Investment Manager

0001104659-23-090105.txt : 20230811 0001104659-23-090105.hdr.sgml : 20230811 20230811083639 ACCESSION NUMBER: 0001104659-23-090105 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230630 FILED AS OF DATE: 20230811 DATE AS OF CHANGE: 20230811 EFFECTIVENESS DATE: 20230811 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: 231161672 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 06-30-2023 06-30-2023 false Knott David M Jr

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

13F HOLDINGS REPORT 028-21815 Y NONE Knott David M Jr Investment Manager 516-364-0303 /s/ David M. Knott Jr Syosset NY 08-11-2023 1 153 251270 1 0001203370 028-10281 DORSET MANAGEMENT CORP INFORMATION TABLE 2 infotable.xml Aadi Bioscience, Inc. Common 00032Q104 1785 261000 SH DFND 1 261000 0 0 Abbott Laboratories Common 002824100 5 50 SH DFND 1 50 0 0 AbbVie Inc. Common 00287Y109 679 5037 SH DFND 1 5037 0 0 Abeona Therapeutics Inc. Common 00289Y206 645 160000 SH DFND 1 160000 0 0 Adobe Common 00724f101 17 35 SH DFND 1 35 0 0 Aecom Common 00766T100 19 228 SH DFND 1 228 0 0 African Gold Acquistion Corp. Warrants Common G0112R124 5175 450000 SH DFND 1 450000 0 0 African Gold Acquistion Corp. Warrants Common G0112R124 9 750 SH DFND 1 750 0 0 Akero Therapeutics, Inc. Common 00973Y108 94 2000 SH DFND 1 2000 0 0 Alkermes PLC Common G01767105 2097 67000 SH DFND 1 67000 0 0 AllianceBernstein Holding L.P. Common 01881G106 1592 49500 SH DFND 1 49500 0 0 Alphabet Inc CL A Common 02079k305 36 300 SH DFND 1 300 0 0 Alphabet Inc-Cl C Common 02079K107 13549 112000 SH DFND 1 112000 0 0 Alphabet Inc-Cl C Common 02079K107 27 220 SH DFND 1 220 0 0 Amazon.com Inc. Common 023135106 39 300 SH DFND 1 300 0 0 American Tower Corp. Common 03027X100 18 93 SH DFND 1 93 0 0 Apollo Global Management, Inc. Common 03769M106 17282 225000 SH DFND 1 225000 0 0 Apple Inc. Common 037833100 484 2494 SH DFND 1 2494 0 0 Aramark Common 03852U106 28 651 SH DFND 1 651 0 0 Arc Resources Ltd. Common 03940R107 22 1229 SH DFND 1 1229 0 0 Arcellx Inc Common 03940C100 1265 40000 SH DFND 1 40000 0 0 Ardelyx, Inc. Common 039697107 5085 1500000 SH DFND 1 1500000 0 0 Avadel Pharmaceuticals plc Common 05337M104 3966 240629 SH DFND 1 240629 0 0 Beyond Air Inc. Common 08862L103 373 87522 SH DFND 1 87522 0 0 Blackrock, Inc. Common 09247X101 21 31 SH DFND 1 31 0 0 Blackstone Group LP Common 09260d107 20 210 SH DFND 1 210 0 0 Broadcom, Inc. Common 11135F101 62 71 SH DFND 1 71 0 0 CALLS/Calumet Specialty Product @20 ex1/24 Common 131476903 3981 251000 SH DFND 1 251000 0 0 Calumet Specialty Products Partners, LP Common 131476103 68595 4325000 SH DFND 1 4325000 0 0 Canadian Natural Resources Limited Common 136385101 473 8400 SH DFND 1 8400 0 0 Capitol Federal Financial, Inc. Common 