DFND 2 50 0 0 AbbVie Inc. Common 00287Y109 803 5037 SH DFND 2 5037 0 0 Abeona Therapeutics Inc. Common 00289Y206 451 160000 SH DFND 2 160000 0 0 ADMA Biologics, Inc. Common 000899104 259 78143 SH DFND 2 78143 0 0 Adobe Systems Common 00724F101 13 35 SH DFND 2 35 0 0 Aecom Common 00766T100 19 228 SH DFND 2 228 0 0 African Gold Acquistion Corp. Warrants Common G0112R124 9 750 SH DFND 2 750 0 0 African Gold Acquistion Corp. Warrants Common G0112R124 5175 450000 SH DFND 2 450000 0 0 Alkermes PLC Common B3P6D26US 1804 64000 SH DFND 2 64000 0 0 AllianceBernstein Holding L.P. Common 01881G106 1810 49500 SH DFND 2 49500 0 0 Alphabet Inc CL A Common 02079K305 31 300 SH DFND 2 300 0 0 Alphabet Inc-Cl C Common 02079K107 23 220 SH DFND 2 220 0 0 Alphabet Inc-Cl C Common 02079K107 11648 112000 SH DFND 2 112000 0 0 Amazon.com Inc. Common 023135106 31 300 SH DFND 2 300 0 0 American Tower Corp. Common 03027X100 19 93 SH DFND 2 93 0 0 Apollo Global Management, Inc. Common 03768E105 14211 225000 SH DFND 2 225000 0 0 Apple Inc. Common 037833100 411 2494 SH DFND 2 2494 0 0 Aramark Common 03852U106 23 651 SH DFND 2 651 0 0 Arc Resources Ltd. Common 03940R107 19 1229 SH DFND 2 1229 0 0 Arcellx Inc Common 03940c100 863 28000 SH DFND 2 28000 0 0 Ardelyx, Inc. Common 039697107 7185 1500000 SH DFND 2 1500000 0 0 Avadel Pharmaceuticals plc Common 05337M104 2667 291113 SH DFND 2 291113 0 0 B.Riley Principal 250 Merger Corp. Wts. Common 05602L112 1342 116666 SH DFND 2 116666 0 0 Beyond Air Inc. Common 08862L103 819 121300 SH DFND 2 121300 0 0 Blackrock, Inc. Common 09247X101 21 31 SH DFND 2 31 0 0 Blackstone Inc. Common 09260D107 18 210 SH DFND 2 210 0 0 Broadcom Common 11135F101 46 71 SH DFND 2 71 0 0 Calumet Specialty Products Partners, LP Common 131476103 75169 4325000 SH DFND 2 4325000 0 0 Calumet Specialty Products Partners, LP @20 exp 1/24 Common 131476903 4362 251000 SH DFND 2 251000 0 0 Canadian Natural Resources Limited Common 136385101 465 8400 SH DFND 2 8400 0 0 Capitol Federal Financial, Inc. Common 14057J101 13 2000 SH DFND 2 2000 0 0 Cenovus Energy Inc. Common 15135U109 1659 95000 SH DFND 2 95000 0 0 Charles Schwab Corporation Common 808513105 15 284 SH DFND 2 284 0 0 Chesapeake Energy Corporation Common 165167735 1521 20000 SH DFND 2 20000 0 0 Chevron Corporation Common 166764100 16 96 SH DFND 2 96 0 0 Chipotle Mexican Grill, Inc. Common 169656105 17 10 SH DFND 2 10 0 0 Chubb Corporation Common H1467J104 23 121 SH DFND 2 121 0 0 Coca-Cola Co. Common 191216100 595 9600 SH DFND 2 9600 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 376 10000 SH DFND 2 10000 0 0 ConocoPhillips Common 20825C104 11 113 SH DFND 2 113 0 0 Corteva, Inc. Common 22052L104 697 11563 SH DFND 2 11563 0 0 CSX Corporation Common 126408103 2096 70000 SH DFND 2 70000 0 0 CTI BioPharma Corp. Common 12648L601 2379 566487 SH DFND 2 566487 0 0 CVS Caremark Corporation Common 126650100 19 258 SH DFND 2 258 0 0 Danaher Corporation Common 235851102 45 180 SH DFND 2 180 0 0 DocGo, Inc. Common 256086109 12110 1400000 SH DFND 2 1400000 0 0 Dow Inc. Common 260557103 610 11136 SH DFND 2 11136 0 0 DuPont de Nemours, Inc. Common 26614N102 713 9930 SH DFND 2 9930 0 0 Eagle Materials Inc. Common 26969P108 33 228 SH DFND 2 228 0 0 Eastern Bankshares Inc. Common 27627N105 63 5000 SH DFND 2 5000 0 0 Eli Lilly & Co. Common 532457108 103 300 SH DFND 2 300 0 0 Equinix Inc Common 29444U700 27 37 SH DFND 