13F-HR/A 1 a2176108z13f-hra.txt FORM 13F 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 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 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: Name: David M. Knott ------------------------------- Title: Investment Manager ------------------------------- Phone: (516) 364-0303 ------------------------------- Signature, Place, and Date of Signing: /s/ David M. Knott Syosset, New York February 13, 2007 ------------------------------- ----------------- ----------------- [Signature] [City, State] [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).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 -------------------- Form 13F Information Table Entry Total: 441 -------------------- Form 13F Information Table Value Total: $2,854,172 -------------------- (thousands) List of Other Included Managers: Dorset Management Corporation ("Dorset") FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------- -------- --------- ------------- --------------------- ---------- ---------- -------------------------- TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------- -------- --------- ------------- ----------- ---- ---- ---------- ---------- --------- ---------- ------ Abercrombie & Fitch Co. Common 002896207 4,089,579 58,733 SH OTHER Dorset 58,733 Abercrombie & Fitch Co. Common 002896207 14,636,226 210,200 SH DEFINED Dorset 210,200 Abercrombie & Fitch Co. Common 002896207 724,152 10,400 SH DEFINED Dorset 10,400 Abercrombie & Fitch Co. Common 002896207 174,075 2,500 SH DEFINED Dorset 2,500 Acacia Research-Acacia Technologies Common 003881307 21,739,035 1,624,741 SH DEFINED Dorset 1,624,741 Acacia Research-Acacia Technologies Common 003881307 1,079,766 80,700 SH DEFINED Dorset 80,700 Acacia Research-Acacia Technologies Common 003881307 252,882 18,900 SH DEFINED Dorset 18,900 Acquicor Technology Inc. Common 00489A107 180,515 32,120 SH OTHER Dorset 32,120 Acquicor Technology Inc. Common 00489A107 180,290 32,080 SH DEFINED Dorset 32,080 Acquicor Technology Inc. Common 00489A107 8,992 1,600 SH DEFINED Dorset 1,600 Acquicor Technology Inc. Common 00489A107 2,248 400 SH DEFINED Dorset 400 Ad. Venture Partners Inc. Common 00516Q109 212,040 38,000 SH DEFINED Dorset 38,000 Ad. Venture Partners Inc. Common 00516Q109 11,160 2,000 SH DEFINED Dorset 2,000 Ad. Venture Partners Inc. Common 00516Q109 2,790 500 SH DEFINED Dorset 500 Advance Auto Parts, Inc. Common 00751Y106 25,204,928 708,800 SH DEFINED Dorset 708,800 Advance Auto Parts, Inc. Common 00751Y106 1,251,712 35,200 SH DEFINED Dorset 35,200 Advance Auto Parts, Inc. Common 00751Y106 291,592 8,200 SH DEFINED Dorset 8,200 Aerobic Creations, Inc. Common 00772T102 5,651,999 6,344,936 SH DEFINED Dorset 6,344,936 Aerobic Creations, Inc. Common 00772T102 282,001 316,574 SH DEFINED Dorset 316,574 Aerobic Creations, Inc. Common 00772T102 66,000 74,092 SH DEFINED Dorset 74,092 Aeropostale, Inc. Common 007865108 1,543,500 50,000 SH OTHER Dorset 50,000 Aeropostale, Inc. Common 007865108 6,257,349 202,700 SH DEFINED Dorset 202,700 Aeropostale, Inc. Common 007865108 308,700 10,000 SH DEFINED Dorset 10,000 Aeropostale, Inc. Common 007865108 71,001 2,300 SH DEFINED Dorset 2,300 Alphatec Holdings, Inc. Common 02081G102 3,135,044 839,594 SH DEFINED Dorset 839,594 Alphatec Holdings, Inc. Common 02081G102 156,567 41,930 SH DEFINED Dorset 41,930 Alphatec Holdings, Inc. Common 02081G102 36,668 9,820 SH DEFINED Dorset 9,820 American Express Corporation Common 025816109 3,609,865 59,500 SH OTHER Dorset 59,500 CALLS/American Express Co. @50 exp 1/09 Common 0250019AJ 2,275,535 1,409 SH OTHER Dorset 1,409 CALLS/American Express Co. @47.5 exp 1/08 Common 025816109 5,151,120 3,302 SH Call DEFINED Dorset 3,302 CALLS/American Express Co. @47.5 exp 1/08 Common 025816109 282,360 181 SH Call DEFINED Dorset 181 CALLS/American Express Co. @47.5 exp 1/08 Common 025816109 63,960 41 SH Call DEFINED Dorset 41 American International Group Inc. Common 026874107 186,316 2,600 SH OTHER 2,600 American International Group Inc. Common 026874107 752,430 10,500 SH SOLE 10,500 American International Group Inc. Common 026874107 173,029,806 2,414,594 SH DEFINED Dorset 2,414,594 American International Group Inc. Common 026874107 8,642,196 120,600 SH DEFINED Dorset 120,600 American International Group Inc. Common 026874107 2,013,646 28,100 SH DEFINED Dorset 28,100 Anadarko Petroleum Corporation Common 032511107 36,574,208 840,400 SH DEFINED Dorset 840,400 Ardent Acquisition Corporation Common 03979E100 365,820 67,000 SH OTHER Dorset 67,000 Ardent Acquisition Corporation Common 03979E100 680,862 124,700 SH DEFINED Dorset 124,700 Ardent Acquisition Corporation Common 03979E100 37,128 6,800 SH DEFINED Dorset 6,800
