Investment Manager

0001104659-23-116961.txt : 20231113 0001104659-23-116961.hdr.sgml : 20231113 20231113113206 ACCESSION NUMBER: 0001104659-23-116961 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230930 FILED AS OF DATE: 20231113 DATE AS OF CHANGE: 20231113 EFFECTIVENESS DATE: 20231113 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: 231396646 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 09-30-2023 09-30-2023 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 11-13-2023 1 135 261929 1 0001203370 028-10281 DORSET MANAGEMENT CORP INFORMATION TABLE 2 infotable.xml 89Bio, Inc. Common 282559103 225 14574 SH DFND 1 14574 0 0 Aadi Bioscience, Inc. Common 00032Q104 1283 265000 SH DFND 1 265000 0 0 Abbott Laboratories Common 002824100 5 50 SH DFND 1 50 0 0 AbbVie Inc. Common 00287Y109 751 5037 SH DFND 1 5037 0 0 Abeona Therapeutics Inc. Common 00289Y206 674 160000 SH DFND 1 160000 0 0 Adobe Common 00724f101 18 35 SH DFND 1 35 0 0 Aecom Common 00766T100 19 228 SH DFND 1 228 0 0 Akero Therapeutics, Inc. Common 00973Y108 325 6419 SH DFND 1 6419 0 0 Alkermes PLC Common G01767105 630 22491 SH DFND 1 22491 0 0 AllianceBernstein Holding L.P. Common 01881G106 1502 49500 SH DFND 1 49500 0 0 Alphabet Inc CL A Common 02079k305 39 300 SH DFND 1 300 0 0 Alphabet Inc-Cl C Common 02079K107 14767 112000 SH DFND 1 112000 0 0 Alphabet Inc-Cl C Common 02079K107 29 220 SH DFND 1 220 0 0 Amazon.com Inc. Common 023135106 38 300 SH DFND 1 300 0 0 Apollo Global Management, Inc. Common 03769M106 20196 225000 SH DFND 1 225000 0 0 Apple Inc. Common 037833100 427 2494 SH DFND 1 2494 0 0 Arc Resources Ltd. Common 03940R107 27 1229 SH DFND 1 1229 0 0 Arcellx Inc Common 03940c100 718 20000 SH DFND 1 20000 0 0 Ardelyx, Inc. Common 039697107 6120 1500000 SH DFND 1 1500000 0 0 Avadel Pharmaceuticals plc Common 05337M104 2285 221850 SH DFND 1 221850 0 0 Blackrock, Inc. Common 09247X101 20 31 SH DFND 1 31 0 0 Blackstone Group LP Common 09260d107 22 210 SH DFND 1 210 0 0 Bridgebio Pharma, Inc. Common 10806X102 237 9000 SH DFND 1 9000 0 0 Broadcom, Inc. Common 11135F101 59 71 SH DFND 1 71 0 0 CALLS/Calumet Specialty Product @20 ex1/24 Common 131476903 4794 251000 SH DFND 1 251000 0 0 Calumet Specialty Products Partners, LP Common 131476103 82608 4325000 SH DFND 1 4325000 0 0 Canadian Natural Resources Limited Common 136385101 543 8400 SH DFND 1 8400 0 0 Capitol Federal Financial, Inc. Common 14057J101 10 2000 SH DFND 1 2000 0 0 Cenovus Energy Inc. Common 15135U109 1978 95000 SH DFND 1 95000 0 0 Chesapeake Energy Corporation Common 165167735 1725 20000 SH DFND 1 20000 0 0 Chevron Corporation Common 166764100 16 96 SH DFND 1 96 0 0 Chipotle Mexican Grill, Inc. Common 169656105 18 10 SH DFND 1 10 0 0 Coca-Cola Co. Common 191216100 425 7600 SH DFND 1 7600 0 0 Coherus Biosciences, Inc. Common 19249H103 2356 630000 SH DFND 1 630000 0 0 Coliseum Acquisition Corp. Wts Common G2263T107 5693 495000 SH DFND 1 495000 0 0 Conagra Brands, Inc. Common 205887102 274 10000 SH DFND 1 10000 0 0 ConocoPhillips Common 20825C104 14 113 SH DFND 1 113 0 0 Corteva, Inc. Common 22052L104 592 11563 