13F-HR 1 a2182720z13f-hr.txt 13F-HR 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, 2007 ----------------------- Check Here if Amendment / /; Amendment Number: --------- This Amendment (Check only one.): / / 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 12, 2008 ------------------------------- ----------------- ----------------- [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: 416 -------------------- Form 13F Information Table Value Total: $2,670,503 -------------------- (thousands) List of Other Included Managers: Dorset Management Corporation ("Dorset") FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 -------------------------------------------------------------------------------------------------------------------------------- VOTING AUTHORITY TITLE OF -------------------------------- CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE -------------------------------------------------------------------------------------------------------------------------------- 2020 Chinacap Acquirco, Inc. Common 90212G208 688,500 85,000 SH OTHER Dorset 85,000 2020 Chinacap Acquirco, Inc. Common 90212G208 2,608,200 322,000 SH DEFINED Dorset 322,000 2020 Chinacap Acquirco, Inc. Common 90212G208 119,880 14,800 SH DEFINED Dorset 14,800 2020 Chinacap Acquirco, Inc. Common 90212G208 25,920 3,200 SH DEFINED Dorset 3,200 Allied Capital Corp Common 01903Q108 537,500 25,000 SH OTHER Dorset 25,000 Alpha Security Group Corporation Common 02078A209 5,706,330 562,200 SH DEFINED Dorset 562,200 Alpha Security Group Corporation Common 02078A209 310,590 30,600 SH DEFINED Dorset 30,600 Alpha Security Group Corporation Common 02078A209 73,080 7,200 SH DEFINED Dorset 7,200 Alphatec Holdings, Inc. Common 02081G102 5,206,794 1,033,094 SH DEFINED Dorset 1,033,094 Alphatec Holdings, Inc. Common 02081G102 241,063 47,830 SH DEFINED Dorset 47,830 Alphatec Holdings, Inc. Common 02081G102 52,517 10,420 SH DEFINED Dorset 10,420 American Eagle Outfitters, Inc. Common 02553E106 2,077,000 100,000 SH DEFINED Dorset 100,000 American Eagle Outfitters, Inc. Common 02553E106 15,197,409 731,700 SH DEFINED Dorset 731,700 American Eagle Outfitters, Inc. Common 02553E106 704,103 33,900 SH DEFINED Dorset 33,900 American Eagle Outfitters, Inc. Common 02553E106 153,698 7,400 SH DEFINED Dorset 7,400 American Express Common 025816109 3,095,190 59,500 SH OTHER Dorset 59,500 American Express @ 50 exp 1/17/09 Common 025816109 1,246,965 1,409 SH Call OTHER Dorset 1,409 American Express @ 47.5 exp 1/08 Common 9EQ1NG003 804,000 1,675 SH Call DEFINED Dorset 1,675 American Express @ 47.5 exp 1/08 Common 9EQ1NG003 36,480 76 SH Call DEFINED Dorset 76 American Express @ 47.5 exp 1/08 Common 9EQ1NG003 11,040 23 SH Call DEFINED Dorset 23 American International Group Inc. Common 026874107 180,730 3,100 SH OTHER 3,100 American International Group Inc. Common 026874107 874,500 15,000 SH SOLE 15,000 American International Group Inc. Common 026874107 153,701,770 2,636,394 SH DEFINED Dorset 2,636,394 American International Group Inc. Common 026874107 10,604,770 181,900 SH DEFINED Dorset 181,900 American International Group Inc. Common 026874107 1,544,950 26,500 SH DEFINED Dorset 26,500 Amerityre Corporation Common 03073V107 74,022 50,700 SH DEFINED Dorset 50,700 Amerityre Corporation Common 03073V107 3,358 2,300 SH DEFINED Dorset 2,300 Amerityre Corporation Common 03073V107 730 500 SH DEFINED Dorset 500 Anadarko Petroleum Corporation Common 032511107 236,484 3,600 SH OTHER 3,600 Anadarko Petroleum Corporation Common 032511107 722,590 11,000 SH SOLE 11,000 Anadarko Petroleum Corporation Common 032511107 145,201,176 2,210,400 SH DEFINED Dorset 2,210,400 Anadarko Petroleum Corporation Common 032511107 108,217,706 1,647,400 SH DEFINED Dorset 1,647,400 Anadarko Petroleum Corporation Common 032511107 1,458,318 22,200 SH DEFINED Dorset 22,200 Arcade Acquisition Corporation Common 038798203 591,000 75,000 SH OTHER Dorset 75,000 Arcade Acquisition Corporation Common 038798203 2,232,404 283,300 SH DEFINED Dorset 283,300 Arcade Acquisition Corporation Common 038798203 100,864 12,800 SH DEFINED Dorset 12,800 Arcade Acquisition Corporation Common 038798203 30,732 3,900 SH DEFINED Dorset 3,900 Aristotle Corp. Common 040448201 46,306 3,380 SH DEFINED Dorset 3,380 Ascend Acquisition Corportation Common 04350H100 749,225 130,300 SH OTHER Dorset 130,300 Ascend Acquisition Corportation Common 04350H100 1,669,225 290,300 SH DEFINED Dorset 290,300 Ascend Acquisition Corportation Common 04350H100 166,750 29,000 SH DEFINED Dorset 29,000 Ascend Acquisition Corportation Common 04350H100 10,925 1,900 SH DEFINED Dorset 1,900
