13F-HR/A 1 a2174616z13f-hra.txt FORM 13F-HR/A OMB APPROVAL OMB Number : 3235-0006 Expires: October 31, 2000 Estimated average burden hours per response 24.7 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended September 30, 2006 Check here if Amendment |X|: Amendment Number: _________ This Amendment (Check only one): |X| is a restatement. |_| adds new holdings entries Institutional Investment Manager Filing this Report: Name: David M. Knott Address: 485 Underhill Boulevard Suite 205 Syosset, NY 11791 Form 13F File Number: 28-03121 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists and tables are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Reporting Manager: Name: David M. Knott Title: Investment Manager Phone: (516) 364-0303 Signature, Place and Date of Signing: /s/ David M. Knott ------------------------------------- [Signature] Syosset, New York [City, State] November 13, 2006 [Date] Report Type (Check only one.): |X| 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) |_| 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) |_| 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) 1 FORM 13F SUMMARY PAGE REPORT SUMMARY: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 477 Form 13F Information Table Value Total: $2,905,959 (thousands) List of Other Included Managers: Dorset Management Corporation ("Dorset") 2
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------------ Abercrombie & Fitch Co. Common 002896207 4,080,768 58,733 SH OTHER Dorset 58,733 Abercrombie & Fitch Co. Common 002896207 14,604,696 210,200 SH DEFINED Dorset 210,200 Abercrombie & Fitch Co. Common 002896207 722,592 10,400 SH DEFINED Dorset 10,400 Abercrombie & Fitch Co. Common 002896207 173,700 2,500 SH DEFINED Dorset 2,500 Acacia Research-Acacia Technologies Common 003881307 16,861,855 1,485,626 SH DEFINED Dorset 1,485,626 Acacia Research-Acacia Technologies Common 003881307 844,440 74,400 SH DEFINED Dorset 74,400 Acacia Research-Acacia Technologies Common 003881307 196,355 17,300 SH DEFINED Dorset 17,300 Acquicor Technology Inc. Common 00489A107 178,908 32,120 SH OTHER Dorset 32,120 Acquicor Technology Inc. Common 00489A107 178,686 32,080 SH DEFINED Dorset 32,080 Acquicor Technology Inc. Common 00489A107 8,912 1,600 SH DEFINED Dorset 1,600 Acquicor Technology Inc. Common 00489A107 2,228 400 SH DEFINED Dorset 400 Ad. Venture Partners Inc. Common 00516Q109 209,380 38,000 SH DEFINED Dorset 38,000 Ad. Venture Partners Inc. Common 00516Q109 11,020 2,000 SH DEFINED Dorset 2,000 Ad. Venture Partners Inc. Common 00516Q109 2,755 500 SH DEFINED Dorset 500 Advance Auto Parts, Inc. Common 00751Y106 22,494,726 682,900 SH DEFINED Dorset 682,900 Advance Auto Parts, Inc. Common 00751Y106 1,123,254 34,100 SH DEFINED Dorset 34,100 Advance Auto Parts, Inc. Common 00751Y106 263,520 8,000 SH DEFINED Dorset 8,000 Aeropostale, Inc. Common 007865108 1,461,500 50,000 SH OTHER Dorset 50,000 Aeropostale, Inc. Common 007865108 5,921,998 202,600 SH DEFINED Dorset 202,600 Aeropostale, Inc. Common 007865108 295,223 10,100 SH DEFINED Dorset 10,100 Aeropostale, Inc. Common 007865108 67,229 2,300 SH DEFINED Dorset 2,300 Aldabra Acquisition Corporation Common 01407F103 1,751,784 310,600 SH DEFINED Dorset 310,600 Aldabra Acquisition Corporation Common 01407F103 87,420 15,500 SH DEFINED Dorset 15,500 Aldabra Acquisition Corporation Common 01407F103 20,868 3,700 SH DEFINED Dorset 3,700 Aldabra Acquisition Corporation Common 01407F111 253,897 305,900 SH Call DEFINED Dorset 305,900 Aldabra Acquisition Corporation Common 01407F111 12,699 15,300 SH Call DEFINED Dorset 15,300 Aldabra Acquisition Corporation Common 01407F111 2,988 3,600 SH Call DEFINED Dorset 3,600 Alphatec Holdings, Inc. Common 02081G102 4,713,874 824,594 SH DEFINED Dorset 824,594 Alphatec Holdings, Inc. Common 02081G102 328,876 57,530 SH DEFINED Dorset 57,530 Alphatec Holdings, Inc. Common 02081G102 52,707 9,220 SH DEFINED Dorset 9,220 American Express Co. Common 025816109 3,336,760 59,500 SH OTHER Dorset 59,500 American Express Co @47.5 Exp. 1/08 Common 025816109 3,929,380 3,302 SH Call DEFINED Dorset 3,302 American Express Co @47.5 Exp. 1/08 Common 025816109 215,390 181 SH Call DEFINED Dorset 181 American Express Co @47.5 Exp. 1/08 Common 025816109 48,790 41 SH Call DEFINED Dorset 41 American Express Co. @ 50 Exp. 1/07 Common 0250019AJ 5,638,400 3,524 SH Call DEFINED Dorset 3,524 American Express Co. @ 50 Exp. 1/07 Common 0250019AJ 300,800 188 SH Call DEFINED Dorset 188 American Express Co. @ 50 Exp. 1/07 Common 0250019AJ 65,600 41 SH Call DEFINED Dorset 41 American Express Co. @ 50 Exp. 1/07 Common 0250019AJ 1,761,250 1,409 SH Call OTHER Dorset 1,409