Ardent Acquisition Corporation Common 03979E100 8,190 1,500 SH DEFINED Dorset 1,500 Aristotle Corp. Common 040448201 29,744 3,380 SH DEFINED Dorset 3,380 Armor Holdings, Inc. Common 042260109 42,459,385 774,100 SH DEFINED Dorset 774,100 Armor Holdings, Inc. Common 042260109 2,122,695 38,700 SH DEFINED Dorset 38,700 Armor Holdings, Inc. Common 042260109 488,165 8,900 SH DEFINED Dorset 8,900 Arrowhead Research Corporation Common 042797100 17,087,392 3,901,231 SH DEFINED Dorset 3,901,231 Arrowhead Research Corporation Common 042797100 897,900 205,000 SH DEFINED Dorset 205,000 Arrowhead Research Corporation Common 042797100 199,728 45,600 SH DEFINED Dorset 45,600 Ascend Acquisition Corportation Common 04350H100 697,105 130,300 SH OTHER Dorset 130,300 Ascend Acquisition Corportation Common 04350H100 1,547,299 290,300 SH DEFINED Dorset 290,300 Ascend Acquisition Corportation Common 04350H100 154,570 29,000 SH DEFINED Dorset 29,000 Ascend Acquisition Corportation Common 04350H100 10,127 1,900 SH DEFINED Dorset 1,900 Asia Automotive Acquisition Corporation Common 04519K101 686,800 85,000 SH OTHER Dorset 85,000 Asia Automotive Acquisition Corporation Common 04519K101 646,400 80,000 SH DEFINED Dorset 80,000 Asia Automotive Acquisition Corporation Common 04519K101 32,320 4,000 SH DEFINED Dorset 4,000 Asia Automotive Acquisition Corporation Common 04519K101 8,080 1,000 SH DEFINED Dorset 1,000 Aveta, Inc. Common 05365U101 9,353,400 550,200 SH DEFINED Dorset 550,200 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 42,929,500 575,000 SH DEFINED Dorset 575,000 Bank of America Corporation Common 060505104 106,780 2,000 SH OTHER 2,000 Bank of America Corporation Common 060505104 405,764 7,600 SH SOLE 7,600 Bank of America Corporation Common 060505104 80,010,254 1,498,600 SH DEFINED Dorset 1,498,600 Bank of America Corporation Common 060505104 4,009,589 75,100 SH DEFINED Dorset 75,100 Bank of America Corporation Common 060505104 934,325 17,500 SH DEFINED Dorset 17,500 Bill Barrett Corporation Common 06846N104 1,632,600 60,000 SH DEFINED Dorset 60,000 BioVeris Corporation Common 090676107 14,138,844 1,030,528 SH DEFINED Dorset 1,030,528 BioVeris Corporation Common 090676107 706,580 51,500 SH DEFINED Dorset 51,500 BioVeris Corporation Common 090676107 164,640 12,000 SH DEFINED Dorset 12,000 BJ Services Company Common 055482103 34,744,200 1,185,000 SH DEFINED Dorset 1,185,000 Blockbuster Inc.- Class B Common 093679207 7,981,610 1,628,900 SH DEFINED Dorset 1,628,900 Blockbuster Inc.- Class B Common 093679207 398,370 81,300 SH DEFINED Dorset 81,300 Blockbuster Inc.- Class B Common 093679207 92,610 18,900 SH DEFINED Dorset 18,900 Blockbuster, Inc. Common 093679108 13,170,513 2,489,700 SH DEFINED Dorset 2,489,700 Blockbuster, Inc. Common 093679108 643,264 121,600 SH DEFINED Dorset 121,600 Blockbuster, Inc. Common 093679108 152,881 28,900 SH DEFINED Dorset 28,900 Bristow Group, Inc. Common 110394103 11,639,025 322,500 SH DEFINED Dorset 322,500 Bristow Group, Inc. Common 110394103 606,312 16,800 SH DEFINED Dorset 16,800 Bristow Group, Inc. Common 110394103 133,533 3,700 SH DEFINED Dorset 3,700 Butler International, Inc. Common 123649105 1,988,724 965,400 SH DEFINED Dorset 965,400 Butler International, Inc. Common 123649105 162,534 78,900 SH DEFINED Dorset 78,900 Butler International, Inc. Common 123649105 15,450 7,500 SH DEFINED Dorset 7,500 Cabot Oil & Gas Corporation Common 127097103 36,493,105 601,700 SH DEFINED Dorset 601,700 Calfrac Well Services Ltd. Common 129584108 1,231,880 65,000 SH DEFINED Dorset 65,000 Callidus Software Common 13123E500 14,519,509 2,304,684 SH DEFINED Dorset 2,304,684
Callidus Software Common 13123E500 740,993 117,618 SH DEFINED Dorset 117,618 Callidus Software Common 13123E500 171,360 27,200 SH DEFINED Dorset 27,200 Canadian Natural Resources Ltd. Common 136385101 277,789 5,200 SH OTHER 5,200 Canadian Natural Resources Ltd. Common 136385101 769,263 14,400 SH SOLE 14,400 Canadian Natural Resources Ltd. Common 136385101 209,180,066 3,924,800 SH DEFINED Dorset 3,924,800 Canadian Natural Resources Ltd. Common 136385101 57,275,088 1,074,640 SH DEFINED Dorset 1,074,640 Canadian Natural Resources Ltd. Common 136385101 2,563,586 48,100 SH DEFINED Dorset 48,100 Capitol One Financial Corporation Common 14040H105 138,429 1,802 SH SOLE 1,802 Caremark Rx, Inc. Common 141705131 29,670,929 519,540 SH DEFINED Dorset 519,540 Caremark Rx, Inc. Common 141705131 1,530,548 26,800 SH DEFINED Dorset 26,800 Caremark Rx, Inc. Common 141705131 348,371 6,100 SH DEFINED Dorset 6,100 Centex Corporation Common 152312104 168,810 3,000 SH OTHER 3,000 Centex Corporation Common 152312104 540,192 9,600 SH SOLE 9,600 Centex Corporation