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 -------------------------------------------------------------------------------------------------------------------------------- VOTING AUTHORITY TITLE OF -------------------------------- CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE -------------------------------------------------------------------------------------------------------------------------------- Aveta, Inc. Common 05365U101 2,771,000 554,200 SH DEFINED Dorset 554,200 Aveta, Inc. Common 05365U101 118,000 23,600 SH DEFINED Dorset 23,600 Aveta, Inc. Common 05365U101 35,000 7,000 SH DEFINED Dorset 7,000 Baker Hughes Incorporated Common 057224107 81,100,000 1,000,000 SH DEFINED Dorset 1,000,000 Bear Stearns Companies Inc. Common 073902108 15,893,825 180,100 SH DEFINED Dorset 180,100 Bear Stearns Companies Inc. Common 073902108 1,032,525 11,700 SH DEFINED Dorset 11,700 Bear Stearns Companies Inc. Common 073902108 255,925 2,900 SH DEFINED Dorset 2,900 Beazer Homes USA, Inc. Common 07556Q105 668,700 90,000 SH OTHER Dorset 90,000 Beazer Homes USA, Inc. Common 07556Q105 3,134,717 421,900 SH DEFINED Dorset 421,900 Beazer Homes USA, Inc. Common 07556Q105 226,615 30,500 SH DEFINED Dorset 30,500 Beazer Homes USA, Inc. Common 07556Q105 33,435 4,500 SH DEFINED Dorset 4,500 Blockbuster Inc.- Class B Common 093679207 9,625,670 2,798,160 SH DEFINED Dorset 2,798,160 Blockbuster Inc.- Class B Common 093679207 643,624 187,100 SH DEFINED Dorset 187,100 Blockbuster Inc.- Class B Common 093679207 95,976 27,900 SH DEFINED Dorset 27,900 Blockbuster, Inc. Common 093679108 16,438,110 4,214,900 SH DEFINED Dorset 4,214,900 Blockbuster, Inc. Common 093679108 1,090,440 279,600 SH DEFINED Dorset 279,600 Blockbuster, Inc. Common 093679108 165,750 42,500 SH DEFINED Dorset 42,500 Bristow Group, Inc. Common 110394103 17,816,425 314,500 SH DEFINED Dorset 314,500 Bristow Group, Inc. Common 110394103 872,410 15,400 SH DEFINED Dorset 15,400 Bristow Group, Inc. Common 110394103 181,280 3,200 SH DEFINED Dorset 3,200 Butler International, Inc. Common 123649105 646,818 965,400 SH DEFINED Dorset 965,400 Butler International, Inc. Common 123649105 52,863 78,900 SH DEFINED Dorset 78,900 Butler International, Inc. Common 123649105 5,025 7,500 SH DEFINED Dorset 7,500 Cabot Oil & Gas Corporation Common 127097103 16,551,700 410,000 SH DEFINED Dorset 410,000 Callidus Software Common 13123E500 9,184,091 1,776,420 SH DEFINED Dorset 1,776,420 Callidus Software Common 13123E500 429,989 83,170 SH DEFINED Dorset 83,170 Callidus Software Common 13123E500 92,543 17,900 SH DEFINED Dorset 17,900 Canadian Natural Resources Ltd. Common 136385101 382,503 5,200 SH OTHER 5,200 Canadian Natural Resources Ltd. Common 136385101 1,059,240 14,400 SH SOLE 14,400 Canadian Natural Resources Ltd. Common 136385101 223,524,312 3,060,300 SH DEFINED Dorset 3,060,300 Canadian Natural Resources Ltd. Common 136385101 85,372,074 1,168,840 SH DEFINED Dorset 1,168,840 Canadian Natural Resources Ltd. Common 136385101 2,242,328 30,700 SH DEFINED Dorset 30,700 Capitol One Common 14040H105 85,162 1,802 SH SOLE 1,802 Cenveo Inc. Common 15670S105 8,783,916 502,800 SH DEFINED Dorset 502,800 Cenveo Inc. Common 15670S105 405,304 23,200 SH DEFINED Dorset 23,200 Cenveo Inc. Common 15670S105 87,350 5,000 SH DEFINED Dorset 5,000 Cepheid, Inc. Common 15670R107 29,938,870 1,136,200 SH DEFINED Dorset 1,136,200 Cepheid, Inc. Common 15670R107 1,380,740 52,400 SH DEFINED Dorset 52,400 Cepheid, Inc. Common 15670R107 300,390 11,400 SH DEFINED Dorset 11,400 Cerus Corporation Common 157085101 13,597,828 2,088,760 SH DEFINED Dorset 2,088,760 Cerus Corporation Common 157085101 628,215 96,500 SH DEFINED Dorset 96,500 Cerus Corporation Common 157085101 136,710 21,000 SH DEFINED Dorset 21,000
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 -------------------------------------------------------------------------------------------------------------------------------- VOTING AUTHORITY TITLE OF -------------------------------- CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE -------------------------------------------------------------------------------------------------------------------------------- Charlotte Russe Holdings Inc. Common 161048103 3,230,000 200,000 SH OTHER Dorset 200,000 Chevron Corporation Common 166764100 79,330,500 850,000 SH DEFINED Dorset 850,000 China Discovery Aquisition Corp Common G2112B125 372,400 49,000 SH OTHER Dorset 49,000 China Discovery Aquisition Corp Common G2112B125 1,411,320 185,700 SH DEFINED Dorset 185,700 China Discovery Aquisition Corp Common G2112B125 63,840 8,400 SH DEFINED Dorset 8,400 China Discovery Aquisition Corp Common G2112B125 14,440 1,900 SH DEFINED Dorset 1,900 China Fortune Acquisition Corp. Common G21098127 990,000 119,100 SH OTHER Dorset 119,100 China Fortune Acquisition Corp. Common G21098127 3,752,925 454,900 SH DEFINED Dorset 454,900 China Fortune Acquisition Corp. Common G21098127 169,950 20,600 SH DEFINED Dorset 20,600 China Fortune Acquisition Corp. Common G21098127 37,125 4,500 SH DEFINED Dorset 4,500 China Holdings Acquistion Corp. Common 16942N205 9,231,300 946,800 SH DEFINED Dorset 946,800 China Holdings Acquistion Corp. Common 16942N205 426,075 43,700 SH DEFINED Dorset 43,700 China