14057J101 12 2000 SH DFND 1 2000 0 0 Cenovus Energy Inc. Common 15135U109 1613 95000 SH DFND 1 95000 0 0 Charles Schwab Corporation Common 808513105 16 284 SH DFND 1 284 0 0 Chesapeake Energy Corporation Common 165167735 1674 20000 SH DFND 1 20000 0 0 Chevron Corporation Common 166764100 15 96 SH DFND 1 96 0 0 Chipotle Mexican Grill, Inc. Common 169656105 21 10 SH DFND 1 10 0 0 Chubb Corporation Common H1467J104 23 121 SH DFND 1 121 0 0 Coca-Cola Co. Common 191216100 578 9600 SH DFND 1 9600 0 0 Coherus Biosciences, Inc. Common 19249H103 1046 245010 SH DFND 1 245010 0 0 Coliseum Acquisition Corp. Wts Common G2263T107 5693 495000 SH DFND 1 495000 0 0 Colombier Acquisition Corp. Wts. Common 19533H116 307 26666 SH DFND 1 26666 0 0 Conagra Brands, Inc. Common 205887102 337 10000 SH DFND 1 10000 0 0 ConocoPhillips Common 20825c104 12 113 SH DFND 1 113 0 0 Corteva, Inc. Common 22052L104 663 11563 SH DFND 1 11563 0 0 CSX Corporation Common 126408103 2387 70000 SH DFND 1 70000 0 0 CVS Caremark Corporation Common 126650100 18 258 SH DFND 1 258 0 0 Danaher Corporation Common 235851102 43 180 SH DFND 1 180 0 0 DocGo, Inc. Common 256086109 13118 1400000 SH DFND 1 1400000 0 0 Dow Inc. Common 260557103 593 11136 SH DFND 1 11136 0 0 DuPont de Nemours, Inc. Common 26614N102 709 9930 SH DFND 1 9930 0 0 Eagle Materials Inc. Common 26969P108 43 228 SH DFND 1 228 0 0 Eastern Bankshares Inc Common 27627N105 61 5000 SH DFND 1 5000 0 0 Eli Lilly & Co. Common 532457108 141 300 SH DFND 1 300 0 0 Equinix Inc Common 29444U700 29 37 SH DFND 1 37 0 0 Evolus, Inc. Common 30052c107 149 20500 SH DFND 1 20500 0 0 F.N.B. Corporation Common 302520101 102 8905 SH DFND 1 8905 0 0 FaZe Holdings Inc. WTS Common 31423J110 663 57654 SH DFND 1 57654 0 0 FaZe Holdings Inc. WTS Common 31423J110 8 667 SH DFND 1 667 0 0 Franklin BSP Realty Trust, Inc. Common 35243J101 6075 429047 SH DFND 1 429047 0 0 FS Bancorp, Inc. Common 30263Y104 132 4380 SH DFND 1 4380 0 0 FS KKR Capital Corp. Common 302635107 219 11425 SH DFND 1 11425 0 0 FTAI Aviation Ltd. Common G3730V105 13456 425000 SH DFND 1 425000 0 0 FTAI Infrastructure LLC Common 35953C106 1568 425000 SH DFND 1 425000 0 0 Generac Holdings, Inc. Common 368736104 10 69 SH DFND 1 69 0 0 General Electric Company Common 369604103 18 162 SH DFND 1 162 0 0 GSK PLC Common 37733W204 2317 65000 SH DFND 1 65000 0 0 Heritage NOLA Bancorp, Inc. Common 42727P108 29 3000 SH DFND 1 3000 0 0 Home Depot Inc. Common 437076102 25 80 SH DFND 1 80 0 0 Horizon Therapeutics Public Ltd. Company Common G46188101 2796 27190 SH DFND 1 27190 0 0 Inozyme Pharma, Inc. Common 45790W108 1225 220000 SH DFND 1 220000 0 0 International Business Machines Common 459200101 287 2142 SH DFND 1 2142 0 0 International Game Technology PLC Common 459902102 239 7500 SH DFND 1 