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------------ American Express Co. @ 55 Exp. 1/07 Common 0250019AK 6,799,420 6,238 SH Call DEFINED Dorset 6,238 American Express Co. @ 55 Exp. 1/07 Common 0250019AK 371,690 341 SH Call DEFINED Dorset 341 American Express Co. @ 55 Exp. 1/07 Common 0250019AK 76,300 70 SH Call DEFINED Dorset 70 American International Group Inc. Common 026874107 172,276 2,600 SH OTHER 2,600 American International Group Inc. Common 026874107 695,730 10,500 SH SOLE 10,500 American International Group Inc. Common 026874107 157,585,760 2,378,294 SH DEFINED Dorset 2,378,294 American International Group Inc. Common 026874107 7,911,444 119,400 SH DEFINED Dorset 119,400 American International Group Inc. Common 026874107 1,848,654 27,900 SH DEFINED Dorset 27,900 Anadarko Petroleum Corporation Common 032511107 28,726,182 655,400 SH DEFINED Dorset 655,400 Ardent Acquisition Corporation Common 03979E100 358,450 67,000 SH OTHER Dorset 67,000 Ardent Acquisition Corporation Common 03979E100 667,145 124,700 SH DEFINED Dorset 124,700 Ardent Acquisition Corporation Common 03979E100 36,380 6,800 SH DEFINED Dorset 6,800 Ardent Acquisition Corporation Common 03979E100 8,025 1,500 SH DEFINED Dorset 1,500 Aristotle Corp. Common 040448201 28,054 3,380 SH DEFINED Dorset 3,380 Armor Holdings, Inc. Common 042260109 23,803,416 415,200 SH DEFINED Dorset 415,200 Armor Holdings, Inc. Common 042260109 1,169,532 20,400 SH DEFINED Dorset 20,400 Armor Holdings, Inc. Common 042260109 280,917 4,900 SH DEFINED Dorset 4,900 Arrowhead Research Corporation Common 042797100 19,444,769 3,901,231 SH DEFINED Dorset 3,901,231 Arrowhead Research Corporation Common 042797100 1,021,917 205,000 SH DEFINED Dorset 205,000 Arrowhead Research Corporation Common 042797100 227,540 45,600 SH DEFINED Dorset 45,600 Ascend Acquisition Corportation Common 04350H100 270,648 50,400 SH OTHER Dorset 50,400 Ascend Acquisition Corportation Common 04350H100 1,514,877 282,100 SH DEFINED Dorset 282,100 Ascend Acquisition Corportation Common 04350H100 151,165 28,150 SH DEFINED Dorset 28,150 Ascend Acquisition Corportation Common 04350H100 9,666 1,800 SH DEFINED Dorset 1,800 Ascend Acquisition Corportation - units Common 04350H209 491,385 79,900 SH OTHER Dorset 79,900 Ascend Acquisition Corportation - units Common 04350H209 50,430 8,200 SH DEFINED Dorset 8,200 Ascend Acquisition Corportation - units Common 04350H209 5,227 850 SH DEFINED Dorset 850 Ascend Acquisition Corportation - units Common 04350H209 615 100 SH DEFINED Dorset 100 Ascend Acquisition Corporation Common 04350H118 1,760 4,400 SH Call OTHER Dorset 4,400 Asia Automotive Acquisition Corporation units Common 04519K200 386,750 42,500 SH OTHER Dorset 42,500 Asia Automotive Acquisition Corporation Common 04519K101 305,999 42,500 SH OTHER Dorset 42,500 Asia Automotive Acquisition Corporation Common 04519K101 652,000 80,000 SH DEFINED Dorset 80,000 Asia Automotive Acquisition Corporation Common 04519K101 32,600 4,000 SH DEFINED Dorset 4,000 Asia Automotive Acquisition Corporation Common 04519K101 8,150 1,000 SH DEFINED Dorset 1,000 Aveta, Inc. Common 05365U101 8,965,800 527,400 SH DEFINED Dorset 527,400 Aveta, Inc. Common 05365U101 479,400 28,200 SH DEFINED Dorset 28,200 Aveta, Inc. Common 05365U101 108,800 6,400 SH DEFINED Dorset 6,400 Baker Hughes Incorporated Common 057224107 60,357,000 885,000 SH DEFINED Dorset 885,000
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------------ Bank of America Corporation Common 060505104 107,140 2,000 SH OTHER 2,000 Bank of America Corporation Common 060505104 407,132 7,600 SH SOLE 7,600 Bank of America Corporation Common 060505104 80,028,223 1,493,900 SH DEFINED Dorset 1,493,900 Bank of America Corporation Common 060505104 4,023,107 75,100 SH DEFINED Dorset 75,100 Bank of America Corporation Common 060505104 937,475 17,500 SH DEFINED Dorset 17,500 Beazer Homes USA, Inc. Common 07556Q105 113,216 2,900 SH OTHER 2,900 Beazer Homes USA, Inc. Common 07556Q105 345,504 8,850 SH SOLE 8,850 Beazer Homes USA, Inc. Common 07556Q105 50,960,239 1,305,334 SH DEFINED Dorset 1,305,334 Beazer Homes USA, Inc. Common 07556Q105 2,171,014 55,610 SH DEFINED Dorset 55,610 Beazer Homes USA, Inc. Common 07556Q105 451,302 11,560 SH DEFINED Dorset 11,560 Bill Barrett Corporation Common 06846N104 5,675,816 231,100 SH DEFINED Dorset 231,100 BioVeris Corporation Common 090676107 9,457,890 1,007,230 SH DEFINED Dorset 1,007,230 BioVeris Corporation Common 090676107 471,378 50,200 SH DEFINED Dorset 50,200 BioVeris Corporation Common 090676107 110,802 11,800 SH DEFINED Dorset 11,800 BJ Services Company Common 055482103 53,480,750 1,775,000 SH DEFINED Dorset 1,775,000 Blockbuster Inc.- Class B Common 093679207 5,727,778 1,622,600 SH DEFINED Dorset 1,622,600 Blockbuster Inc.- Class B Common 093679207 286,989 81,300 SH DEFINED Dorset 81,300 Blockbuster Inc.- Class B Common 093679207 66,717 18,900 SH DEFINED Dorset 18,900 Blockbuster, Inc. Common 093679108 9,523,584 2,480,100 SH DEFINED Dorset 2,480,100 Blockbuster, Inc. Common 093679108 466,944 121,600 SH DEFINED Dorset 121,600 Blockbuster, Inc. Common 093679108 110,976 28,900 SH DEFINED Dorset 28,900 Bristow Group, Inc. Common 110394103 5,221,920 151,800 SH DEFINED Dorset 151,800 Bristow Group, Inc. Common 110394103 261,440 7,600 SH DEFINED Dorset 7,600 Bristow Group, Inc. Common 110394103 61,920 1,800 SH DEFINED Dorset 1,800 Butler International, Inc. Common 123649105 1,544,640 965,400 SH DEFINED Dorset 965,400 Butler International, Inc. Common 123649105 126,240 78,900 SH DEFINED Dorset 78,900 Butler International, Inc. Common 123649105 12,000 7,500 SH DEFINED Dorset 7,500 Cabot Oil & Gas Corporation Common 127097103 49,200,145 1,026,500 SH DEFINED Dorset 1,026,500 Calfrac Well Services Ltd. Common 129584108 1,270,295 65,000 SH DEFINED Dorset 65,000 Callidus Software Common 13123E500 11,403,917 2,346,485 SH DEFINED Dorset 2,346,485 Callidus Software Common 13123E500 584,162 120,198 SH DEFINED Dorset 120,198 Callidus Software Common 13123E500 135,108 27,800 SH DEFINED Dorset 27,800 Canadian Natural Resources Ltd. Common 136385101 237,016 5,200 SH OTHER 5,200 Canadian Natural Resources Ltd. Common 136385101 656,352 14,400 SH SOLE 14,400 Canadian Natural Resources Ltd. Common 136385101 207,020,072 4,543,800 SH DEFINED Dorset 4,543,800 Canadian Natural Resources Ltd. Common 136385101 52,524,543 1,152,840 SH DEFINED Dorset 1,152,840 Canadian Natural Resources Ltd. Common 136385101 2,191,484 48,100 SH DEFINED Dorset 48,100 Career Education Corporation Common 141665109 3,164,343 140,700 SH DEFINED Dorset 140,700