Common 152312104 143,131,748 2,543,660 SH DEFINED Dorset 2,543,660 Centex Corporation Common 152312104 7,669,601 136,300 SH DEFINED Dorset 136,300 Centex Corporation Common 152312104 1,772,505 31,500 SH DEFINED Dorset 31,500 Cepheid, Inc. Common 15670R107 9,325,443 1,097,111 SH DEFINED Dorset 1,097,111 Cepheid, Inc. Common 15670R107 464,950 54,700 SH DEFINED Dorset 54,700 Cepheid, Inc. Common 15670R107 108,800 12,800 SH DEFINED Dorset 12,800 Cerus Corporation Common 157085101 12,107,598 2,078,360 SH DEFINED Dorset 2,078,360 Cerus Corporation Common 157085101 603,524 103,600 SH DEFINED Dorset 103,600 Cerus Corporation Common 157085101 141,562 24,300 SH DEFINED Dorset 24,300 Citi Trends Inc. Common 17306X102 8,316,472 209,800 SH DEFINED Dorset 209,800 Citi Trends Inc. Common 17306X102 420,184 10,600 SH DEFINED Dorset 10,600 Citi Trends Inc. Common 17306X102 103,064 2,600 SH DEFINED Dorset 2,600 Citigroup Inc. Common 172967101 367,620 6,600 SH OTHER 6,600 Citigroup Inc. Common 172967101 1,392,500 25,000 SH SOLE 25,000 Citigroup Inc. Common 172967101 131,445,316 2,359,880 SH DEFINED Dorset 2,359,880 Citigroup Inc. Common 172967101 6,784,260 121,800 SH DEFINED Dorset 121,800 Citigroup Inc. Common 172967101 1,565,170 28,100 SH DEFINED Dorset 28,100 Citizens Community Bancorp Inc. Common 174903104 489,000 50,000 SH DEFINED Dorset 50,000 Citizens Community Bancorp Inc. Common 174903104 146,700 15,000 SH SOLE 15,000 Citizens Community Bancorp Inc. Common 174903104 97,800 10,000 SH OTHER 10,000 Collectors Universe, Inc. Common 19421R200 3,359,380 250,700 SH DEFINED Dorset 250,700 Collectors Universe, Inc. Common 19421R200 168,840 12,600 SH DEFINED Dorset 12,600 Collectors Universe, Inc. Common 19421R200 38,860 2,900 SH DEFINED Dorset 2,900 Columbia Laboratories Inc. Common 197779101 3,060 600 SH OTHER 600 Columbia Laboratories Inc. Common 197779101 17,835,975 3,497,250 SH DEFINED Dorset 3,497,250 Columbia Laboratories Inc. Common 197779101 1,104,660 216,600 SH DEFINED Dorset 216,600 Copart, Inc. Common 217204106 5,805,000 193,500 SH DEFINED Dorset 193,500 Copart, Inc. Common 217204106 288,000 9,600 SH DEFINED Dorset 9,600 Copart, Inc. Common 217204106 69,000 2,300 SH DEFINED Dorset 2,300 Corgi International Ltd. Common 21872Q202 5,896,366 927,977 SH DEFINED Dorset 927,977 Corgi International Ltd. Common 21872Q202 292,919 46,100 SH DEFINED Dorset 46,100 Corgi International Ltd. Common 21872Q202 68,414 10,767 SH DEFINED Dorset 10,767
Courtside Acquisitions Corporation Common 22274N102 2,038,422 375,400 SH DEFINED Dorset 375,400 Courtside Acquisitions Corporation Common 22274N102 108,057 19,900 SH DEFINED Dorset 19,900 Courtside Acquisitions Corporation Common 22274N102 25,521 4,700 SH DEFINED Dorset 4,700 Crocs, Inc Common 227046109 1,425,600 33,000 SH DEFINED Dorset 33,000 Crocs, Inc Common 227046109 73,440 1,700 SH DEFINED Dorset 1,700 Crocs, Inc Common 227046109 12,960 300 SH DEFINED Dorset 300 Crucell NV Common 228769105 40,645,696 1,595,200 SH DEFINED Dorset 1,595,200 Crucell NV Common 228769105 2,015,468 79,100 SH DEFINED Dorset 79,100 Crucell NV Common 228769105 471,380 18,500 SH DEFINED Dorset 18,500 D.R. Horton, Inc. Common 23331A109 397,350 15,000 SH OTHER 15,000 D.R. Horton, Inc. Common 23331A109 927,150 35,000 SH SOLE 35,000 D.R. Horton, Inc. Common 23331A109 200,404,055 7,565,272 SH DEFINED Dorset 7,565,272 D.R. Horton, Inc. Common 23331A109 10,431,760 393,800 SH DEFINED Dorset 393,800 D.R. Horton, Inc. Common 23331A109 2,418,536 91,300 SH DEFINED Dorset 91,300 Danka Business Systems plc Common 236277109 5,034,822 3,702,075 SH DEFINED Dorset 3,702,075 Danka Business Systems plc Common 236277109 251,124 184,650 SH DEFINED Dorset 184,650 Danka Business Systems plc Common 236277109 58,752 43,200 SH DEFINED Dorset 43,200 Devon Energy Corp. Common 25179M103 26,832,000 400,000 SH DEFINED Dorset 400,000 Dyadic International Inc. Common 26745T101 6,601,420 1,082,200 SH DEFINED Dorset 1,082,200 Dyadic International Inc. Common 26745T101 332,755 54,550 SH DEFINED Dorset 54,550 Dyadic International Inc. Common 26745T101 79,605 13,050 SH DEFINED Dorset 13,050 Eagle Materials Inc. Common 26969P108 9,856 228 SH OTHER 228 Echo Healthcare Acquisition Corp. Common 27876C206 4,841,390 583,300 SH DEFINED Dorset 583,300 Echo Healthcare Acquisition Corp. Common 27876C206 214,140 25,800 SH DEFINED Dorset 25,800 Echo Healthcare Acquisition Corp. Common 27876C206 48,970 5,900 SH DEFINED Dorset 5,900 EnCana Corp. Common 292505104 29,137,964 633,200 SH DEFINED Dorset 633,200 eXegenics Inc. Common 301610101 652,545 767,700 SH DEFINED Dorset 767,700 eXegenics Inc. Common 301610101 33,235 39,100 SH DEFINED Dorset 39,100 eXegenics Inc. Common 301610101 7,650 9,000 