2 37 0 0 Evolus, Inc. Common 30052C107 886 104716 SH DFND 2 104716 0 0 F.N.B. Corporation Common 302520101 103 8905 SH DFND 2 8905 0 0 FaZe Holdings Inc. Common 31423J102 8 667 SH DFND 2 667 0 0 FaZe Holdings Inc. Common 31423J102 663 57654 SH DFND 2 57654 0 0 Franklin BSP Realty Trust, Inc. Common 35243J101 10248 859047 SH DFND 2 859047 0 0 FS Bancorp, Inc. Common 30263Y104 131 4380 SH DFND 2 4380 0 0 FS KKR Capital Corp. Common 302635206 281 15175 SH DFND 2 15175 0 0 FTAI Aviation Ltd. Common G3730V105 11883 425000 SH DFND 2 425000 0 0 FTAI Infrastructure Inc. Common 35953C106 1275 425000 SH DFND 2 425000 0 0 Generac Holdings Inc. Common 368736104 7 69 SH DFND 2 69 0 0 General Electric Company Common 369604103 15 162 SH DFND 2 162 0 0 GlaxoSmithKline plc Common 37733W204 2313 65000 SH DFND 2 65000 0 0 Heritage NOLA Bancorp, Inc. Common 42727P108 39 3000 SH DFND 2 3000 0 0 Home Depot Inc. Common 437076102 24 80 SH DFND 2 80 0 0 Horizon Therapeutics Public Ltd. Company Common G46188101 4528 41490 SH DFND 2 41490 0 0 Int'l Business Machines Corp Common 459200101 281 2142 SH DFND 2 2142 0 0 International Game Technology PLC Common 459902102 201 7500 SH DFND 2 7500 0 0 Inozyme Pharma, Inc. Common 45790W108 917 160000 SH DFND 2 160000 0 0 IQVIA Holdings Inc Common 46266C105 24 122 SH DFND 2 122 0 0 iShares Core MSCI EAFE Common 46432F842 42 633 SH DFND 2 633 0 0 iShares Core MSCI Emerging Markets Common 46434G103 18 363 SH DFND 2 363 0 0 iShares Core S&P Small-Cap ETF Common 464287804 30 313 SH DFND 2 313 0 0 iShares iBoxx $ High Yield Corporate Bond Common 464288513 2 32 SH DFND 2 32 0 0 iShares JPMorgan USD Emerging Markets Bond Common 464288281 1 17 SH DFND 2 17 0 0 ishares MSCI EAFE Growth Index Fund Common 464288885 24 252 SH DFND 2 252 0 0 iShares MSCI Eurozone Common 464286608 2 55 SH DFND 2 55 0 0 iShares MSCI Germany Common 464286806 4 150 SH DFND 2 150 0 0 iShares MSCI United Kingdom Common 46435G334 4 116 SH DFND 2 116 0 0 iShares MSCI United Kingdom Small-Cap Common 46429B416 8 246 SH DFND 2 246 0 0 ishares Msci Value Index Fund Common 464288877 3 63 SH DFND 2 63 0 0 iShares New York Muni Bond Common 464288323 13 242 SH DFND 2 242 0 0 iShares Russell 2000 Growth Common 464287648 27 118 SH DFND 2 118 0 0 iShares Russell 2000 Value Common 464287630 12 86 SH DFND 2 86 0 0 iShares Russell Mid-Cap Growth Common 464287481 63 695 SH DFND 2 695 0 0 iShares Russell Mid-Cap Value Common 464287473 29 273 SH DFND 2 273 0 0 IVERIC bio, Inc. Common 46583P102 1581 65000 SH DFND 2 65000 0 0 Jazz Pharmaceuticals PLC Common G50871105 3279 22411 SH DFND 2 22411 0 0 Johnson & Johnson Common 478160104 434 2800 SH DFND 2 2800 0 0 JPMorgan Chase & Co. Common 46625H100 2735 20985 SH DFND 2 20985 0 0 Kimberly-Clark Corporation Common 494368103 805 6000 SH DFND 2 6000 0 0 Kiwetinohk Energy Corp. Common 49836K102 1405 160000 SH DFND 2 160000 0 0 Kyndryl Holdings Inc. Common 50155Q100 6 428 SH DFND 2 428 0 0 Leap Therapeutics, Inc. Common 52187K101 190 557939 SH DFND 2 557939 0 0 Legacy Housing Corporation Common 52472M101 148 6500 SH DFND 2 6500 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 2942 40000 SH DFND 2 40000 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 5517 75000 SH DFND 2 75000 0 0 Linde PLC Common G5494J103 25 70 SH DFND 2 70 0 0 Lululemon Athletica Inc. Common 550021109 14 39 SH DFND 2 39 0 0 Madrigal Pharmaaceuticals, Inc. Common 