Holdings Acquistion Corp. Common 16942N205 92,625 9,500 SH DEFINED Dorset 9,500 China Opportunity Acquisition Corp. Common 16941S205 725,000 100,000 SH OTHER Dorset 100,000 China Opportunity Acquisition Corp. Common 16941S205 2,748,475 379,100 SH DEFINED Dorset 379,100 China Opportunity Acquisition Corp. Common 16941S205 116,725 16,100 SH DEFINED Dorset 16,100 China Opportunity Acquisition Corp. Common 16941S205 34,800 4,800 SH DEFINED Dorset 4,800 Chinagrowth North Acquisiton Common G21116119 732,000 100,000 SH OTHER Dorset 100,000 Chinagrowth North Acquisiton Common G21116119 2,747,928 375,400 SH DEFINED Dorset 375,400 Chinagrowth North Acquisiton Common G21116119 145,668 19,900 SH DEFINED Dorset 19,900 Chinagrowth North Acquisiton Common G21116119 34,404 4,700 SH DEFINED Dorset 4,700 Chinagrowth North Acquisiton Common G21116127 32,725 38,500 SH Call OTHER Dorset 38,500 Chinagrowth North Acquisiton Common G21116127 113,985 134,100 SH Call DEFINED Dorset 134,100 Chinagrowth North Acquisiton Common G21116127 4,845 5,700 SH Call DEFINED Dorset 5,700 Chinagrowth North Acquisiton Common G21116127 1,445 1,700 SH Call DEFINED Dorset 1,700 Chinagrowth South Acquisiton Common G21117109 738,000 100,000 SH OTHER Dorset 100,000 Chinagrowth South Acquisiton Common G21117109 2,770,452 375,400 SH DEFINED Dorset 375,400 Chinagrowth South Acquisiton Common G21117109 146,862 19,900 SH DEFINED Dorset 19,900 Chinagrowth South Acquisiton Common G21117109 34,686 4,700 SH DEFINED Dorset 4,700 Chinagrowth South Acquisiton Common G21117117 17,850 21,000 SH Call OTHER Dorset 21,000 Chinagrowth South Acquisiton Common G21117117 63,580 74,800 SH Call DEFINED Dorset 74,800 Chinagrowth South Acquisiton Common G21117117 2,720 3,200 SH Call DEFINED Dorset 3,200 Chinagrowth South Acquisiton Common G21117117 850 1,000 SH Call DEFINED Dorset 1,000 Citigroup Inc. Common 172967101 5,888,000 200,000 SH DEFINED Dorset 200,000 Citizens Community Bancorp Inc. Common 174903104 87,700 10,000 SH OTHER 10,000 Citizens Community Bancorp Inc. Common 174903104 131,550 15,000 SH SOLE 15,000 Citizens Community Bancorp Inc. Common 174903104 438,500 50,000 SH DEFINED Dorset 50,000 Columbia Laboratories Inc. Common 197779101 1,356 600 SH OTHER 600 Columbia Laboratories Inc. Common 197779101 6,894,201 3,037,093 SH DEFINED Dorset 3,037,093 Columbia Laboratories Inc. Common 197779101 317,800 140,000 SH DEFINED Dorset 140,000 Corgi International Ltd. Common 21872Q202 2,165,568 975,481 SH DEFINED Dorset 975,481 Corgi International Ltd. Common 21872Q202 107,892 48,600 SH DEFINED Dorset 48,600
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 -------------------------------------------------------------------------------------------------------------------------------- VOTING AUTHORITY TITLE OF -------------------------------- CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE -------------------------------------------------------------------------------------------------------------------------------- Corgi International Ltd. Common 21872Q202 23,901 10,766 SH DEFINED Dorset 10,766 Countrywide Financial Corp. Common 222372104 2,725,806 304,900 SH DEFINED Dorset 304,900 Countrywide Financial Corp. Common 222372104 157,344 17,600 SH DEFINED Dorset 17,600 Countrywide Financial Corp. Common 222372104 41,124 4,600 SH DEFINED Dorset 4,600 Crucell NV Common 228769105 26,508,658 1,602,700 SH DEFINED Dorset 1,602,700 Crucell NV Common 228769105 1,472,060 89,000 SH DEFINED Dorset 89,000 Crucell NV Common 228769105 266,294 16,100 SH DEFINED Dorset 16,100 CVS Corporation Common 126650100 27,154,529 683,133 SH DEFINED Dorset 683,133 CVS Corporation Common 126650100 1,317,951 33,156 SH DEFINED Dorset 33,156 CVS Corporation Common 126650100 273,758 6,887 SH DEFINED Dorset 6,887 CVS Corporation @ 40 Exp 1/08 Common 9EQ1PNE09 596,430 6,627 SH Call DEFINED Dorset 6,627 CVS Corporation @ 40 Exp 1/08 Common 9EQ1PNE09 27,540 306 SH Call DEFINED Dorset 306 CVS Corporation @ 40 Exp 1/08 Common 9EQ1PNE09 6,030 67 SH Call DEFINED Dorset 67 Devon Energy Corp. Common 25179M103 44,455,000 500,000 SH DEFINED Dorset 500,000 Discover Financial Services Corp. Common 254709108 2,262,000 150,000 SH OTHER Dorset 150,000 Dyadic International Inc. Common 26745T101 1,070,350 1,070,350 SH DEFINED Dorset 1,070,350 Dyadic International Inc. Common 26745T101 57,350 57,350 SH DEFINED Dorset 57,350 Dyadic International Inc. Common 26745T101 13,550 13,550 SH DEFINED Dorset 13,550 Echo Healthcare Acquisition Corp. Common 27876C107 2,617,440 344,400 SH DEFINED Dorset 344,400 Echo Healthcare Acquisition Corp. Common 27876C107 129,200 17,000 SH DEFINED Dorset 17,000 Echo Healthcare Acquisition Corp. Common 27876C107 25,840 3,400 SH DEFINED Dorset 3,400 Echo Healthcare Acquisition Corp. Common 27876C206 5,045,545 583,300 SH DEFINED Dorset 583,300 Echo Healthcare Acquisition Corp. Common 27876C206 223,170 25,800 SH DEFINED Dorset 25,800 Echo Healthcare Acquisition