SH DEFINED Dorset 9,000 First Keystone Financial, Inc. Common 320655103 1,136,374 58,576 SH DEFINED Dorset 58,576 First Keystone Financial, Inc. Common 320655103 56,260 2,900 SH DEFINED Dorset 2,900 First Keystone Financial, Inc. Common 320655103 13,580 700 SH DEFINED Dorset 700 FMC Technologies, Inc. Common 302490101 22,297,734 361,800 SH DEFINED Dorset 361,800 Footstar, Inc. Common 344912209 187,985 28,700 SH DEFINED Dorset 28,700 Footstar, Inc. Common 344912209 24,890 3,800 SH DEFINED Dorset 3,800 Fresh Del Monte Produce Inc. Common G36738105 404,061 27,100 SH DEFINED Dorset 27,100 Fresh Del Monte Produce Inc. Common G36738105 28,329 1,900 SH DEFINED Dorset 1,900 Fresh Del Monte Produce Inc. Common G36738105 7,455 500 SH DEFINED Dorset 500 GAINSCO, Inc. Common 363127101 5,573,709 701,095 SH DEFINED Dorset 701,095 GAINSCO, Inc. Common 363127101 277,968 34,964 SH DEFINED Dorset 34,964 GAINSCO, Inc. Common 363127101 65,460 8,234 SH DEFINED Dorset 8,234 General Finance Corporation Common 369822200 121,694 14,200 SH DEFINED Dorset 14,200 General Finance Corporation Common 369822200 5,999 700 SH DEFINED Dorset 700 General Finance Corporation Common 369822200 857 100 SH DEFINED Dorset 100 Genzyme Corporation Common 372917104 545,907 8,865 SH OTHER Dorset 8,865
Genzyme Corporation Common 372917104 7,442,860 120,865 SH DEFINED Dorset 120,865 Genzyme Corporation Common 372917104 1,300,895 21,125 SH DEFINED Dorset 21,125 Global Logistics Acquisition Corporation Common 379414105 764,000 100,000 SH OTHER Dorset 100,000 Global Logistics Acquisition Corporation Common 379414204 5,168,460 630,300 SH DEFINED Dorset 630,300 Global Logistics Acquisition Corporation Common 379414204 217,300 26,500 SH DEFINED Dorset 26,500 Global Logistics Acquisition Corporation Common 379414204 45,920 5,600 SH DEFINED Dorset 5,600 Global Services Partners Aquisition Corp Common 37946Y302 260,000 26,000 SH OTHER Dorset 26,000 Global Services Partners Aquisition Corp Common 37946Y302 985,000 98,500 SH DEFINED Dorset 98,500 Global Services Partners Aquisition Corp Common 37946Y302 46,000 4,600 SH DEFINED Dorset 4,600 Global Services Partners Aquisition Corp Common 37946Y302 9,000 900 SH DEFINED Dorset 900 Goldleaf Financial Solutions, Inc. Common 38144H208 2,890,369 494,080 SH DEFINED Dorset 494,080 Goldleaf Financial Solutions, Inc. Common 38144H208 144,218 24,653 SH DEFINED Dorset 24,653 Goldleaf Financial Solutions, Inc. Common 38144H208 33,696 5,760 SH DEFINED Dorset 5,760 Great Lakes Dredge & Dock Co. (Aldabra) Common 390607109 2,003,370 310,600 SH DEFINED Dorset 310,600 Great Lakes Dredge & Dock Co. (Aldabra) Common 390607109 99,975 15,500 SH DEFINED Dorset 15,500 Great Lakes Dredge & Dock Co. (Aldabra) Common 390607109 23,865 3,700 SH DEFINED Dorset 3,700 Great Lakes Dredge & Dock Co. (Aldabra) Common 390607117 234,300 156,200 SH call DEFINED Dorset 156,200 Great Lakes Dredge & Dock Co. (Aldabra) Common 390607117 11,700 7,800 SH call DEFINED Dorset 7,800 Great Lakes Dredge & Dock Co. (Aldabra) Common 390607117 2,700 1,800 SH call DEFINED Dorset 1,800 Halliburton Company Common 406216101 35,397,000 1,140,000 SH DEFINED Dorset 1,140,000 Harbor Acquisition Corporation Common 41145X107 777,920 143,000 SH OTHER Dorset 143,000 Harbor Acquisition Corporation Common 41145X107 2,896,256 532,400 SH DEFINED Dorset 532,400 Harbor Acquisition Corporation Common 41145X107 137,088 25,200 SH DEFINED Dorset 25,200 Harbor Acquisition Corporation Common 41145X107 23,936 4,400 SH DEFINED Dorset 4,400 Healthcare Acquisition Corp. Common 42224H104 695,058 93,800 SH DEFINED Dorset 93,800 Healthcare Acquisition Corp. Common 42224H104 37,050 5,000 SH DEFINED Dorset 5,000 Healthcare Acquisition Corp. Common 42224H104 8,892 1,200 SH DEFINED Dorset 1,200 Home Depot Inc. Common 437076102 25,923,280 645,500 SH DEFINED Dorset 645,500 Home Depot Inc. Common 437076102 1,289,136 32,100 SH DEFINED Dorset 32,100 Home Depot Inc. Common 437076102 301,200 7,500 SH DEFINED Dorset 7,500 Home Solutions of America, Inc. Common 437355100 464,698 79,300 SH DEFINED Dorset 79,300 Home Solutions of America, Inc. Common 437355100 26,956 4,600 SH DEFINED Dorset 4,600 Home Solutions of America, Inc. Common 437355100 6,446 1,100 SH DEFINED Dorset 1,100 Hudson City Bancorp Inc. Common 443683107 24,190,064 1,742,800 SH DEFINED Dorset 1,742,800 Hudson City Bancorp Inc. Common 443683107 1,178,412 84,900 SH DEFINED Dorset 84,900 Hudson City Bancorp Inc. Common 443683107 281,764 20,300 SH DEFINED Dorset 20,300 PUTS/Imergent Inc. @20 Exp. 1/07 Common 450019PD 9,402 942 SH Put DEFINED Dorset 942 PUTS/Imergent Inc. @20 Exp. 1/07 Common 450019PD 470 47 SH Put DEFINED Dorset 47 PUTS/Imergent Inc. @20 Exp. 1/07 Common 450019PD 110 11 SH Put DEFINED Dorset 11 PUTS/Imergent Inc. @22.5 Exp. 1/07 Common 450019NX 9,402 942 SH Put DEFINED Dorset 942 PUTS/Imergent Inc. @22.5 Exp. 1/07 Common 450019NX 470 47 SH Put DEFINED Dorset 47 PUTS/Imergent Inc. @22.5 Exp. 1/07 Common 450019NX 110 11 SH Put DEFINED Dorset 11 India Globalization Capital, Inc. Common 45408X100 52,560 9,000 SH OTHER Dorset 9,000 India Globalization Capital, Inc. Common 45408X100 197,976 33,900 SH DEFINED Dorset 33,900 India Globalization Capital, Inc. Common 45408X100 9,928 1,700 SH DEFINED Dorset 1,700