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------------ Career Education Corporation Common 141665109 170,924 7,600 SH DEFINED Dorset 7,600 Career Education Corporation Common 141665109 38,233 1,700 SH DEFINED Dorset 1,700 Career Educations Corp. @20 Exp. 10/06 Common 141665109 220,275 801 SH Call DEFINED Dorset 801 Career Educations Corp. @20 Exp. 10/06 Common 141665109 11,000 40 SH Call DEFINED Dorset 40 Career Educations Corp. @20 Exp. 10/06 Common 141665109 2,475 9 SH Call DEFINED Dorset 9 Caremark Rx, Inc. Common 141705131 29,328,992 517,540 SH DEFINED Dorset 517,540 Caremark Rx, Inc. Common 141705131 1,513,089 26,700 SH DEFINED Dorset 26,700 Caremark Rx, Inc. Common 141705131 345,687 6,100 SH DEFINED Dorset 6,100 Centex Corporation Common 152312104 157,860 3,000 SH OTHER 3,000 Centex Corporation Common 152312104 505,152 9,600 SH SOLE 9,600 Centex Corporation Common 152312104 142,782,265 2,713,460 SH DEFINED Dorset 2,713,460 Centex Corporation Common 152312104 7,193,154 136,700 SH DEFINED Dorset 136,700 Centex Corporation Common 152312104 1,673,316 31,800 SH DEFINED Dorset 31,800 Cepheid, Inc. Common 15670R107 5,606,431 776,514 SH DEFINED Dorset 776,514 Cepheid, Inc. Common 15670R107 279,414 38,700 SH DEFINED Dorset 38,700 Cepheid, Inc. Common 15670R107 65,702 9,100 SH DEFINED Dorset 9,100 Cerus Corporations Common 157085101 5,781,174 1,041,653 SH DEFINED Dorset 1,041,653 Cerus Corporations Common 157085101 288,045 51,900 SH DEFINED Dorset 51,900 Cerus Corporations Common 157085101 67,710 12,200 SH DEFINED Dorset 12,200 Citi Trends Inc. Common 17306X102 7,240,198 209,800 SH DEFINED Dorset 209,800 Citi Trends Inc. Common 17306X102 365,806 10,600 SH DEFINED Dorset 10,600 Citi Trends Inc. Common 17306X102 89,726 2,600 SH DEFINED Dorset 2,600 Citigroup Inc. Common 172967101 327,822 6,600 SH OTHER 6,600 Citigroup Inc. Common 172967101 1,241,750 25,000 SH SOLE 25,000 Citigroup Inc. Common 172967101 116,504,959 2,345,580 SH DEFINED Dorset 2,345,580 Citigroup Inc. Common 172967101 5,895,829 118,700 SH DEFINED Dorset 118,700 Citigroup Inc. Common 172967101 1,355,991 27,300 SH DEFINED Dorset 27,300 ClickSoftware Technologies Ltd. Common M25082104 1,335,446 565,867 SH DEFINED Dorset 565,867 ClickSoftware Technologies Ltd. Common M25082104 64,428 27,300 SH DEFINED Dorset 27,300 ClickSoftware Technologies Ltd. Common M25082104 15,576 6,600 SH DEFINED Dorset 6,600 Coastal Bancshares Acquistion Corp. Common 19041F107 266,000 50,000 SH OTHER Dorset 50,000 Coastal Bancshares Acquistion Corp. Common 19041F107 499,016 93,800 SH DEFINED Dorset 93,800 Coastal Bancshares Acquistion Corp. Common 19041F107 26,600 5,000 SH DEFINED Dorset 5,000 Coastal Bancshares Acquistion Corp. Common 19041F107 6,384 1,200 SH DEFINED Dorset 1,200 Collectors Universe, Inc. Common 19421R200 3,497,265 250,700 SH DEFINED Dorset 250,700 Collectors Universe, Inc. Common 19421R200 175,770 12,600 SH DEFINED Dorset 12,600 Collectors Universe, Inc. Common 19421R200 40,455 2,900 SH DEFINED Dorset 2,900 Columbia Laboratories Inc. Common 197779101 2,076 600 SH OTHER 600
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------------ Columbia Laboratories Inc. Common 197779101 12,100,485 3,497,250 SH DEFINED Dorset 3,497,250 Columbia Laboratories Inc. Common 197779101 749,436 216,600 SH DEFINED Dorset 216,600 Connetics Corporation Common 208192104 16,183,797 1,484,752 SH DEFINED Dorset 1,484,752 Connetics Corporation Common 208192104 809,870 74,300 SH DEFINED Dorset 74,300 Connetics Corporation Common 208192104 189,660 17,400 SH DEFINED Dorset 17,400 Copart, Inc. Common 217204106 5,432,213 192,700 SH DEFINED Dorset 192,700 Copart, Inc. Common 217204106 270,624 9,600 SH DEFINED Dorset 9,600 Copart, Inc. Common 217204106 64,837 2,300 SH DEFINED Dorset 2,300 Courtside Acquisitions Corporation Common 22274N102 1,989,620 375,400 SH DEFINED Dorset 375,400 Courtside Acquisitions Corporation Common 22274N102 105,470 19,900 SH DEFINED Dorset 19,900 Courtside Acquisitions Corporation Common 22274N102 24,910 4,700 SH DEFINED Dorset 4,700 Crocs, Inc Common 227046109 1,120,350 33,000 SH DEFINED Dorset 33,000 Crocs, Inc Common 227046109 57,715 1,700 SH DEFINED Dorset 1,700 Crocs, Inc Common 227046109 10,185 300 SH DEFINED Dorset 300 Crucell NV Common 228769105 37,277,940 1,566,300 SH DEFINED Dorset 1,566,300 Crucell NV Common 228769105 1,861,160 78,200 SH DEFINED Dorset 78,200 Crucell NV Common 228769105 435,540 18,300 SH DEFINED Dorset 18,300 