Corp. Common 27876C206 51,035 5,900 SH DEFINED Dorset 5,900 Eagle Materials Common 26969P108 8,089 228 SH OTHER 228 EnCana Corp. Common 292505104 57,738,800 850,000 SH DEFINED Dorset 850,000 Encore Acquisition Company Common 29255W100 26,746,055 801,500 SH DEFINED Dorset 801,500 Enzon Pharmaceuticals Inc. Common 293904108 2,705,567 283,900 SH DEFINED Dorset 283,900 Enzon Pharmaceuticals Inc. Common 293904108 125,796 13,200 SH DEFINED Dorset 13,200 Enzon Pharmaceuticals Inc. Common 293904108 27,637 2,900 SH DEFINED Dorset 2,900 First Keystone Financial, Inc. Common 320655103 521,965 55,176 SH DEFINED Dorset 55,176 First Keystone Financial, Inc. Common 320655103 27,434 2,900 SH DEFINED Dorset 2,900 First Keystone Financial, Inc. Common 320655103 4,730 500 SH DEFINED Dorset 500 FirstFed Financial Corp. Common 337907109 1,339,668 37,400 SH OTHER Dorset 37,400 FirstFed Financial Corp. Common 337907109 85,969 2,400 SH OTHER 2,400 FirstFed Financial Corp. Common 337907109 343,872 9,600 SH SOLE 9,600 FirstFed Financial Corp. Common 337907109 31,854,726 889,300 SH DEFINED Dorset 889,300 FirstFed Financial Corp. Common 337907109 4,656,600 130,000 SH DEFINED Dorset 130,000 FirstFed Financial Corp. Common 337907109 318,798 8,900 SH DEFINED Dorset 8,900 FMC Technologies, Inc. Common 302490101 39,690,000 700,000 SH DEFINED Dorset 700,000 FreeSeas Inc. Common Y26496102 4,174,200 695,700 SH DEFINED Dorset 695,700 FreeSeas Inc. Common Y26496102 193,800 32,300 SH DEFINED Dorset 32,300
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 -------------------------------------------------------------------------------------------------------------------------------- VOTING AUTHORITY TITLE OF -------------------------------- CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE -------------------------------------------------------------------------------------------------------------------------------- FreeSeas Inc. Common Y26496102 42,000 7,000 SH DEFINED Dorset 7,000 GAINSCO, Inc. Common 363127200 2,429,982 599,995 SH DEFINED Dorset 599,995 GAINSCO, Inc. Common 363127200 112,041 27,664 SH DEFINED Dorset 27,664 GAINSCO, Inc. Common 363127200 24,843 6,134 SH DEFINED Dorset 6,134 General Finance Corporation Common 369822119 44,020 14,200 SH Call DEFINED Dorset 14,200 General Finance Corporation Common 369822119 2,170 700 SH Call DEFINED Dorset 700 General Finance Corporation Common 369822119 310 100 SH Call DEFINED Dorset 100 Geneva Acquisition Corp. Common 37185Y104 1,017,500 185,000 SH OTHER Dorset 185,000 Geneva Acquisition Corp. Common 37185Y104 3,813,700 693,400 SH DEFINED Dorset 693,400 Geneva Acquisition Corp. Common 37185Y104 207,350 37,700 SH DEFINED Dorset 37,700 Geneva Acquisition Corp. Common 37185Y104 48,950 8,900 SH DEFINED Dorset 8,900 Genzyme Corporation Common 372917104 659,911 8,865 SH OTHER Dorset 8,865 Genzyme Corporation Common 372917104 18,998,243 255,216 SH DEFINED Dorset 255,216 Genzyme Corporation Common 372917104 2,043,102 27,446 SH DEFINED Dorset 27,446 Genzyme Corporation Common 372917104 96,772 1,300 SH DEFINED Dorset 1,300 Global Logistics Acquisition Corporation Common 379414105 760,000 100,000 SH OTHER Dorset 100,000 Global Logistics Acquisition Corporation Common 379414105 4,790,280 630,300 SH DEFINED Dorset 630,300 Global Logistics Acquisition Corporation Common 379414105 201,400 26,500 SH DEFINED Dorset 26,500 Global Logistics Acquisition Corporation Common 379414105 42,560 5,600 SH DEFINED Dorset 5,600 Global Services Partners Aquisition Corp Common 37946Y302 271,960 26,000 SH OTHER Dorset 26,000 Global Services Partners Aquisition Corp Common 37946Y302 1,016,992 97,600 SH DEFINED Dorset 97,600 Global Services Partners Aquisition Corp Common 37946Y302 54,184 5,200 SH DEFINED Dorset 5,200 Global Services Partners Aquisition Corp Common 37946Y302 12,504 1,200 SH DEFINED Dorset 1,200 Goldleaf Financial Solutions, Inc. Common 38144H208 637,399 400,880 SH DEFINED Dorset 400,880 Goldleaf Financial Solutions, Inc. Common 38144H208 29,498 18,552 SH DEFINED Dorset 18,552 Goldleaf Financial Solutions, Inc. Common 38144H208 6,455 4,060 SH DEFINED Dorset 4,060 Halliburton Company Common 406216101 34,119,000 900,000 SH DEFINED Dorset 900,000 Harbor Acquisition Corporation Common 41145X107 845,156 148,273 SH OTHER Dorset 148,273 Harbor Acquisition Corporation Common 41145X107 3,034,680 532,400 SH DEFINED Dorset 532,400 Harbor Acquisition Corporation Common 41145X107 143,640 25,200 SH DEFINED Dorset 25,200 Harbor Acquisition Corporation Common 41145X107 25,080 4,400 SH DEFINED Dorset 4,400 Hess Corporation Common 42809H107 25,215,000 250,000 SH DEFINED Dorset 250,000 Highlands Acquisition Corporation Common 430880203 8,264,400 852,000 SH DEFINED Dorset 852,000 Highlands Acquisition Corporation Common 430880203 382,180 39,400 SH DEFINED Dorset 39,400 Highlands Acquisition Corporation Common 430880203 83,420 8,600 SH DEFINED Dorset 8,600 Hovnanian Enterprises, Inc. Common 442487203 179,250 25,000 SH OTHER Dorset 25,000 Hovnanian Enterprises, Inc. Common 442487203 742,812 103,600 SH DEFINED Dorset 103,600 Hovnanian Enterprises, Inc. Common 442487203 34,416 4,800 SH DEFINED Dorset 4,800 Hovnanian Enterprises, Inc. Common 442487203 7,887 1,100 SH DEFINED Dorset 1,100 Hyde Park Acqusition Corp. Common 448638205 459,250 55,000 SH OTHER Dorset 55,000 Hyde Park Acqusition Corp. Common 448638205 13,808,395 1,653,700 SH DEFINED Dorset 1,653,700 Hyde Park Acqusition Corp. Common 448638205 587,005 70,300 SH DEFINED Dorset 70,300