SH DFND 1 11563 0 0 CSX Corporation Common 126408103 2153 70000 SH DFND 1 70000 0 0 Danaher Corporation Common 235851102 45 180 SH DFND 1 180 0 0 DocGo, Inc. Common 256086109 10260 1925000 SH DFND 1 1925000 0 0 Dow Inc. Common 260557103 574 11136 SH DFND 1 11136 0 0 DuPont de Nemours, Inc. Common 26614N102 741 9930 SH DFND 1 9930 0 0 Eagle Materials Inc. Common 26969P108 38 228 SH DFND 1 228 0 0 Eastern Bankshares Inc Common 27627N105 63 5000 SH DFND 1 5000 0 0 Eli Lilly & Co. Common 532457108 161 300 SH DFND 1 300 0 0 Equinix Inc Common 29444U700 27 37 SH DFND 1 37 0 0 Evolus, Inc. Common 30052C107 622 68066 SH DFND 1 68066 0 0 F.N.B. Corporation Common 302520101 96 8905 SH DFND 1 8905 0 0 FaZe Holdings Inc. Warrants Common 31423J110 663 57654 SH DFND 1 57654 0 0 FaZe Holdings Inc. Warrants Common 31423J110 8 667 SH DFND 1 667 0 0 Franklin BSP Realty Trust, Inc. Common 35243J101 4336 327524 SH DFND 1 327524 0 0 FS Bancorp, Inc. Common 30263Y104 129 4380 SH DFND 1 4380 0 0 FS KKR Capital Corp. Common 302635107 225 11425 SH DFND 1 11425 0 0 FTAI Aviation Ltd. Common G3730V105 15109 425000 SH DFND 1 425000 0 0 Generac Holdings, Inc. Common 368736104 8 69 SH DFND 1 69 0 0 General Electric Company Common 369604103 18 162 SH DFND 1 162 0 0 GSK plc Common 37733W204 2356 65000 SH DFND 1 65000 0 0 Heritage NOLA Bancorp, Inc. Common 42727P108 55 3000 SH DFND 1 3000 0 0 Home Depot Inc. Common 437076102 24 80 SH DFND 1 80 0 0 Inozyme Pharma, Inc. Common 45790W108 1907 454008 SH DFND 1 454008 0 0 International Business Machines Common 459200101 301 2142 SH DFND 1 2142 0 0 International Game Technology PLC Common 459902102 227 7500 SH DFND 1 7500 0 0 IQVIA Holdings Inc Common 46266c105 24 122 SH DFND 1 122 0 0 iShares Core S&P Small-Cap ETF Common 464287804 30 313 SH DFND 1 313 0 0 ishares MSCI EAFE Growth Index Fund Common 464288885 22 252 SH DFND 1 252 0 0 iShares Russell 2000 Growth Common 464287648 26 118 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 63 695 SH DFND 1 695 0 0 iShares Russell Mid-Cap Value Common 464287473 28 273 SH DFND 1 273 0 0 Janus Henderson AAA CLO ETF Common 47103U845 1582 31432 SH DFND 1 31432 0 0 Jazz Pharmaceuticals PLC Common G50871105 2901 22411 SH DFND 1 22411 0 0 Johnson & Johnson Common 478160104 335 2151 SH DFND 1 2151 0 0 JPMorgan Chase & Co. Common 46625H100 3043 20985 SH DFND 1 20985 0 0 Kenvue, Inc. Common 49177J102 105 5215 SH DFND 1 5215 0 0 Kimberly-Clark Corporation Common 494368103 725 6000 SH DFND 1 6000 0 0 Kiwetinohk Energy Corp. Common 49836K102 1532 160000 SH DFND 1 160000 0 0 Kyndryl Holdings Inc. Common 50155Q100 6 428 SH DFND 1 428 0 0 Legacy Housing Corporation Common 52472M101 126 6500 SH DFND 1 6500 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 4494 75000 SH DFND 1 75000 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 2397 40000 SH DFND 1 40000 0 0 Linde PLC Common G5494J103 26 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 2191 15000 SH DFND 1 15000 0 0 Medtronic, Inc. Common 585055106 24 300 SH DFND 1 300 0 0 Microsoft Corporation Common 594918104 505 1600 SH DFND 1 1600 0 0 