D.R. Horton, Inc. Common 23331A109 359,250 15,000 SH OTHER 15,000 D.R. Horton, Inc. Common 23331A109 838,250 35,000 SH SOLE 35,000 D.R. Horton, Inc. Common 23331A109 190,289,264 7,945,272 SH DEFINED Dorset 7,945,272 D.R. Horton, Inc. Common 23331A109 9,579,998 400,000 SH DEFINED Dorset 400,000 D.R. Horton, Inc. Common 23331A109 2,229,744 93,100 SH DEFINED Dorset 93,100 Danka Business Systems plc Common 236277109 6,859,819 3,688,075 SH DEFINED Dorset 3,688,075 Danka Business Systems plc Common 236277109 342,705 184,250 SH DEFINED Dorset 184,250 Danka Business Systems plc Common 236277109 80,352 43,200 SH DEFINED Dorset 43,200 Delta Petroleum Corporation Common 247907207 225,200 10,000 SH DEFINED Dorset 10,000 Devon Energy Corp. Common 25179M103 31,259,250 495,000 SH DEFINED Dorset 495,000 Dyadic International Inc. Common 26745T101 4,467,175 1,051,100 SH DEFINED Dorset 1,051,100 Dyadic International Inc. Common 26745T101 231,837 54,550 SH DEFINED Dorset 54,550 Dyadic International Inc. Common 26745T101 55,462 13,050 SH DEFINED Dorset 13,050 Echo Healthcare Acquisition Corp. Common 27876C206 4,724,730 583,300 SH DEFINED Dorset 583,300 Echo Healthcare Acquisition Corp. Common 27876C206 208,980 25,800 SH DEFINED Dorset 25,800 Echo Healthcare Acquisition Corp. Common 27876C206 47,790 5,900 SH DEFINED Dorset 5,900 EnCana Corp. Common 292505104 45,736,498 983,200 SH DEFINED Dorset 983,200 Eagle Materials Inc. Common 26969P108 7,679 228 SH OTHER 228 eXegenics Inc. Common 301610101 601,840 752,300 SH DEFINED Dorset 752,300 eXegenics Inc. Common 301610101 31,280 39,100 SH DEFINED Dorset 39,100 eXegenics Inc. Common 301610101 7,200 9,000 SH DEFINED Dorset 9,000
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------------ Fidelity National Financial, Inc. Common 316326107 7,680,260 184,400 SH DEFINED Dorset 184,400 Fidelity National Financial, Inc. Common 316326107 195,755 4,700 SH DEFINED Dorset 4,700 First Keystone Financial, Inc. Common 320655103 1,154,533 58,576 SH DEFINED Dorset 58,576 First Keystone Financial, Inc. Common 320655103 57,159 2,900 SH DEFINED Dorset 2,900 First Keystone Financial, Inc. Common 320655103 13,797 700 SH DEFINED Dorset 700 FMC Technologies, Inc. Common 302490101 17,280,660 321,800 SH DEFINED Dorset 321,800 Footstar, Inc. Common 344912209 147,805 28,700 SH DEFINED Dorset 28,700 Footstar, Inc. Common 344912209 19,570 3,800 SH DEFINED Dorset 3,800 FortuNet, Inc. Common 34969Q100 536,520 52,600 SH DEFINED Dorset 52,600 FortuNet, Inc. Common 34969Q100 27,540 2,700 SH DEFINED Dorset 2,700 Fresh Del Monte Produce Inc. Common G36738105 471,269 27,100 SH DEFINED Dorset 27,100 Fresh Del Monte Produce Inc. Common G36738105 33,041 1,900 SH DEFINED Dorset 1,900 Fresh Del Monte Produce Inc. Common G36738105 8,695 500 SH DEFINED Dorset 500 GAINSCO, Inc. Common 363127101 4,269,147 560,992 SH DEFINED Dorset 560,992 GAINSCO, Inc. Common 363127101 212,954 27,983 SH DEFINED Dorset 27,983 GAINSCO, Inc. Common 363127101 50,289 6,608 SH DEFINED Dorset 6,608 General Finance Corporation Common 369822200 113,032 14,200 SH DEFINED Dorset 14,200 General Finance Corporation Common 369822200 5,572 700 SH DEFINED Dorset 700 General Finance Corporation Common 369822200 796 100 SH DEFINED Dorset 100 Gentiva Health Services, Inc. Common 37247A102 3,625,020 220,500 SH DEFINED Dorset 220,500 Gentiva Health Services, Inc. Common 37247A102 187,416 11,400 SH DEFINED Dorset 11,400 Gentiva Health Services, Inc. Common 37247A102 42,744 2,600 SH DEFINED Dorset 2,600 Genzyme Corporation Common 372917104 598,121 8,865 SH OTHER Dorset 8,865 Genzyme Corporation Common 372917104 8,154,754 120,865 SH DEFINED Dorset 120,865 Genzyme Corporation Common 372917104 1,425,323 21,125 SH DEFINED Dorset 21,125 Global Logistics Acquisition Corporation Common 379414204 754,000 100,000 SH OTHER Dorset 100,000 Global Logistics Acquisition Corporation Common 379414204 5,124,339 630,300 SH DEFINED Dorset 630,300 Global Logistics Acquisition Corporation Common 379414204 215,445 26,500 SH DEFINED Dorset 26,500 Global Logistics Acquisition Corporation Common 379414204 45,528 5,600 SH DEFINED Dorset 5,600 Global Services Partners Aquisition Corp Common 37946Y302 263,900 26,000 SH OTHER Dorset 26,000 Global Services Partners Aquisition Corp Common 37946Y302 999,775 98,500 SH DEFINED Dorset 98,500 Global Services Partners Aquisition Corp Common 37946Y302 46,690 4,600 SH DEFINED Dorset 4,600 Global Services Partners Aquisition Corp Common 37946Y302 9,135 900 SH DEFINED Dorset 900 Goldleaf Financial Solutions, Inc. Common 38144H208 1,934,453 274,780 SH DEFINED Dorset 274,780 Goldleaf Financial Solutions, Inc. Common 38144H208 98,226 13,953 SH DEFINED Dorset 13,953 Goldleaf Financial Solutions, Inc. Common 38144H208 22,950 3,260 SH DEFINED Dorset 3,260 Halliburton Company Common 406216101 46,800,250 1,645,000 SH DEFINED Dorset 1,645,000 Harbor Acquisition Corporation Common 41145X107 766,480 143,000 SH OTHER Dorset 143,000