India Globalization Capital, Inc. Common 45408X100 2,336 400 SH DEFINED Dorset 400 Indus International, Inc. Common 45578L100 8,059,435 2,126,500 SH DEFINED Dorset 2,126,500 Indus International, Inc. Common 45578L100 404,772 106,800 SH DEFINED Dorset 106,800 Indus International, Inc. Common 45578L100 94,371 24,900 SH DEFINED Dorset 24,900 InterOil Corporation Common 460951106 2,845,745 93,950 SH DEFINED Dorset 93,950 InterOil Corporation Common 460951106 734,532 24,250 SH DEFINED Dorset 24,250 InterOil Corporation Common 460951106 51,493 1,700 SH DEFINED Dorset 1,700 Interstate Bakeries Corporation Common 46072H108 88,586 36,911 SH OTHER Dorset 36,911 Interstate Bakeries Corporation Common 46072H108 996,346 415,144 SH DEFINED Dorset 415,144 Interstate Bakeries Corporation Common 46072H108 49,680 20,700 SH DEFINED Dorset 20,700 Interstate Bakeries Corporation Common 46072H108 13,200 5,500 SH DEFINED Dorset 5,500 Israel Growth Partners Acquistion Corp. Common 465090207 113,520 24,000 SH OTHER Dorset 24,000 Israel Growth Partners Acquistion Corp. Common 465090207 427,592 90,400 SH DEFINED Dorset 90,400 Israel Growth Partners Acquistion Corp. Common 465090207 21,758 4,600 SH DEFINED Dorset 4,600 Israel Growth Partners Acquistion Corp. Common 465090207 4,730 1,000 SH DEFINED Dorset 1,000 Ithaka Acquistion Corp. Common 465707107 1,278,570 234,600 SH DEFINED Dorset 234,600 Ithaka Acquistion Corp. Common 465707107 67,580 12,400 SH DEFINED Dorset 12,400 Ithaka Acquistion Corp. Common 465707107 16,350 3,000 SH DEFINED Dorset 3,000 Jaguar Acquistion Corporation Common 470084104 266,490 49,168 SH OTHER Dorset 49,168 Jaguar Acquistion Corporation Common 470084104 1,009,746 186,300 SH DEFINED Dorset 186,300 Jaguar Acquistion Corporation Common 470084104 48,086 8,872 SH DEFINED Dorset 8,872 Jaguar Acquistion Corporation Common 470084104 8,130 1,500 SH DEFINED Dorset 1,500 Jaguar Acquistion Corporation Common 470084112 100,555 110,500 SH call DEFINED Dorset 110,500 Jaguar Acquistion Corporation Common 470084112 5,045 5,544 SH call DEFINED Dorset 5,544 Jaguar Acquistion Corporation Common 470084112 1,183 1,300 SH call DEFINED Dorset 1,300 Jaguar Acquistion Corporation Common 470084112 28,971 31,836 SH call OTHER Dorset 31,836 JK Acquisition Corp. Common 47759H106 746,365 132,100 SH OTHER Dorset 132,100 JK Acquisition Corp. Common 47759H106 3,171,910 561,400 SH DEFINED Dorset 561,400 JK Acquisition Corp. Common 47759H106 158,200 28,000 SH DEFINED Dorset 28,000 JK Acquisition Corp. Common 47759H106 37,290 6,600 SH DEFINED Dorset 6,600 KBL Healthcare Acquistion Corp. II Common 48241R108 330,000 60,000 SH OTHER Dorset 60,000 KBL Healthcare Acquistion Corp. II Common 48241R108 1,260,600 229,200 SH DEFINED Dorset 229,200 KBL Healthcare Acquistion Corp. II Common 48241R108 66,550 12,100 SH DEFINED Dorset 12,100 KBL Healthcare Acquistion Corp. II Common 48241R108 15,400 2,800 SH DEFINED Dorset 2,800 Kopper Holdings, Inc Common 50060P106 16,079,976 616,800 SH DEFINED Dorset 616,800 Kopper Holdings, Inc Common 50060P106 797,742 30,600 SH DEFINED Dorset 30,600 Kopper Holdings, Inc Common 50060P106 187,704 7,200 SH DEFINED Dorset 7,200 CALL/Lear Corp. @ 25 Exp 1/08 Common 521865905 167,000 200 SH call OTHER Dorset 200 CALL/Lear Corp. @ 35 Exp 1/08 Common 521865905 240,625 625 SH call OTHER Dorset 625 Ligand Pharmaceuticals Incorporated Common 53220K207 3,192,845 291,584 SH OTHER Dorset 291,584 Ligand Pharmaceuticals Incorporated Common 53220K207 84,248,811 7,693,955 SH DEFINED Dorset 7,693,955 Ligand Pharmaceuticals Incorporated Common 53220K207 4,238,603 387,087 SH DEFINED Dorset 387,087 Ligand Pharmaceuticals Incorporated Common 53220K207 995,694 90,931 SH DEFINED Dorset 90,931 M&T Bank Corporation Common 55261F104 11,479,375 93,970 SH DEFINED Dorset 93,970 M&T Bank Corporation Common 55261F104 610,800 5,000 SH DEFINED Dorset 5,000