7500 0 0 IQVIA Holdings Inc Common 46266C105 27 122 SH DFND 1 122 0 0 iShares Core MSCI EAFE Common 46432F842 43 633 SH DFND 1 633 0 0 iShares Core MSCI Emerging Markets Common 46434G103 18 363 SH DFND 1 363 0 0 iShares Core S&P Small-Cap Common 464287804 31 313 SH DFND 1 313 0 0 iShares iBoxx $ High Yield Corporate Bond Common 464288513 2 32 SH DFND 1 32 0 0 iShares JPMorgan USD Emerging Markets Bond Common 464288281 1 17 SH DFND 1 17 0 0 ishares MSCI EAFE Growth Index Fund Common 464288885 24 252 SH DFND 1 252 0 0 iShares MSCI Eurozone Common 464286608 3 55 SH DFND 1 55 0 0 iShares MSCI Germany Common 464286806 4 150 SH DFND 1 150 0 0 iShares MSCI United Kingdom Common 46435G334 4 116 SH DFND 1 116 0 0 iShares MSCI United Kingdom Small-Cap Common 46429B416 8 246 SH DFND 1 246 0 0 ishares Msci Value Index Fund Common 464288877 3 63 SH DFND 1 63 0 0 iShares New York Muni Bond Common 464288323 13 242 SH DFND 1 242 0 0 iShares Russell 2000 Growth Common 464287648 29 118 SH DFND 1 118 0 0 iShares Russell 2000 Value Common 464287630 12 86 SH DFND 1 86 0 0 iShares Russell Mid-Cap Growth Common 464287481 67 695 SH DFND 1 695 0 0 iShares Russell Mid-Cap Value Common 464287473 30 273 SH DFND 1 273 0 0 IVERIC bio, Inc. Common 46583P102 3423 87000 SH DFND 1 87000 0 0 Jazz Pharmaceuticals PLC Common G50871105 2778 22411 SH DFND 1 22411 0 0 Johnson & Johnson Common 478160104 463 2800 SH DFND 1 2800 0 0 JPMorgan Chase & Co. Common 46625H100 3052 20985 SH DFND 1 20985 0 0 Kimberly-Clark Corporation Common 494368103 828 6000 SH DFND 1 6000 0 0 Kiwetinohk Energy Corp. Common 49836K102 1451 160000 SH DFND 1 160000 0 0 Kyndryl Holdings Inc. Common 50155Q100 6 428 SH DFND 1 428 0 0 Leap Therapeutics, Inc. Common 52187K200 90 28730 SH DFND 1 28730 0 0 Legacy Housing Corporation Common 52472M101 151 6500 SH DFND 1 6500 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 5408 75000 SH DFND 1 75000 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 2884 40000 SH DFND 1 40000 0 0 Linde PLC Common G54950103 27 70 SH DFND 1 70 0 0 Lululemon Athletica Inc. Common 550021109 15 39 SH DFND 1 39 0 0 Madrigal Pharmaaceuticals, Inc. Common 558868105 3234 14000 SH DFND 1 14000 0 0 Medtronic, Inc. Common 585055106 26 300 SH DFND 1 300 0 0 Microsoft Corporation Common 594918104 545 1600 SH DFND 1 1600 0 0 Midwest Holding Inc. Common 59833J206 10271 390241 SH DFND 1 390241 0 0 Mondelez International, Inc. Common 50075N104 1021 14000 SH DFND 1 14000 0 0 Morgan Stanley Group Inc. Common 617446448 25 293 SH DFND 1 293 0 0 Nike Inc. Common 654106103 10 91 SH DFND 1 91 0 0 Nvidia Corp Common 67066G104 54 128 SH DFND 1 128 0 0 Occidental Petroleum Corporation Common 674599105 62 1055 SH DFND 1 1055 0 0 Occidential Pertro Wts exp. 8/3/27 Common 674599162 4 194 SH DFND 1 