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------------ Harbor Acquisition Corporation Common 41145X107 2,853,664 532,400 SH DEFINED Dorset 532,400 Harbor Acquisition Corporation Common 41145X107 135,072 25,200 SH DEFINED Dorset 25,200 Harbor Acquisition Corporation Common 41145X107 23,584 4,400 SH DEFINED Dorset 4,400 Healthcare Acquisition Corp. Common 42224H203 676,298 93,800 SH DEFINED Dorset 93,800 Healthcare Acquisition Corp. Common 42224H203 36,050 5,000 SH DEFINED Dorset 5,000 Healthcare Acquisition Corp. Common 42224H203 8,652 1,200 SH DEFINED Dorset 1,200 Home Depot Inc. Common 437076102 18,599,256 512,800 SH DEFINED Dorset 512,800 Home Depot Inc. Common 437076102 932,139 25,700 SH DEFINED Dorset 25,700 Home Depot Inc. Common 437076102 217,620 6,000 SH DEFINED Dorset 6,000 Home Solutions of America, Inc. Common 437355100 774,324 141,300 SH DEFINED Dorset 141,300 Home Solutions of America, Inc. Common 437355100 38,360 7,000 SH DEFINED Dorset 7,000 Home Solutions of America, Inc. Common 437355100 9,316 1,700 SH DEFINED Dorset 1,700 Hudson City Bancorp Inc. Common 443683107 23,002,000 1,736,000 SH DEFINED Dorset 1,736,000 Hudson City Bancorp Inc. Common 443683107 1,124,925 84,900 SH DEFINED Dorset 84,900 Hudson City Bancorp Inc. Common 443683107 268,975 20,300 SH DEFINED Dorset 20,300 India Globalization Capital, Inc. Common 45408X100 49,500 9,000 SH OTHER Dorset 9,000 India Globalization Capital, Inc. Common 45408X100 186,450 33,900 SH DEFINED Dorset 33,900 India Globalization Capital, Inc. Common 45408X100 9,350 1,700 SH DEFINED Dorset 1,700 India Globalization Capital, Inc. Common 45408X100 2,200 400 SH DEFINED Dorset 400 Indus International, Inc. Common 45578L100 5,346,551 2,130,100 SH DEFINED Dorset 2,130,100 Indus International, Inc. Common 45578L100 268,068 106,800 SH DEFINED Dorset 106,800 Indus International, Inc. Common 45578L100 62,499 24,900 SH DEFINED Dorset 24,900 InterOil Corporation Common 460951106 1,778,473 93,950 SH DEFINED Dorset 93,950 InterOil Corporation Common 460951106 459,052 24,250 SH DEFINED Dorset 24,250 InterOil Corporation Common 460951106 32,181 1,700 SH DEFINED Dorset 1,700 Interstate Bakeries Corporation Common 46072H108 107,042 36,911 SH OTHER Dorset 36,911 Interstate Bakeries Corporation Common 46072H108 1,199,278 413,544 SH DEFINED Dorset 413,544 Interstate Bakeries Corporation Common 46072H108 60,030 20,700 SH DEFINED Dorset 20,700 Interstate Bakeries Corporation Common 46072H108 15,950 5,500 SH DEFINED Dorset 5,500 Israel Growth Partners Acquistion Corp Common 465090405 117,600 12,000 SH OTHER Dorset 12,000 Israel Growth Partners Acquistion Corp Common 465090405 442,960 45,200 SH DEFINED Dorset 45,200 Israel Growth Partners Acquistion Corp Common 465090405 22,540 2,300 SH DEFINED Dorset 2,300 Israel Growth Partners Acquistion Corp Common 465090405 4,900 500 SH DEFINED Dorset 500 Ithaka Acquistion Corp. Common 465707107 1,250,418 234,600 SH DEFINED Dorset 234,600 Ithaka Acquistion Corp. Common 465707107 66,092 12,400 SH DEFINED Dorset 12,400 Ithaka Acquistion Corp. Common 465707107 15,990 3,000 SH DEFINED Dorset 3,000 Jaguar Acquistion Corporation Common 470084104 258,133 49,168 SH OTHER Dorset 49,168 Jaguar Acquistion Corporation Common 470084104 978,075 186,300 SH DEFINED Dorset 186,300
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------------ Jaguar Acquistion Corporation Common 470084104 46,578 8,872 SH DEFINED Dorset 8,872 Jaguar Acquisition Corporation Common 470084104 7,875 1,500 SH DEFINED Dorset 1,500 Jaguar Acquistion Corporation Common 470084112 28,016 31,836 SH Call OTHER Dorset 31,836 Jaguar Acquisition Corporation Common 470084112 105,424 119,800 SH Call DEFINED Dorset 119,800 Jaguar Acquisition Corporation Common 470084112 5,407 6,144 SH Call DEFINED Dorset 6,144 Jaguar Acquisition Corporation Common 470084112 1,232 1,400 SH Call DEFINED Dorset 1,400 JK Acquisition Corp. Common 47759H106 722,587 132,100 SH OTHER Dorset 132,100 JK Acquisition Corp. Common 47759H106 3,070,858 561,400 SH DEFINED Dorset 561,400 JK Acquisition Corp. Common 47759H106 153,160 28,000 SH DEFINED Dorset 28,000 JK Acquisition Corp. Common 47759H106 36,102 6,600 SH DEFINED Dorset 6,600 KB Home Common 48666K109 4,301,160 98,200 SH DEFINED Dorset 98,200 KB Home Common 48666K109 56,940 1,300 SH DEFINED Dorset 1,300 KBL Healthcare Acquistion Corp. II Common 48241R108 324,600 60,000 SH OTHER Dorset 60,000 KBL Healthcare Acquistion Corp. II Common 48241R108 1,239,972 229,200 SH DEFINED Dorset 229,200 KBL Healthcare Acquistion Corp. II Common 48241R108 65,461 12,100 SH DEFINED Dorset 12,100 KBL Healthcare Acquistion Corp. II Common 48241R108 15,148 2,800 SH DEFINED Dorset 2,800 Lear Corp. @ 25 Exp. 1/08 Common 521865905 67,500 200 SH Call OTHER Dorset 200 Lear Corp. @ 35 Exp. 1/08 Common 521865905 75,000 625 SH Call OTHER Dorset 625 Ligand Pharmaceuticals Incorporated Common 53220K207 325,296 32,400 SH OTHER Dorset 32,400 Ligand Pharmaceuticals Incorporated Common 53220K207 66,035,088 6,577,200 SH DEFINED Dorset 6,577,200 Ligand Pharmaceuticals Incorporated Common 53220K207 3,847,328 383,200 SH DEFINED Dorset 383,200 Ligand Pharmaceuticals Incorporated Common 53220K207 1,001,992 99,800 SH DEFINED Dorset 99,800 Ligand Pharmaceutical Inc. 6% due 11/16/07 Bonds 53220KAB4 2,618,000 1,600,000 SH OTHER Dorset 1,600,000 Ligand Pharmaceutical Inc. 6% due 11/16/07 Bonds 53220KAB4 3,608,937 2,219,000 SH DEFINED Dorset 2,219,000 Ligand Pharmaceutical Inc. 6% due 11/16/07 Bonds 53220KAB4 235,825 145,000 SH