M&T Bank Corporation Common 55261F104 146,592 1,200 SH DEFINED Dorset 1,200 Magna Entertainment Corp. Common 559211107 14,819,409 3,285,900 SH DEFINED Dorset 3,285,900 Magna Entertainment Corp. Common 559211107 743,699 164,900 SH DEFINED Dorset 164,900 Marathon Acquisition Corp. Common 565756103 5,625,000 750,000 SH OTHER Dorset 750,000 Marathon Acquisition Corp. Common 565756103 14,043,000 1,872,400 SH DEFINED Dorset 1,872,400 Marathon Acquisition Corp. Common 565756103 640,500 85,400 SH DEFINED Dorset 85,400 Marathon Acquisition Corp. Common 565756103 129,000 17,200 SH DEFINED Dorset 17,200 Marathon Acquisition Corp. Common 565756111 752,784 836,427 SH call DEFINED Dorset 836,427 Marathon Acquisition Corp. Common 565756111 34,560 38,400 SH call DEFINED Dorset 38,400 Marathon Acquisition Corp. Common 565756111 7,020 7,800 SH call DEFINED Dorset 7,800 Marathon Acquisition Corp. Common 565756111 304,355 338,173 SH call OTHER Dorset 338,173 Meritage Corporation Common 59001A102 24,179,724 506,700 SH DEFINED Dorset 506,700 Meritage Corporation Common 59001A102 1,207,316 25,300 SH DEFINED Dorset 25,300 Meritage Corporation Common 59001A102 281,548 5,900 SH DEFINED Dorset 5,900 Microsoft Corporation Common 594918104 48,185,082 1,613,700 SH DEFINED Dorset 1,613,700 Microsoft Corporation Common 594918104 2,424,632 81,200 SH DEFINED Dorset 81,200 Microsoft Corporation Common 594918104 561,368 18,800 SH DEFINED Dorset 18,800 Microvision, Inc. Common 594960106 4,994,615 1,565,710 SH DEFINED Dorset 1,565,710 Microvision, Inc. Common 594960106 265,408 83,200 SH DEFINED Dorset 83,200 Microvision, Inc. Common 594960106 62,205 19,500 SH DEFINED Dorset 19,500 Microvision, Inc. Common 594960155 3,084,501 2,098,300 SH call DEFINED Dorset 2,098,300 Microvision, Inc. Common 594960155 154,644 105,200 SH call DEFINED Dorset 105,200 Microvision, Inc. Common 594960155 36,162 24,600 SH call DEFINED Dorset 24,600 Middle Kingdom Alliance Corporation Common 595750308 264,040 32,800 SH OTHER Dorset 32,800 Middle Kingdom Alliance Corporation Common 595750308 937,020 116,400 SH DEFINED Dorset 116,400 Middle Kingdom Alliance Corporation Common 595750308 119,140 14,800 SH DEFINED Dorset 14,800 Murphy Oil Corporation Common 626717102 44,900,550 883,000 SH DEFINED Dorset 883,000 Nabi Common 629519109 37,126,602 5,475,900 SH DEFINED Dorset 5,475,900 Nabi Common 629519109 1,846,872 272,400 SH DEFINED Dorset 272,400 Nabi Common 629519109 433,920 64,000 SH DEFINED Dorset 64,000 National-Oilwell Varco Inc. Common 637071101 32,272,450 527,500 SH DEFINED Dorset 527,500 Neurobiological Technologies, Inc. Common 64124W106 2,732,889 1,326,645 SH DEFINED Dorset 1,326,645 Neurobiological Technologies, Inc. Common 64124W106 136,372 66,200 SH DEFINED Dorset 66,200 Neurobiological Technologies, Inc. Common 64124W106 31,930 15,500 SH DEFINED Dorset 15,500 News Corporation Common 65248E104 201,912 9,400 SH SOLE 9,400 News Corporation Common 65248E104 1,736,486 80,842 SH OTHER Dorset 80,842 News Corporation Common 65248E104 47,999,208 2,234,600 SH DEFINED Dorset 2,234,600 News Corporation Common 65248E104 2,401,464 111,800 SH DEFINED Dorset 111,800 News Corporation Common 65248E104 560,628 26,100 SH DEFINED Dorset 26,100 Noble Corporation Common G65422100 44,928,500 590,000 SH DEFINED Dorset 590,000 North American Insurance Leaders, Inc. Common 65687M104 403,700 55,000 SH OTHER Dorset 55,000 North American Insurance Leaders, Inc. Common 65687M104 1,520,848 207,200 SH DEFINED Dorset 207,200 North American Insurance Leaders, Inc. Common 65687M104 76,336 10,400 SH DEFINED Dorset 10,400 North American Insurance Leaders, Inc. Common 65687M104 17,616 2,400 SH DEFINED Dorset 2,400 OCA, Inc. Common 67083Q101 433 28,900 SH DEFINED Dorset 28,900
OCA, Inc. Common 67083Q101 27 1,800 SH DEFINED Dorset 1,800 OCA, Inc. Common 67083Q101 4 300 SH DEFINED Dorset 300 Oracle Healthcare Acquisition Corp. Common 68402M102 797,261 105,878 SH DEFINED Dorset 105,878 Oracle Healthcare Acquisition Corp. Common 68402M102 39,156 5,200 SH DEFINED Dorset 5,200 Oracle Healthcare Acquisition Corp. Common 68402M102 9,036 1,200 SH DEFINED Dorset 1,200 Pantheon China Acquisition Corporation Common 698659208 376,800 60,000 SH OTHER Dorset 60,000 Pantheon China Acquisition Corporation Common 698659208 1,337,012 212,900 SH DEFINED Dorset 212,900 Pantheon China Acquisition Corporation Common 698659208 170,188 27,100 SH DEFINED Dorset 27,100 Par Pharmaceutical Cos. Inc. Common 69888P106 9,367,773 418,765 SH DEFINED Dorset 418,765 Par Pharmaceutical Cos. Inc. Common 69888P106 465,296 20,800 SH DEFINED Dorset 20,800 Par Pharmaceutical Cos. Inc. Common 69888P106 109,613 4,900 SH DEFINED Dorset 4,900 Paramount Aquisition Corp Common 69917T103 1,373,970 253,500 SH DEFINED Dorset 253,500 Paramount Aquisition Corp Common 69917T103 72,628 13,400 SH DEFINED Dorset 13,400 Paramount Aquisition Corp Common 69917T103 16,802 3,100 SH DEFINED Dorset 3,100 Penwest Pharmaceuticals Co. Common 709754105 9,975,324 600,200 SH DEFINED