Midwest Holding Inc. Common 59833J206 10205 390241 SH DFND 1 390241 0 0 Mondelez International Inc. Common 50075N104 972 14000 SH DFND 1 14000 0 0 Morgan Stanley Group Inc. Common 617446448 24 293 SH DFND 1 293 0 0 MorphoSys AG Common 617760202 2318 345000 SH DFND 1 345000 0 0 Nike Inc. Common 654106103 9 91 SH DFND 1 91 0 0 Nvidia Corp Common 67066G104 56 128 SH DFND 1 128 0 0 Occidental Petroleum Corporation Common 674599105 68 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 5639 1086505 SH DFND 1 1086505 0 0 Ovintiv Inc. Common 69047Q102 1665 35000 SH DFND 1 35000 0 0 Paccar Inc Common 693718108 13 148 SH DFND 1 148 0 0 Pfizer Inc. Common 717081103 3235 97537 SH DFND 1 97537 0 0 Proctor & Gamble Company Common 742718109 5 35 SH DFND 1 35 0 0 Protagonist Therapeutics, Inc Common 74366E102 873 52368 SH DFND 1 52368 0 0 PSQ Holdings, Inc. Common 693691107 307 26666 SH DFND 1 26666 0 0 Quanta Services, Inc. Common 74762E110 33 176 SH DFND 1 176 0 0 Ryman Hospitality Properties, Inc. Common 78377T107 999 12000 SH DFND 1 12000 0 0 Salesforce, Inc. Common 79466L302 16 77 SH DFND 1 77 0 0 Sanofi Common 80105N113 3004 56000 SH DFND 1 56000 0 0 Schlumberger Limited Common 806857108 17 292 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 3819 18000 SH DFND 1 18000 0 0 Seres Therapeutics, Inc. Common 81750R102 167 70000 SH DFND 1 70000 0 0 South State Corporation Common 840441109 72 1068 SH DFND 1 1068 0 0 Starwood Property Trust, Inc. Common 85571B105 8 400 SH DFND 1 400 0 0 Syros Pharmaceutical, Inc Common 87184Q206 419 105975 SH DFND 1 105975 0 0 The Chemours Company Common 163851108 7 240 SH DFND 1 240 0 0 The Invesco AAA Floating Rate Note ETF Common 46090A721 1979 77377 SH DFND 1 77377 0 0 The Kraft Heinz Company Common 500754106 11 333 SH DFND 1 333 0 0 The Mosaic Company Common 61945C103 1246 35000 SH DFND 1 35000 0 0 The Panagram AAA CLO ETF Common 81752T486 396 15640 SH DFND 1 15640 0 0 The Panagram BBB-B CLO ETF Common 81752T528 3164 121032 SH DFND 1 121032 0 0 The Walt Disney Company Common 254687106 9 116 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 105 1600 SH DFND 1 1600 0 0 Travere Therapeutics, Inc. Common 89422G107 897 100317 SH DFND 1 100317 0 0 Twelve Seas Investment Company II Warrants Common 90118T114 1917 166666 SH DFND 1 166666 0 0 United Healthcare Corp. Common 91324p102 29 57 SH DFND 1 57 0 0 United Rental, Inc. Common 911363109 35 78 SH DFND 1 78 0 0 United Therapeutics Corporation Common 91307C102 2021 8949 SH DFND 1 8949 0 0 Valley National Bancorp Common 919794107 55 6400 SH DFND 1 6400 0 0 Vertex Pharmaceuticals, Inc. Common 92532F100 1043 3000 SH DFND 1 3000 0 0 Viking Therapeutics, Inc. Common 92686J106 2054 185555 SH DFND 1 185555 0 0 Vulcan Materials Co Common 929160109 21 103 SH DFND 1 103 0 0 Wabtec Corporation Common 929740108 1 6 SH DFND 1 6 0 0 Wal-Mart Stores, Inc. Common 931142103 36 225 SH DFND 1 225 0 0 Wells Fargo & Company Common 949746101 18 438 SH DFND 1 438 0 0 Xenon Pharmaceuticals Inc. Common 98420N105 815 23866 SH DFND 1 23866 0 0 XOMA Corporation Common 98419J206 278 19722 SH DFND 1 19722 0 0