DEFINED Dorset 145,000 Ligand Pharmaceutical Inc. 6% due 11/16/07 Bonds 53220KAB4 58,550 36,000 SH DEFINED Dorset 36,000 M&T Bank Corporation Common 55261F104 14,463,577 120,570 SH DEFINED Dorset 120,570 M&T Bank Corporation Common 55261F104 719,760 6,000 SH DEFINED Dorset 6,000 M&T Bank Corporation Common 55261F104 167,944 1,400 SH DEFINED Dorset 1,400 Magna Entertainment Corp. Common 559211107 15,147,293 3,229,700 SH DEFINED Dorset 3,229,700 Magna Entertainment Corp. Common 559211107 759,311 161,900 SH DEFINED Dorset 161,900 Marathon Acquisition Corp. Common 565756103 117,260 16,400 SH DEFINED Dorset 16,400 Marathon Acquisition Corp. Common 565756103 5,720 800 SH DEFINED Dorset 800 Marathon Acquisition Corp. Common 565756103 1,430 200 SH DEFINED Dorset 200 Marathon Acquisition Corp. - Units Common 565756202 6,000,000 750,000 SH OTHER Dorset 750,000 Marathon Acquisition Corp. - Units Common 565756202 14,848,000 1,856,000 SH DEFINED Dorset 1,856,000 Marathon Acquisition Corp. - Units Common 565756202 676,800 84,600 SH DEFINED Dorset 84,600 Marathon Acquisition Corp. - Units Common 565756202 136,000 17,000 SH DEFINED Dorset 17,000
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------------ Mercator Partners Aquisition Corp. Common 587586207 571,160 109,000 SH OTHER Dorset 109,000 Mercator Partners Aquisition Corp. Common 587586207 2,144,208 409,200 SH DEFINED Dorset 409,200 Mercator Partners Aquisition Corp. Common 587586207 113,708 21,700 SH DEFINED Dorset 21,700 Mercator Partners Aquisition Corp. Common 587586207 26,724 5,100 SH DEFINED Dorset 5,100 Mercer International Inc. Common 588056101 2,689,701 284,926 SH DEFINED Dorset 284,926 Mercer International Inc. Common 588056101 134,992 14,300 SH DEFINED Dorset 14,300 Mercer International Inc. Common 588056101 31,152 3,300 SH DEFINED Dorset 3,300 Meritage Corporation Common 59001A102 21,083,787 506,700 SH DEFINED Dorset 506,700 Meritage Corporation Common 59001A102 1,052,733 25,300 SH DEFINED Dorset 25,300 Meritage Corporation Common 59001A102 245,499 5,900 SH DEFINED Dorset 5,900 Microsoft Corporation Common 594918104 43,965,125 1,607,500 SH DEFINED Dorset 1,607,500 Microsoft Corporation Common 594918104 2,220,820 81,200 SH DEFINED Dorset 81,200 Microsoft Corporation Common 594918104 514,180 18,800 SH DEFINED Dorset 18,800 Microvision, Inc. Common 594960106 3,000,569 2,098,300 SH DEFINED Dorset 2,098,300 Microvision, Inc. Common 594960106 150,436 105,200 SH DEFINED Dorset 105,200 Microvision, Inc. Common 594960106 35,178 24,600 SH DEFINED Dorset 24,600 Microvision, Inc. Common 594960155 839,320 2,098,300 SH Call DEFINED Dorset 2,098,300 Microvision, Inc. Common 594960155 42,080 105,200 SH Call DEFINED Dorset 105,200 Microvision, Inc. Common 594960155 9,840 24,600 SH Call DEFINED Dorset 24,600 Murphy Oil Corporation Common 626717102 41,035,650 863,000 SH DEFINED Dorset 863,000 Nabi Common 629519109 31,542,038 5,457,100 SH DEFINED Dorset 5,457,100 Nabi Common 629519109 1,574,472 272,400 SH DEFINED Dorset 272,400 Nabi Common 629519109 369,920 64,000 SH DEFINED Dorset 64,000 National-Oilwell Varco Inc. Common 637071101 40,077,475 684,500 SH DEFINED Dorset 684,500 NeoPharm, Inc. Common 640919106 10,598,404 2,185,238 SH DEFINED Dorset 2,185,238 NeoPharm, Inc. Common 640919106 533,015 109,900 SH DEFINED Dorset 109,900 NeoPharm, Inc. Common 640919106 123,675 25,500 SH DEFINED Dorset 25,500 Neurobiological Technologies, Inc. Common 64124W106 3,012,157 1,270,845 SH DEFINED Dorset 1,270,845 Neurobiological Technologies, Inc. Common 64124W106 156,908 66,200 SH DEFINED Dorset 66,200 Neurobiological Technologies, Inc. Common 64124W106 36,738 15,500 SH DEFINED Dorset 15,500 News Corporation Common 65248E104 1,588,545 80,842 SH OTHER Dorset 80,842 News Corporation Common 65248E104 184,710 9,400 SH OTHER 9,400 News Corporation Common 65248E104 43,984,560 2,238,400 SH DEFINED Dorset 2,238,400 News Corporation Common 65248E104 2,196,870 111,800 SH DEFINED Dorset 111,800 News Corporation Common 65248E104 512,865 26,100 SH DEFINED Dorset 26,100 Nike Inc. Common 654106103 6,702,930 76,500 SH DEFINED Dorset 76,500 Nike Inc. Common 654106103 341,718 3,900 SH DEFINED Dorset 3,900 Nike Inc. Common 654106103 78,858 900 SH DEFINED Dorset 900
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------------ Noble Corporation Common G65422100 39,791,600 620,000 SH DEFINED Dorset 620,000 Northfork Bancorp NY Common 659424105 139,877 4,884 SH SOLE 4,884 North American Insurance Leaders, Inc. Common 65687M104 402,600 55,000 SH OTHER Dorset 55,000 North American Insurance Leaders, Inc. Common 65687M104 1,516,704 207,200 SH DEFINED Dorset 207,200 North American Insurance Leaders, Inc. Common 65687M104 76,128 10,400 SH DEFINED Dorset 10,400 North American Insurance Leaders, Inc. Common 65687M104 17,568 2,400 SH DEFINED Dorset 2,400 OCA, Inc. Common 67083Q101 867 28,900 SH DEFINED Dorset 28,900 OCA, Inc. Common 67083Q101 54 1,800 SH DEFINED Dorset 1,800 OCA, Inc. Common 67083Q101 9 300 SH DEFINED Dorset 300 Oracle Healthcare Acquisition Corp. Common 68402M102 799,379 105,878 SH DEFINED Dorset 105,878 Oracle Healthcare Acquisition Corp. Common 68402M102 39,260 5,200 SH DEFINED Dorset 5,200 Oracle Healthcare Acquisition Corp. Common 68402M102 