Dorset 600,200 Penwest Pharmaceuticals Co. Common 709754105 498,600 30,000 SH DEFINED Dorset 30,000 Penwest Pharmaceuticals Co. Common 709754105 116,340 7,000 SH DEFINED Dorset 7,000 Petroleo Brasileiro SA Common 71654V408 41,196 400 SH OTHER 400 Petroleo Brasileiro SA Common 71654V408 226,578 2,200 SH SOLE 2,200 Petroleo Brasileiro SA Common 71654V408 43,142,511 418,900 SH DEFINED Dorset 418,900 Petroleo Brasileiro SA Common 71654V408 43,430,883 421,700 SH DEFINED Dorset 421,700 Petroleo Brasileiro SA Common 71654V408 504,651 4,900 SH DEFINED Dorset 4,900 Pfizer Inc. Common 717081103 8,469 327 SH SOLE 327 Pfizer Inc. Common 717081103 49,210 1,900 SH OTHER 1,900 Pharmanet Development Group,Inc(SFBC Intl) Common 717148100 15,733,703 712,900 SH DEFINED Dorset 712,900 Pharmanet Development Group,Inc(SFBC Intl) Common 717148100 602,511 27,300 SH DEFINED Dorset 27,300 Pharmanet Development Group,Inc(SFBC Intl) Common 717148100 209,665 9,500 SH DEFINED Dorset 9,500 PolyMedica Corporation Common 731738100 22,375,946 553,723 SH DEFINED Dorset 553,723 PolyMedica Corporation Common 731738100 1,107,234 27,400 SH DEFINED Dorset 27,400 PolyMedica Corporation Common 731738100 258,624 6,400 SH DEFINED Dorset 6,400 Presstek, Inc. Common 741113104 9,116,424 1,433,400 SH DEFINED Dorset 1,433,400 Presstek, Inc. Common 741113104 452,832 71,200 SH DEFINED Dorset 71,200 Presstek, Inc. Common 741113104 120,840 19,000 SH DEFINED Dorset 19,000 Pure Cycle Corporation Common 746228303 2,196,784 266,600 SH DEFINED Dorset 266,600 Pure Cycle Corporation Common 746228303 110,416 13,400 SH DEFINED Dorset 13,400 Pure Cycle Corporation Common 746228303 25,544 3,100 SH DEFINED Dorset 3,100 QuadraMed Corporation Common 74730W101 11,248,548 4,075,561 SH DEFINED Dorset 4,075,561 QuadraMed Corporation Common 74730W101 641,148 232,300 SH DEFINED Dorset 232,300 QuadraMed Corporation Common 74730W101 145,756 52,810 SH DEFINED Dorset 52,810 Quilmes Industrial SA ADR Common 74838Y207 1,370,451 20,777 SH OTHER Dorset 20,777 Rand Acquisition Corporation Common 752182105 3,183,805 464,789 SH DEFINED Dorset 464,789 Rand Acquisition Corporation Common 752182105 74,665 10,900 SH DEFINED Dorset 10,900 Rand Acquisition Corporation Common 752182105 11,645 1,700 SH DEFINED Dorset 1,700 Rand Acquisition Corporation - Units Common 752182204 7,558,060 693,400 SH DEFINED Dorset 693,400 Rand Acquisition Corporation - Units Common 752182204 541,730 49,700 SH DEFINED Dorset 49,700
Rand Acquisition Corporation - Units Common 752182204 97,010 8,900 SH DEFINED Dorset 8,900 Retail Ventures, Inc. Common 76128Y102 26,263,776 1,379,400 SH DEFINED Dorset 1,379,400 Retail Ventures, Inc. Common 76128Y102 1,325,184 69,600 SH DEFINED Dorset 69,600 Retail Ventures, Inc. Common 76128Y102 306,544 16,100 SH DEFINED Dorset 16,100 Rhapsody Acquisition Corporation Common 762014207 645,500 77,000 SH OTHER Dorset 77,000 Rhapsody Acquisition Corporation Common 762014207 2,482,850 292,100 SH DEFINED Dorset 292,100 Rhapsody Acquisition Corporation Common 762014207 114,750 13,500 SH DEFINED Dorset 13,500 Rhapsody Acquisition Corporation Common 762014207 20,400 2,400 SH DEFINED Dorset 2,400 SAIC, Inc. Common 78390X101 5,790,645 325,500 SH DEFINED Dorset 325,500 SAIC, Inc. Common 78390X101 288,198 16,200 SH DEFINED Dorset 16,200 SAIC, Inc. Common 78390X101 67,602 3,800 SH DEFINED Dorset 3,800 Schlumberger Limited Common 806857108 39,475,000 625,000 SH DEFINED Dorset 625,000 Seabright Insurance Holdings, Inc. Common 811656107 16,842,952 935,200 SH DEFINED Dorset 935,200 Seabright Insurance Holdings, Inc. Common 811656107 903,201 50,150 SH DEFINED Dorset 50,150 Seabright Insurance Holdings, Inc. Common 811656107 208,916 11,600 SH DEFINED Dorset 11,600 Sears Holding Corporation Common 812350106 7,590,436 45,200 SH DEFINED Dorset 45,200 Sears Holding Corporation Common 812350106 806,064 4,800 SH DEFINED Dorset 4,800 Shanghai Century Acquistion Corporation Common G80637104 146,200 20,000 SH OTHER Dorset 20,000 Shanghai Century Acquistion Corporation Common G80637120 5,216,760 606,600 SH DEFINED Dorset 606,600 Shanghai Century Acquistion Corporation Common G80637120 260,580 30,300 SH DEFINED Dorset 30,300 Shanghai Century Acquistion Corporation Common G80637120 61,060 7,100 SH DEFINED Dorset 7,100 Simpson Manufacturing Co., Inc. Common 829073105 15,055,905 475,700 SH DEFINED Dorset 475,700 Simpson Manufacturing Co., Inc. Common 829073105 750,105 23,700 SH DEFINED Dorset 23,700 Simpson Manufacturing Co., Inc. Common 829073105 177,240 5,600 SH DEFINED Dorset 5,600 Smith Mircro Software, Inc. Common 832154108 804,573 56,700 SH DEFINED Dorset 56,700 Smith Mircro Software, Inc. Common 832154108 72,369 5,100 SH DEFINED Dorset 