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 -------------------------------------------------------------------------------------------------------------------------------- VOTING AUTHORITY TITLE OF -------------------------------- CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE -------------------------------------------------------------------------------------------------------------------------------- Hyde Park Acqusition Corp. Common 448638205 175,350 21,000 SH DEFINED Dorset 21,000 Imergent Inc. Common 45247Q100 377,004 35,600 SH DEFINED Dorset 35,600 Imergent Inc. Common 45247Q100 16,944 1,600 SH DEFINED Dorset 1,600 Imergent Inc. Common 45247Q100 3,177 300 SH DEFINED Dorset 300 India Globalization Capital, Inc. Common 45408X100 53,100 9,000 SH OTHER Dorset 9,000 India Globalization Capital, Inc. Common 45408X100 200,010 33,900 SH DEFINED Dorset 33,900 India Globalization Capital, Inc. Common 45408X100 10,030 1,700 SH DEFINED Dorset 1,700 India Globalization Capital, Inc. Common 45408X100 2,360 400 SH DEFINED Dorset 400 IndyMac Bancorp, Inc. Common 456607100 148,750 25,000 SH OTHER Dorset 25,000 IndyMac Bancorp, Inc. Common 456607100 2,498,405 419,900 SH DEFINED Dorset 419,900 IndyMac Bancorp, Inc. Common 456607100 173,740 29,200 SH DEFINED Dorset 29,200 IndyMac Bancorp, Inc. Common 456607100 44,625 7,500 SH DEFINED Dorset 7,500 InterOil Corporation Common 460951106 1,354,941 70,350 SH DEFINED Dorset 70,350 InterOil Corporation Common 460951106 106,893 5,550 SH DEFINED Dorset 5,550 InterOil Corporation Common 460951106 28,890 1,500 SH DEFINED Dorset 1,500 Israel Growth Partners Acquistion Corp. Common 465090207 123,360 24,000 SH OTHER Dorset 24,000 Israel Growth Partners Acquistion Corp. Common 465090207 461,944 90,400 SH DEFINED Dorset 90,400 Israel Growth Partners Acquistion Corp. Common 465090207 23,506 4,600 SH DEFINED Dorset 4,600 Israel Growth Partners Acquistion Corp. Common 465090207 5,110 1,000 SH DEFINED Dorset 1,000 JK Acquisition Corp. Common 47759H106 739,760 132,100 SH OTHER Dorset 132,100 JK Acquisition Corp. Common 47759H106 3,143,840 561,400 SH DEFINED Dorset 561,400 JK Acquisition Corp. Common 47759H106 156,800 28,000 SH DEFINED Dorset 28,000 JK Acquisition Corp. Common 47759H106 36,960 6,600 SH DEFINED Dorset 6,600 KB Home Common 48666K109 13,672,800 633,000 SH DEFINED Dorset 633,000 KB Home Common 48666K109 974,160 45,100 SH DEFINED Dorset 45,100 KB Home Common 48666K109 136,080 6,300 SH DEFINED Dorset 6,300 K-Swiss Inc. Class A Common 482686102 468,790 25,900 SH OTHER Dorset 25,900 Landry's Restaurants, Inc. Common 51508L103 933,780 47,400 SH DEFINED Dorset 47,400 Landry's Restaurants, Inc. Common 51508L103 43,340 2,200 SH DEFINED Dorset 2,200 Landry's Restaurants, Inc. Common 51508L103 7,880 400 SH DEFINED Dorset 400 Ligand Pharmaceuticals Incorporated Common 53220K207 1,649,851 341,584 SH DEFINED Dorset 341,584 Ligand Pharmaceuticals Incorporated Common 53220K207 37,253,091 7,712,855 SH DEFINED Dorset 7,712,855 Ligand Pharmaceuticals Incorporated Common 53220K207 2,046,408 423,687 SH DEFINED Dorset 423,687 Ligand Pharmaceuticals Incorporated Common 53220K207 506,817 104,931 SH DEFINED Dorset 104,931 Magna Entertainment Corp. Common 559211107 3,141,795 3,238,964 SH DEFINED Dorset 3,238,964 Magna Entertainment Corp. Common 559211107 135,994 140,200 SH DEFINED Dorset 140,200 Marathon Acquisition Corp. Common 565756103 5,835,000 750,000 SH OTHER Dorset 750,000 Marathon Acquisition Corp. Common 565756103 14,567,272 1,872,400 SH DEFINED Dorset 1,872,400 Marathon Acquisition Corp. Common 565756103 664,412 85,400 SH DEFINED Dorset 85,400 Marathon Acquisition Corp. Common 565756103 133,816 17,200 SH DEFINED Dorset 17,200 MFA Mortgage Investments Inc. Common 55272X102 7,527,650 813,800 SH DEFINED Dorset 813,800 MFA Mortgage Investments Inc. Common 55272X102 347,800 37,600 SH DEFINED Dorset 37,600