9,060 1,200 SH DEFINED Dorset 1,200 Par Pharmaceutical Cos. Inc. Common 69888P106 7,609,090 417,165 SH DEFINED Dorset 417,165 Par Pharmaceutical Cos. Inc. Common 69888P106 379,392 20,800 SH DEFINED Dorset 20,800 Par Pharmaceutical Cos. Inc. Common 69888P106 89,376 4,900 SH DEFINED Dorset 4,900 Paramount Aquisition Corp Common 69917T103 1,330,875 253,500 SH DEFINED Dorset 253,500 Paramount Aquisition Corp Common 69917T103 70,350 13,400 SH DEFINED Dorset 13,400 Paramount Aquisition Corp Common 69917T103 16,275 3,100 SH DEFINED Dorset 3,100 Penwest Pharmaceuticals Co. Common 709754105 9,956,700 598,000 SH DEFINED Dorset 598,000 Penwest Pharmaceuticals Co. Common 709754105 497,835 29,900 SH DEFINED Dorset 29,900 Penwest Pharmaceuticals Co. Common 709754105 116,550 7,000 SH DEFINED Dorset 7,000 Petroleo Brasileiro SA Common 71654V408 33,532 400 SH OTHER 400 Petroleo Brasileiro SA Common 71654V408 184,426 2,200 SH SOLE 2,200 Petroleo Brasileiro SA Common 71654V408 35,175,068 419,600 SH DEFINED Dorset 419,600 Petroleo Brasileiro SA Common 71654V408 41,219,211 491,700 SH DEFINED Dorset 491,700 Petroleo Brasileiro SA Common 71654V408 410,767 4,900 SH DEFINED Dorset 4,900 Pfizer Inc. Common 717081103 53,884 1,900 SH OTHER 1,900 Pfizer Inc. Common 717081103 9,274 327 SH SOLE 327 Pharmanet Development Group, Inc(SFBC Intl) Common 717148100 11,104,245 571,500 SH DEFINED Dorset 571,500 Pharmanet Development Group, Inc(SFBC Intl) Common 717148100 394,429 20,300 SH DEFINED Dorset 20,300 Pharmanet Development Group, Inc(SFBC Intl) Common 717148100 153,497 7,900 SH DEFINED Dorset 7,900 PolyMedica Corporation Common 731738100 24,573,197 574,006 SH DEFINED Dorset 574,006 PolyMedica Corporation Common 731738100 1,232,928 28,800 SH DEFINED Dorset 28,800 PolyMedica Corporation Common 731738100 286,827 6,700 SH DEFINED Dorset 6,700 Presstek, Inc. Common 741113104 7,435,505 1,379,500 SH DEFINED Dorset 1,379,500 Presstek, Inc. Common 741113104 371,910 69,000 SH DEFINED Dorset 69,000 Presstek, Inc. Common 741113104 102,410 19,000 SH DEFINED Dorset 19,000 Pure Cycle Corporation Common 746228303 1,919,520 266,600 SH DEFINED Dorset 266,600
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------------ Pure Cycle Corporation Common 746228303 96,480 13,400 SH DEFINED Dorset 13,400 Pure Cycle Corporation Common 746228303 22,320 3,100 SH DEFINED Dorset 3,100 QuadraMed Corporation Common 74730W101 9,006,990 4,075,561 SH DEFINED Dorset 4,075,561 QuadraMed Corporation Common 74730W101 513,383 232,300 SH DEFINED Dorset 232,300 QuadraMed Corporation Common 74730W101 116,710 52,810 SH DEFINED Dorset 52,810 Quitmes Industrial SA ADR Common 74838Y207 1,112,608 20,777 SH OTHER Dorset 20,777 Rand Logistics Inc. Common 752182105 2,565,635 464,789 SH DEFINED Dorset 464,789 Rand Logistics Inc. Common 752182105 60,168 10,900 SH DEFINED Dorset 10,900 Rand Logistics Inc. Common 752182105 9,384 1,700 SH DEFINED Dorset 1,700 Rand Logistics Inc. - Units Common 752182204 4,853,800 693,400 SH DEFINED Dorset 693,400 Rand Logistics Inc. - Units Common 752182204 347,900 49,700 SH DEFINED Dorset 49,700 Rand Logistics Inc. - Units Common 752182204 62,300 8,900 SH DEFINED Dorset 8,900 Retail Ventures, Inc. Common 76128Y102 21,194,914 1,375,400 SH DEFINED Dorset 1,375,400 Retail Ventures, Inc. Common 76128Y102 1,069,454 69,400 SH DEFINED Dorset 69,400 Retail Ventures, Inc. Common 76128Y102 248,101 16,100 SH DEFINED Dorset 16,100 Schlumberger Limited Common 806857108 30,394,700 490,000 SH DEFINED Dorset 490,000 Scientific Games Corporation Common 80874P109 20,118,365 632,653 SH DEFINED Dorset 632,653 Scientific Games Corporation Common 80874P109 1,020,780 32,100 SH DEFINED Dorset 32,100 Seabright Insurance Holdings, Inc. Common 811656107 15,742,793 1,126,900 SH DEFINED Dorset 1,126,900 Seabright Insurance Holdings, Inc. Common 811656107 792,797 56,750 SH DEFINED Dorset 56,750 Seabright Insurance Holdings, Inc. Common 811656107 185,801 13,300 SH DEFINED Dorset 13,300 Sears Holding Corporation Common 812350106 7,145,668 45,200 SH DEFINED Dorset 45,200 Sears Holding Corporation Common 812350106 758,832 4,800 SH DEFINED Dorset 4,800 Shanghai Century Acquistion Corporation Common G80637120 142,000 20,000 SH OTHER Dorset 20,000 Shanghai Century Acquistion Corporation Common G80637120 4,822,470 606,600 SH DEFINED Dorset 606,600 Shanghai Century Acquistion Corporation Common G80637120 240,885 30,300 SH DEFINED Dorset 30,300 Shanghai Century Acquistion Corporation Common G80637120 56,445 7,100 SH DEFINED Dorset 7,100 Simpson Manufacturing Co., Inc. Common 829073105 12,817,626 474,200 SH DEFINED Dorset 474,200 Simpson Manufacturing Co., Inc. Common 829073105 640,611 23,700 SH DEFINED Dorset 23,700 Simpson Manufacturing Co., Inc. Common 829073105 151,368 5,600 SH DEFINED Dorset 5,600 Smith Mircro Software, Inc. Common 832154108 2,829,984 196,800 SH DEFINED Dorset 196,800 Smith Mircro Software, Inc. Common 832154108 186,940 13,000 SH DEFINED Dorset 13,000 Smith Mircro Software, Inc. Common 832154108 46,016 3,200 SH DEFINED Dorset 3,200 Spectrum Pharmaceuticals Inc. Common 84763A108 5,421,304 1,034,600 SH DEFINED Dorset 1,034,600 Spectrum Pharmaceuticals Inc. Common 84763A108 270,908 51,700 SH DEFINED Dorset 51,700 Spectrum Pharmaceuticals Inc. Common 84763A108 62,880 12,000 SH DEFINED Dorset 12,000 St. Bernard Software Inc. Common 85228F202 22,500 6,000 SH OTHER Dorset 6,000 Stone Arcade Acquisition Corporation Common 861575108 535,056 94,200 SH DEFINED Dorset 94,200