558868105 3392 14000 SH DFND 2 14000 0 0 Medtronic, Inc. Common 585055106 24 300 SH DFND 2 300 0 0 Microsoft Corporation Common 594918104 463 1600 SH DFND 2 1600 0 0 Midwest Holding Inc. Common 59833J206 6167 390241 SH DFND 2 390241 0 0 Mondelez International Inc. Common 50075N104 976 14000 SH DFND 2 14000 0 0 Morgan Stanley Group Inc. Common 617446448 26 293 SH DFND 2 293 0 0 Nike Inc. Common 654106103 11 91 SH DFND 2 91 0 0 Nvidia Corp Common 67066G104 36 128 SH DFND 2 128 0 0 Occidental Petroleum Corporation Common 674599105 66 1055 SH DFND 2 1055 0 0 Occidential Pertro Wts exp. 8/3/27 Common 674599162 4 194 SH DFND 2 194 0 0 OmniAb Inc. Common 68218J103 3998 1086505 SH DFND 2 1086505 0 0 Ovintiv Inc. Common 69047Q102 1263 35000 SH DFND 2 35000 0 0 Paccar Inc Common 693718108 11 148 SH DFND 2 148 0 0 Pfizer Inc. Common 717081103 3980 97537 SH DFND 2 97537 0 0 Poseida Therapeutics, Inc. Common 73730P108 434 140921 SH DFND 2 140921 0 0 Quanta Services Inc. Common 74762E102 29 176 SH DFND 2 176 0 0 QualTek Services Inc. - Warrants Common 74760R113 288 25000 SH DFND 2 25000 0 0 Ryman Hospitality Properties, Inc. Common 78377T107 1113 12400 SH DFND 2 12400 0 0 Salesforce, Inc. Common 79466L302 15 77 SH DFND 2 77 0 0 Sanofi Common 80105N113 3048 56000 SH DFND 2 56000 0 0 Schlumberger Limited Common 806857108 14 292 SH DFND 2 292 0 0 Sculptor Cap Mgmt CL A Common 811246107 2 200 SH DFND 2 200 0 0 Seagen Inc. Common 81181c104 1012 5000 SH DFND 2 5000 0 0 Seres Therapeutics, Inc. Common 81750R102 1786 315000 SH DFND 2 315000 0 0 South State Corporation Common 840441109 76 1068 SH DFND 2 1068 0 0 SPRD Sec SER TR Bloomberg Emer Mkts Loc BD etf Common 78464A391 3 147 SH DFND 2 147 0 0 Starwood Property Trust, Inc. Common 85571B105 7 400 SH DFND 2 400 0 0 SVB Financial Group Common 78486Q101 0 48 SH DFND 2 48 0 0 Target Corporation Common 87612E106 27 166 SH DFND 2 166 0 0 Tastemaker Acquisition Corp. Warrants Common 876545112 1150 100000 SH DFND 2 100000 0 0 The Chemours Company Common 163851108 7 240 SH DFND 2 240 0 0 The Kraft Heinz Company Common 500754106 93 2399 SH DFND 2 2399 0 0 The Mosaic Company Common 61945C103 1606 35000 SH DFND 2 35000 0 0 The Procter & Gamble Company Common 742718109 5 35 SH DFND 2 35 0 0 The Walt Disney Company Common 254687106 12 116 SH DFND 2 116 0 0 Thermo Fisher Scientific Inc. Common 883556102 26 45 SH DFND 2 45 0 0 TotalEnergies SE - ADR Common 89151E109 94 1600 SH DFND 2 1600 0 0 Twelve Seas Investment Company II Warrants Common 90118T114 1917 166666 SH DFND 2 166666 0 0 United Healthcare Corp. Common 91324p102 27 57 SH DFND 2 57 0 0 United Rental, Inc. Common 911363109 31 78 SH DFND 2 78 0 0 Valley National Bancorp Common 919794107 59 6400 SH DFND 2 6400 0 0 Vertex Pharmaceuticals, Inc. Common 92532F100 2205 7000 SH DFND 2 7000 0 0 Viking Therapeutics, Inc. Common 92686J106 3333 200164 SH DFND 2 200164 0 0 Vulcan Materials Co Common 929160109 18 103 SH DFND 2 103 0 0 W.P. Carey Inc. Common 92936U109 465 6000 SH DFND 2 6000 0 0 Wabtec Corporation Common 929740108 1 6 SH DFND 2 6 0 0 Wal-Mart Stores, Inc. Common 931142103 33 225 SH DFND 2 225 0 0 Wells Fargo & Company Common 949746101 16 438 SH DFND 2 438 0 0 Xenon Pharmaceuticals Inc. Common 98420N105 1432 40000 SH DFND 2 40000 0 0 XOMA Corporation Common 98419J206 286 13527 SH DFND 2 13527 0 0 Zimmer Biomet Holdings Inc Common 98956P102 25 190 SH DFND 2 190 0 0