194 0 0 OmniAB, Inc. Common 68218J103 5465 1086505 SH DFND 1 1086505 0 0 Ovintiv Inc. Common 69047Q102 1332 35000 SH DFND 1 35000 0 0 Paccar Inc Common 693718108 12 148 SH DFND 1 148 0 0 Pfizer Inc. Common 717081103 3578 97537 SH DFND 1 97537 0 0 Poseida Therapeutics, Inc. Common 73730P108 248 140921 SH DFND 1 140921 0 0 Proctor & Gamble Company Common 742718109 5 35 SH DFND 1 35 0 0 QualTek Services Inc. - Warrants Common 74760R113 288 25000 SH DFND 1 25000 0 0 Quanta Services, Inc. Common 74762E102 35 176 SH DFND 1 176 0 0 Ryman Hospitality Properties, Inc. Common 78377T107 1152 12400 SH DFND 1 12400 0 0 Salesforce, Inc. Common 79466L302 16 77 SH DFND 1 77 0 0 Sanofi Common 80105N105 3018 56000 SH DFND 1 56000 0 0 Schlumberger Limited Common 806857108 14 292 SH DFND 1 292 0 0 Sculptor Cap Mgmt CL A Common 811246107 2 200 SH DFND 1 200 0 0 Seagen Inc. Common 81181C104 3176 16500 SH DFND 1 16500 0 0 Seres Therapeutics, Inc. Common 81750R102 2251 470000 SH DFND 1 470000 0 0 South State Corporation Common 840441109 70 1068 SH DFND 1 1068 0 0 SPDR Sec SER TR Bloom Emer Mkts Loc BD etf Common 78464A391 3 147 SH DFND 1 147 0 0 Starwood Property Trust, Inc. Common 85571B105 8 400 SH DFND 1 400 0 0 SVB Financial Group Common 78486Q101 0 48 SH DFND 1 48 0 0 Syros Pharmaceutical, Inc Common 87184Q206 303 96260 SH DFND 1 96260 0 0 Target Corporation Common 87612E106 22 166 SH DFND 1 166 0 0 Tastemaker Acquisition Corp. Warrants Common 876545112 1150 100000 SH DFND 1 100000 0 0 The Chemours Company Common 163851108 9 240 SH DFND 1 240 0 0 The Kraft Heinz Company Common 500754106 85 2399 SH DFND 1 2399 0 0 The Mosaic Company Common 61945C103 1225 35000 SH DFND 1 35000 0 0 The Walt Disney Company Common 254687106 10 116 SH DFND 1 116 0 0 Thermo Fisher Scientific, Inc. Common 883556102 23 45 SH DFND 1 45 0 0 TotalEnergies SE - ADR Common 89151E109 92 1600 SH DFND 1 1600 0 0 Twelve Seas Investment Company II Warrants Common 90118T114 1917 166666 SH DFND 1 166666 0 0 United Healthcare Corp. Common 91324P102 27 57 SH DFND 1 57 0 0 United Rental, Inc. Common 911363109 35 78 SH DFND 1 78 0 0 Valley National Bancorp Common 919794107 50 6400 SH DFND 1 6400 0 0 Vertex Pharmaceuticals, Inc. Common 92532F100 1056 3000 SH DFND 1 3000 0 0 Viking Therapeutics, Inc. Common 92686J106 1225 75549 SH DFND 1 75549 0 0 Vulcan Materials Co Common 929160109 23 103 SH DFND 1 103 0 0 Wabtec Corporation Common 929740108 1 6 SH DFND 1 6 0 0 Wal-Mart Stores, Inc. Common 931142103 35 225 SH DFND 1 225 0 0 Wells Fargo & Company Common 949746101 19 438 SH DFND 1 438 0 0 Xenon Pharmaceuticals Inc. Common 98420N105 919 23866 SH DFND 1 23866 0 0 XOMA Corporation Common 98419J206 283 15000 SH DFND 1 15000 0 0 Zimmer Biomet Holdings Inc Common 98956P102 28 190 SH DFND 1 190 0 0