5,100 Smith Mircro Software, Inc. Common 832154108 19,866 1,400 SH DEFINED Dorset 1,400 Spectrum Pharmaceuticals Inc. Common 84763A108 5,744,011 1,038,700 SH DEFINED Dorset 1,038,700 Spectrum Pharmaceuticals Inc. Common 84763A108 285,901 51,700 SH DEFINED Dorset 51,700 Spectrum Pharmaceuticals Inc. Common 84763A108 66,360 12,000 SH DEFINED Dorset 12,000 St. Bernard Software Inc. Common 85228F202 13,800 6,000 SH OTHER Dorset 6,000 Stone Arcade Acquisition Corporation Common 861575108 599,112 94,200 SH DEFINED Dorset 94,200 Stone Arcade Acquisition Corporation Common 861575108 29,892 4,700 SH DEFINED Dorset 4,700 Stone Arcade Acquisition Corporation Common 861575108 6,996 1,100 SH DEFINED Dorset 1,100 Talisman Energy Inc. Common 87425E103 56,568,870 3,331,500 SH DEFINED Dorset 3,331,500 Talisman Energy Inc. Common 87425E103 24,782,310 1,459,500 SH DEFINED Dorset 1,459,500 Talisman Energy Inc. Common 87425E103 706,368 41,600 SH DEFINED Dorset 41,600 Terra Nova Acquisition Corporation Common 88101E102 270,164 49,300 SH OTHER Dorset 49,300 Terra Nova Acquisition Corporation Common 88101E102 491,556 89,700 SH DEFINED Dorset 89,700 Terra Nova Acquisition Corporation Common 88101E102 26,852 4,900 SH DEFINED Dorset 4,900 Terra Nova Acquisition Corporation Common 88101E102 6,028 1,100 SH DEFINED Dorset 1,100 The Stephan Co. Common 858603103 277,147 76,560 SH OTHER Dorset 76,560 The Stephan Co. Common 858603103 1,044,153 288,440 SH DEFINED Dorset 288,440 The Stephan Co. Common 858603103 52,309 14,450 SH DEFINED Dorset 14,450 The Stephan Co. Common 858603103 12,127 3,350 SH DEFINED Dorset 3,350
Transgenomic, Inc. Common 89365K206 1,987,853 4,417,451 SH DEFINED Dorset 4,417,451 Transgenomic, Inc. Common 89365K206 106,920 237,600 SH DEFINED Dorset 237,600 Transgenomic, Inc. Common 89365K206 23,175 51,500 SH DEFINED Dorset 51,500 Transocean Inc. Common G90078109 30,366,106 375,400 SH DEFINED Dorset 375,400 U.S.I. Holdings Corporation Common 90333H101 10,047,468 654,132 SH DEFINED Dorset 654,132 U.S.I. Holdings Corporation Common 90333H101 534,528 34,800 SH DEFINED Dorset 34,800 U.S.I. Holdings Corporation Common 90333H101 125,952 8,200 SH DEFINED Dorset 8,200 Ultra Petroleum Corp. Common 903914109 1,470,392 30,800 SH DEFINED Dorset 30,800 Uranium Resources, Inc. Common 916901507 1,036,895 178,775 SH DEFINED Dorset 178,775 Uranium Resources, Inc. Common 916901507 540,560 93,200 SH DEFINED Dorset 93,200 Uranium Resources, Inc. Common 916901507 12,035 2,075 SH DEFINED Dorset 2,075 Viacom Inc. Common 92553P102 1,497,603 36,518 SH OTHER Dorset 36,518 Viacom Inc. Common 92553P102 6,276,580 153,050 SH DEFINED Dorset 153,050 Viacom Inc. Common 92553P102 299,373 7,300 SH DEFINED Dorset 7,300 Viacom Inc. Common 92553P102 69,717 1,700 SH DEFINED Dorset 1,700 Viacom Inc. Class B Common 92553P201 1,317,596 32,113 SH OTHER Dorset 32,113 Viacom Inc. Class B Common 92553P201 10,922,596 266,210 SH DEFINED Dorset 266,210 Viacom Inc. Class B Common 92553P201 617,501 15,050 SH DEFINED Dorset 15,050 Viacom Inc. Class B Common 92553P201 145,656 3,550 SH DEFINED Dorset 3,550 WCI Communities, Inc. Common 92923C104 8,444,954 440,300 SH DEFINED Dorset 440,300 WCI Communities, Inc. Common 92923C104 458,402 23,900 SH DEFINED Dorset 23,900 WCI Communities, Inc. Common 92923C104 105,490 5,500 SH DEFINED Dorset 5,500 Wachovia Corporation Common 929903102 101,371 1,780 SH OTHER 1,780 CALLS/Wal-mart stores @ 40 exp 1/08 Common 931142103 591,600 680 SH OTHER Dorset 680 Wells Fargo & Co. Common 949746101 213,360 6,000 SH OTHER 6,000 Wells Fargo & Co. Common 949746101 412,496 11,600 SH SOLE 11,600 Wells Fargo & Co. Common 949746101 40,465,858 1,137,960 SH DEFINED Dorset 1,137,960 Wells Fargo & Co. Common 949746101 2,026,920 57,000 SH DEFINED Dorset 57,000 Wells Fargo & Co. Common 949746101 476,504 13,400 SH DEFINED Dorset 13,400 Willis Group Holdings Limited Common G96655108 15,884 400 SH OTHER 400 Willis Group Holdings Limited Common G96655108 146,927 3,700 SH SOLE 3,700 Willis Group Holdings Limited Common G96655108 16,443,236 414,083 SH DEFINED Dorset 414,083 Willis Group Holdings Limited Common G96655108 887,518 22,350 SH DEFINED Dorset 22,350 Willis Group Holdings Limited Common G96655108 206,492 5,200 SH DEFINED Dorset 5,200 XTO-Energy, Inc. Common 98385X106 3,764,000 80,000 SH DEFINED Dorset 80,000 Zions Bancorp Common 989701107 280,296 3,400 SH SOLE 3,400 Zions Bancorp Common 989701107 98,928 1,200 SH OTHER 1,200 ZIOPHARM Oncology, Inc. Common 98973P101 3,446,171 577,248 SH DEFINED Dorset 577,248 ZIOPHARM Oncology, Inc. Common 98973P101 172,533 28,900 SH DEFINED Dorset 28,900 ZIOPHARM Oncology, Inc. Common 98973P101 40,596 6,800 SH DEFINED Dorset 6,800 2,854,172,446 151,483,746