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------------ Stone Arcade Acquisition Corporation Common 861575108 26,696 4,700 SH DEFINED Dorset 4,700 Stone Arcade Acquisition Corporation Common 861575108 6,248 1,100 SH DEFINED Dorset 1,100 Talisman Energy Inc. Common 87425E103 67,822,192 4,157,300 SH DEFINED Dorset 4,157,300 Talisman Energy Inc. Common 87425E103 27,684,858 1,697,000 SH DEFINED Dorset 1,697,000 Talisman Energy Inc. Common 87425E103 784,703 48,100 SH DEFINED Dorset 48,100 Terra Nova Acquisition Corporation Common 88101E102 258,825 49,300 SH OTHER Dorset 49,300 Terra Nova Acquisition Corporation Common 88101E102 470,925 89,700 SH DEFINED Dorset 89,700 Terra Nova Acquisition Corporation Common 88101E102 25,725 4,900 SH DEFINED Dorset 4,900 Terra Nova Acquisition Corporation Common 88101E102 5,775 1,100 SH DEFINED Dorset 1,100 The Gap, Inc. Common 364760108 10,547,570 556,600 SH DEFINED Dorset 556,600 The Gap, Inc. Common 364760108 524,915 27,700 SH DEFINED Dorset 27,700 The Gap, Inc. Common 364760108 123,175 6,500 SH DEFINED Dorset 6,500 The Stephan Co. Common 858603103 234,274 76,560 SH OTHER Dorset 76,560 The Stephan Co. Common 858603103 882,626 288,440 SH DEFINED Dorset 288,440 The Stephan Co. Common 858603103 44,217 14,450 SH DEFINED Dorset 14,450 The Stephan Co. Common 858603103 10,251 3,350 SH DEFINED Dorset 3,350 The Walt Disney Company Common 254687106 12,744,193 412,300 SH DEFINED Dorset 412,300 The Walt Disney Company Common 254687106 624,382 20,200 SH DEFINED Dorset 20,200 Transgenomic, Inc. Common 89365K206 2,473,773 4,417,451 SH DEFINED Dorset 4,417,451 Transgenomic, Inc. Common 89365K206 133,056 237,600 SH DEFINED Dorset 237,600 Transgenomic, Inc. Common 89365K206 28,840 51,500 SH DEFINED Dorset 51,500 Transocean Inc. Common G90078109 31,152,042 425,400 SH DEFINED Dorset 425,400 U.S.I. Holdings Corporation Common 90333H101 10,446,129 770,932 SH DEFINED Dorset 770,932 U.S.I. Holdings Corporation Common 90333H101 520,320 38,400 SH DEFINED Dorset 38,400 U.S.I. Holdings Corporation Common 90333H101 121,950 9,000 SH DEFINED Dorset 9,000 Uranium Resources, Inc. Common 916901507 5,475,716 1,856,175 SH DEFINED Dorset 1,856,175 Uranium Resources, Inc. Common 916901507 1,557,010 527,800 SH DEFINED Dorset 527,800 Uranium Resources, Inc. Common 916901507 63,941 21,675 SH DEFINED Dorset 21,675 Viacom Inc. Common 92553P102 1,362,121 36,518 SH OTHER Dorset 36,518 Viacom Inc. Common 92553P102 5,746,065 154,050 SH DEFINED Dorset 154,050 Viacom Inc. Common 92553P102 242,450 6,500 SH DEFINED Dorset 6,500 Viacom Inc. Common 92553P102 55,950 1,500 SH DEFINED Dorset 1,500 Viacom Inc. Class B Common 92553P201 1,193,961 32,113 SH OTHER Dorset 32,113 Viacom Inc. Class B Common 92553P201 14,169,670 381,110 SH DEFINED Dorset 381,110 Viacom Inc. Class B Common 92553P201 715,715 19,250 SH DEFINED Dorset 19,250 Viacom Inc. Class B Common 92553P201 165,451 4,450 SH DEFINED Dorset 4,450 Viceroy Acquisition Corporation Common 9EQ17DH81 5,909,250 787,900 SH DEFINED Dorset 787,900 Viceroy Acquisition Corporation Common 9EQ17DH81 3,372,000 449,600 SH DEFINED Dorset 449,600
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VOTING AUTHORITY CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------- NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------------ Viceroy Acquisition Corporation Common 9EQ17F1H3 970,035 587,900 SH Call DEFINED Dorset 587,900 Viceroy Acquisition Corporation Common 9EQ17F1H3 741,840 449,600 SH Call DEFINED Dorset 449,600 Wachovia Corp. Common 929903102 99,324 1,780 SH OTHER 1,780 Wal-Mart Stores, Inc. Common 931142103 31,722,624 643,200 SH DEFINED Dorset 643,200 Wal-Mart Stores, Inc. Common 931142103 1,593,036 32,300 SH DEFINED Dorset 32,300 Wal-mart Stores, Inc. @ 40 Exp. 1/08 Common 931142903 809,200 680 SH Call OTHER Dorset 680 Wells Fargo & Co. Common 949746101 217,080 6,000 SH OTHER 6,000 Wells Fargo & Co. Common 949746101 419,688 11,600 SH SOLE 11,600 Wells Fargo & Co. Common 949746101 41,236,517 1,139,760 SH DEFINED Dorset 1,139,760 Wells Fargo & Co. Common 949746101 2,062,260 57,000 SH DEFINED Dorset 57,000 Wells Fargo & Co. Common 949746101 484,812 13,400 SH DEFINED Dorset 13,400 Willis Group Holdings Limited Common G96655108 15,200 400 SH OTHER 400 Willis Group Holdings Limited Common G96655108 140,600 3,700 SH SOLE 3,700 Willis Group Holdings Limited Common G96655108 20,409,154 537,083 SH DEFINED Dorset 537,083 Willis Group Holdings Limited Common G96655108 993,700 26,150 SH DEFINED Dorset 26,150 Willis Group Holdings Limited Common G96655108 239,400 6,300 SH DEFINED Dorset 6,300 Zions Bancorp Common 989701107 95,772 1,200 SH OTHER 1,200 Zions Bancorp Common 989701107 351,164 4,400 SH SOLE 4,400 ZIOPHARM Oncology, Inc. Common 98973P101 3,132,477 608,248 SH DEFINED Dorset 608,248 ZIOPHARM Oncology, Inc. Common 98973P101 165,830 32,200 SH DEFINED Dorset 32,200 ZIOPHARM Oncology, Inc. Common 98973P101 38,625 7,500 SH DEFINED Dorset 7,500 TOTAL 2,905,959,498 160,157,894