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 -------------------------------------------------------------------------------------------------------------------------------- VOTING AUTHORITY TITLE OF -------------------------------- CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE -------------------------------------------------------------------------------------------------------------------------------- MFA Mortgage Investments Inc. Common 55272X102 75,850 8,200 SH DEFINED Dorset 8,200 Microsoft Corporation Common 594918104 55,407,840 1,556,400 SH DEFINED Dorset 1,556,400 Microsoft Corporation Common 594918104 2,588,120 72,700 SH DEFINED Dorset 72,700 Microsoft Corporation Common 594918104 558,920 15,700 SH DEFINED Dorset 15,700 Middle Kingdom Alliance Corporation Common 595750308 275,520 32,800 SH OTHER Dorset 32,800 Middle Kingdom Alliance Corporation Common 595750308 1,034,040 123,100 SH DEFINED Dorset 123,100 Middle Kingdom Alliance Corporation Common 595750308 55,440 6,600 SH DEFINED Dorset 6,600 Middle Kingdom Alliance Corporation Common 595750308 12,600 1,500 SH DEFINED Dorset 1,500 Murphy Oil Corporation Common 626717102 72,563,652 855,300 SH DEFINED Dorset 855,300 Nabi Common 629519109 19,886,046 5,508,600 SH DEFINED Dorset 5,508,600 Nabi Common 629519109 843,657 233,700 SH DEFINED Dorset 233,700 Nabi Common 629519109 252,700 70,000 SH DEFINED Dorset 70,000 National-Oilwell Varco Inc. Common 637071101 27,973,568 380,800 SH DEFINED Dorset 380,800 News Corporation Common 65248E104 3,828,393 186,842 SH OTHER Dorset 186,842 News Corporation Common 65248E104 192,606 9,400 SH SOLE 9,400 News Corporation Common 65248E104 45,086,196 2,200,400 SH DEFINED Dorset 2,200,400 News Corporation Common 65248E104 2,083,833 101,700 SH DEFINED Dorset 101,700 News Corporation Common 65248E104 452,829 22,100 SH DEFINED Dorset 22,100 Noble Corporation Common G65422100 62,443,550 1,105,000 SH DEFINED Dorset 1,105,000 North American Insurance Leaders, Inc. Common 65687M104 429,000 55,000 SH OTHER Dorset 55,000 North American Insurance Leaders, Inc. Common 65687M104 1,616,160 207,200 SH DEFINED Dorset 207,200 North American Insurance Leaders, Inc. Common 65687M104 81,120 10,400 SH DEFINED Dorset 10,400 North American Insurance Leaders, Inc. Common 65687M104 18,720 2,400 SH DEFINED Dorset 2,400 NVR, Inc. Common 62944T105 6,445,200 12,300 SH DEFINED Dorset 12,300 NVR, Inc. Common 62944T105 314,400 600 SH DEFINED Dorset 600 NVR, Inc. Common 62944T105 52,400 100 SH DEFINED Dorset 100 Opko Health, Inc. (eXegenics) Common 68375N103 920,265 322,900 SH DEFINED Dorset 322,900 Opko Health, Inc. (eXegenics) Common 68375N103 46,170 16,200 SH DEFINED Dorset 16,200 Opko Health, Inc. (eXegenics) Common 68375N103 9,405 3,300 SH DEFINED Dorset 3,300 Oracle Healthcare Acquisition Corp. Common 68402M102 834,319 105,878 SH DEFINED Dorset 105,878 Oracle Healthcare Acquisition Corp. Common 68402M102 40,976 5,200 SH DEFINED Dorset 5,200 Oracle Healthcare Acquisition Corp. Common 68402M102 9,456 1,200 SH DEFINED Dorset 1,200 Pantheon China Acquisition Corporation Common 698659109 335,400 60,000 SH OTHER Dorset 60,000 Pantheon China Acquisition Corporation Common 698659109 1,254,921 225,300 SH DEFINED Dorset 225,300 Pantheon China Acquisition Corporation Common 698659109 66,283 11,900 SH DEFINED Dorset 11,900 Pantheon China Acquisition Corporation Common 698659109 15,596 2,800 SH DEFINED Dorset 2,800 Pantheon China Acquisition Corporation Common 698659117 2,115 4,700 SH Call OTHER Dorset 4,700 Pantheon China Acquisition Corporation Common 698659117 40,500 90,000 SH Call DEFINED Dorset 90,000 Pantheon China Acquisition Corporation Common 698659117 1,845 4,100 SH Call DEFINED Dorset 4,100 Pantheon China Acquisition Corporation Common 698659117 540 1,200 SH Call DEFINED Dorset 1,200 Par Pharmaceutical Cos. Inc. Common 69888P106 17,966,400 748,600 SH DEFINED Dorset 748,600 Par Pharmaceutical Cos. Inc. Common 69888P106 828,000 34,500 SH DEFINED Dorset 34,500
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 -------------------------------------------------------------------------------------------------------------------------------- VOTING AUTHORITY TITLE OF -------------------------------- CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE -------------------------------------------------------------------------------------------------------------------------------- Par Pharmaceutical Cos. Inc. Common 69888P106 180,000 7,500 SH DEFINED Dorset 7,500 Penwest Pharmaceuticals Co. Common 709754105 2,272,140 388,400 SH DEFINED Dorset 388,400 Penwest Pharmaceuticals Co. Common 709754105 104,715 17,900 SH DEFINED Dorset 17,900 Penwest Pharmaceuticals Co. Common 709754105 22,815 3,900 SH DEFINED Dorset 3,900 Petroleo Brasileiro SA Common 71654V408 92,192 800 SH OTHER 800 Petroleo Brasileiro SA Common 71654V408 1,336,784 11,600 SH SOLE 11,600 Petroleo Brasileiro SA Common 71654V408 85,669,416 743,400 SH DEFINED Dorset 743,400 Petroleo Brasileiro SA Common 71654V408 96,179,304 834,600 SH DEFINED Dorset 834,600 Petroleo Brasileiro SA Common 71654V408 841,252 7,300 SH DEFINED Dorset 7,300 Pfizer Inc. Common 717081103 43,187 1,900 SH OTHER 1,900 Pfizer Inc. Common 717081103 7,433 327 SH SOLE 327 Presstek, Inc. Common 741113104 6,085,734 1,188,620 SH DEFINED Dorset 1,188,620 Presstek, Inc. Common 741113104 281,088 54,900 SH DEFINED Dorset 54,900 Presstek, Inc. Common 741113104 60,928 11,900 SH DEFINED Dorset 11,900 Pulte Homes, Inc. Common 745867101 2,341,988 222,200 SH DEFINED Dorset 222,200 Pulte Homes, Inc. Common 745867101 109,616 10,400 SH DEFINED Dorset 10,400 Pulte Homes, Inc. Common 745867101 23,188 2,200 SH DEFINED Dorset 2,200 Pure Cycle Corporation Common 746228303 2,050,154 266,600 SH DEFINED Dorset 266,600 Pure Cycle Corporation Common 746228303 103,046 13,400 SH DEFINED Dorset 13,400 Pure Cycle Corporation Common 746228303 23,839 3,100 SH DEFINED Dorset 3,100 QuadraMed Corporation Common 74730W101 7,621,299 4,075,561 SH DEFINED Dorset 4,075,561 QuadraMed Corporation Common 74730W101 434,401 232,300 SH DEFINED Dorset 232,300 QuadraMed Corporation Common 74730W101 98,755 52,810 SH DEFINED Dorset 52,810 Quilmes Industrial SA ADR Common 74838Y207 796,250 9,800 SH OTHER Dorset 9,800 Rand Logistics, Inc. Common 752182105 16,415,179 2,544,989 SH DEFINED Dorset 2,544,989 Rand Logistics, Inc. Common 752182105 1,032,000 160,000 SH DEFINED Dorset 160,000 Rand Logistics, Inc. Common 752182105 183,180 28,400 SH DEFINED Dorset 28,400 Renaissance Acquisition Corp. Common 75966C305 1,724,800 308,000 SH OTHER Dorset 308,000 Renaissance Acquisition Corp. Common 75966C305 6,474,720 1,156,200 SH DEFINED Dorset 1,156,200 Renaissance Acquisition Corp. Common 75966C305 343,280 61,300 SH DEFINED Dorset 61,300 Renaissance Acquisition Corp. Common 75966C305 81,200 14,500 SH DEFINED Dorset 14,500 Renaissance Acquisition Corp. Common 75966C115 132,800 332,000 SH Call OTHER Dorset 332,000 Renaissance Acquisition Corp. Common 75966C115 489,120 1,222,800 SH Call DEFINED Dorset 1,222,800 Renaissance Acquisition Corp. Common 75966C115 20,800 52,000 SH Call DEFINED Dorset 52,000 Renaissance Acquisition Corp. Common 75966C115 6,200 15,500 SH Call DEFINED Dorset 15,500 Retail Ventures, Inc. Common 76128Y102 6,352,320 1,248,000 SH DEFINED Dorset 1,248,000 Retail Ventures, Inc. Common 76128Y102 298,274 58,600 SH DEFINED Dorset 58,600 Retail Ventures, Inc. Common 76128Y102 63,625 12,500 SH DEFINED Dorset 12,500 Rhapsody Acquisition Corporation Common 762014108 578,270 77,000 SH OTHER Dorset 77,000 Rhapsody Acquisition Corporation Common 762014108 2,193,671 292,100 SH DEFINED Dorset 292,100 Rhapsody Acquisition Corporation Common 762014108 101,385 13,500 SH DEFINED Dorset 13,500 Rhapsody Acquisition Corporation Common 762014108 18,024 2,400 SH DEFINED Dorset 2,400
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 -------------------------------------------------------------------------------------------------------------------------------- VOTING AUTHORITY TITLE OF -------------------------------- CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE -------------------------------------------------------------------------------------------------------------------------------- Schlumberger Limited Common 806857108 93,451,500 950,000 SH DEFINED Dorset 950,000 Sears Holding Corporation Common 812350106 969,475 9,500 SH DEFINED Dorset 9,500 Sears Holding Corporation Common 812350106 51,025 500 SH DEFINED Dorset 500 Shanghai Century Acquistion Corporation Common G80637104 175,600 20,000 SH OTHER Dorset 20,000 Shanghai Century Acquistion Corporation Common G80637120 6,302,574 606,600 SH DEFINED Dorset 606,600 Shanghai Century Acquistion Corporation Common G80637120 314,817 30,300 SH DEFINED Dorset 30,300 Shanghai Century Acquistion Corporation Common G80637120 73,769 7,100 SH DEFINED Dorset 7,100 Smart Balance, Inc Common 83169Y108 10,649,099 974,300 SH DEFINED Dorset 974,300 Smart Balance, Inc Common 83169Y108 491,850 45,000 SH DEFINED Dorset 45,000 Smart Balance, Inc Common 83169Y108 107,114 9,800 SH DEFINED Dorset 9,800 Southwestern Energy Company Common 845467109 18,822,216 337,800 SH DEFINED Dorset 337,800 Spectrum Pharmaceuticals Inc. Common 84763A108 2,025,312 744,600 SH DEFINED Dorset 744,600 Spectrum Pharmaceuticals Inc. Common 84763A108 93,568 34,400 SH DEFINED Dorset 34,400 Spectrum Pharmaceuticals Inc. Common 84763A108 20,400 7,500 SH DEFINED Dorset 7,500 Stone Tan China Acquisition Common 861752202 2,817,500 350,000 SH OTHER Dorset 350,000 Stone Tan China Acquisition Common 861752202 10,669,470 1,325,400 SH DEFINED Dorset 1,325,400 Stone Tan China Acquisition Common 861752202 493,465 61,300 SH DEFINED Dorset 61,300 Stone Tan China Acquisition Common 861752202 107,065 13,300 SH DEFINED Dorset 13,300 Stoneleigh Partners Acquisition Corp. Common 861923100 809,748 108,400 SH OTHER Dorset 108,400 Stoneleigh Partners Acquisition Corp. Common 861923100 2,819,193 377,402 SH DEFINED Dorset 377,402 Stoneleigh Partners Acquisition Corp. Common 861923100 127,737 17,100 SH DEFINED Dorset 17,100 Stoneleigh Partners Acquisition Corp. Common 861923100 31,374 4,200 SH DEFINED Dorset 4,200 Summit Global Logistics, Inc. (Aerobic) Common 86606R107 0 565,200 SH DEFINED Dorset 565,200 Summit Global Logistics, Inc. (Aerobic) Common 86606R107 0 28,200 SH DEFINED Dorset 28,200 Summit Global Logistics, Inc. (Aerobic) Common 86606R107 0 6,600 SH DEFINED Dorset 6,600 Symantec Corporation Common 871503108 5,067,960 314,000 SH DEFINED Dorset 314,000 Symantec Corporation Common 871503108 234,030 14,500 SH DEFINED Dorset 14,500 Symantec Corporation Common 871503108 51,648 3,200 SH DEFINED Dorset 3,200 Tailwind Financial Inc. Common 874023203 1,018,750 125,000 SH OTHER Dorset 125,000 Tailwind Financial Inc. Common 874023104 947,500 125,000 SH OTHER Dorset 125,000 Tailwind Financial Inc. Common 874023104 7,184,324 947,800 SH DEFINED Dorset 947,800 Tailwind Financial Inc. Common 874023104 304,716 40,200 SH DEFINED Dorset 40,200 Tailwind Financial Inc. Common 874023104 90,960 12,000 SH DEFINED Dorset 12,000 Tailwind Financial Inc. Common 874023112 48,750 75,000 SH Call OTHER Dorset 75,000 Tailwind Financial Inc. Common 874023112 486,070 747,800 SH Call DEFINED Dorset Tailwind Financial Inc. Common 874023112 22,035 33,900 SH Call DEFINED Dorset Tailwind Financial Inc. Common 874023112 6,630 10,200 SH Call DEFINED Dorset 10,200 Talisman Energy Inc. Common 87425E103 54,229,211 2,930,200 SH DEFINED Dorset 2,930,200 Talisman Energy Inc. Common 87425E103 11,342,940 612,900 SH DEFINED Dorset 612,900 Talisman Energy Inc. Common 87425E103 545,956 29,500 SH DEFINED Dorset 29,500 TFS Financial Corp. Common 87240R107 15,745,278 1,318,700 SH DEFINED Dorset 1,318,700 TFS Financial Corp. Common 87240R107 746,250 62,500 SH DEFINED Dorset 62,500
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 --------------------------------------------------------------------------------------------------------------------------------- VOTING AUTHORITY TITLE OF -------------------------------- CLASS VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE --------------------------------------------------------------------------------------------------------------------------------- TFS Financial Corp. Common 87240R107 158,802 13,300 SH DEFINED Dorset 13,300 The Stephan Co. Common 858603103 252,648 76,560 SH OTHER Dorset 76,560 The Stephan Co. Common 858603103 957,132 290,040 SH DEFINED Dorset 290,040 The Stephan Co. Common 858603103 44,055 13,350 SH DEFINED Dorset 13,350 The Stephan Co. Common 858603103 9,405 2,850 SH DEFINED Dorset 2,850 Total SA Common 89151E109 53,690,000 650,000 SH DEFINED Dorset 650,000 Transgenomic, Inc. Common 89365K206 2,385,424 4,417,451 SH DEFINED Dorset 4,417,451 Transgenomic, Inc. Common 89365K206 128,304 237,600 SH DEFINED Dorset 237,600 Transgenomic, Inc. Common 89365K206 27,810 51,500 SH DEFINED Dorset 51,500 Transocean Inc. Common G90078109 75,153,750 525,000 SH DEFINED Dorset 525,000 Triplecrown Acquisition Corp. Common 89677G208 883,750 87,500 SH OTHER Dorset 87,500 Triplecrown Acquisition Corp. Common 89677G208 5,856,990 579,900 SH DEFINED Dorset 579,900 Triplecrown Acquisition Corp. Common 89677G208 270,680 26,800 SH DEFINED Dorset 26,800 Triplecrown Acquisition Corp. Common 89677G208 58,580 5,800 SH DEFINED Dorset 5,800 UBS AG Common H89231338 73,600 1,600 SH OTHER 1,600 UBS AG Common H89231338 358,800 7,800 SH SOLE 7,800 Ultra Petroleum Corp. Common 903914109 2,917,200 40,800 SH DEFINED Dorset 40,800 Victory Acquistion Corp Common 92644D100 775,200 80,000 SH OTHER Dorset 80,000 Victory Acquistion Corp Common 92644D100 2,938,977 303,300 SH DEFINED Dorset 303,300 Victory Acquistion Corp Common 92644D100 124,032 12,800 SH DEFINED Dorset 12,800 Victory Acquistion Corp Common 92644D100 37,791 3,900 SH DEFINED Dorset 3,900 Wachovia Corp. Common 929903102 67,693 1,780 SH OTHER 1,780 Washington Mutual, Inc. Common 939322103 2,525,335 185,550 SH DEFINED Dorset 185,550 Washington Mutual, Inc. Common 939322103 117,046 8,600 SH DEFINED Dorset 8,600 Washington Mutual, Inc. Common 939322103 25,859 1,900 SH DEFINED Dorset 1,900 Wells Fargo & Co. Common 949746101 181,140 6,000 SH OTHER 6,000 Wells Fargo & Co. Common 949746101 350,204 11,600 SH SOLE 11,600 Wells Fargo & Co. Common 949746101 29,473,289 976,260 SH DEFINED Dorset 976,260 Wells Fargo & Co. Common 949746101 1,361,569 45,100 SH DEFINED Dorset 45,100 Wells Fargo & Co. Common 949746101 298,881 9,900 SH DEFINED Dorset 9,900 Willis Group Holdings Limited Common G96655108 15,188 400 SH OTHER 400 Willis Group Holdings Limited Common G96655108 140,489 3,700 SH SOLE 3,700 Willis Group Holdings Limited Common G96655108 13,728,053 361,550 SH DEFINED Dorset 361,550 Willis Group Holdings Limited Common G96655108 635,997 16,750 SH DEFINED Dorset 16,750 Willis Group Holdings Limited Common G96655108 132,895 3,500 SH DEFINED Dorset 3,500 ZIOPHARM Oncology, Inc. Common 98973P101 1,451,457 410,016 SH DEFINED Dorset 410,016 ZIOPHARM Oncology, Inc. Common 98973P101 66,906 18,900 SH DEFINED Dorset 18,900 ZIOPHARM Oncology, Inc. Common 98973P101 14,514 4,100 SH DEFINED Dorset 4,100 TOTALS: 2,670,503,046 131,080,015 103,408,849 25,647,168 1,242,298 ------------- ----------- ----------- ---------- ---------