-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, IV5qk4pnkRMhgL7s/J43vQlMtRAQN5ZPqT21JlBQVbtkY57o23ARf1xN4BVCEPCo I4A24uqEJRXrjtzG9eS4nQ== 0001047469-08-009270.txt : 20080813 0001047469-08-009270.hdr.sgml : 20080813 20080813094432 ACCESSION NUMBER: 0001047469-08-009270 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080630 FILED AS OF DATE: 20080813 DATE AS OF CHANGE: 20080813 EFFECTIVENESS DATE: 20080813 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KNOTT DAVID M CENTRAL INDEX KEY: 0000808722 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03121 FILM NUMBER: 081011713 MAIL ADDRESS: STREET 1: 485 UNDERHILL BLVD STREET 2: STE 205 CITY: SYOSSET STATE: NY ZIP: 11791-3419 13F-HR 1 a2187485z13f-hr.txt 13F-HR ---------------------------- 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 June 30, 2008 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: 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] August 13, 2008 - -------------------------------------------------------------------------------- [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).) Page 1 of 2 FORM 13F SUMMARY PAGE REPORT SUMMARY: Number of Other Included Managers: 1 -------------------------------------------------------------------------- Form 13F Information Table Entry Total: 357 -------------------------------------------------------------------------- Form 13F Information Table Value Total: $2,367,892 (thousands) ------------------------ List of Other Included Managers: Dorset Management Corporation ("Dorset") Page 2 of 2
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ----------------------------------------------------------------------------------------------------------------------------- NAME OF ISSUER TITLE OF CUSIP VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY CLASS -------------------------- ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ----------------------------------------------------------------------------------------------------------------------------- 2020 Chinacap Acquirco, Inc. Common 90212G208 667000 85,000 SH OTHER Dorset 85,000 2020 Chinacap Acquirco, Inc. Common 90212G208 2,557,500 330,000 SH DEFINED Dorset 330,000 2020 Chinacap Acquirco, Inc. Common 90212G208 42,625 5,500 SH DEFINED Dorset 5,500 2020 Chinacap Acquirco, Inc. Common 90212G208 34,875 4,500 SH DEFINED Dorset 4,500 Akeena Solar, Inc. Common 009720103 1,475,250 262,500 SH DEFINED Dorset 262,500 Akeena Solar, Inc. Common 009720103 23,604 4,200 SH DEFINED Dorset 4,200 Akeena Solar, Inc. Common 009720103 19,108 3,400 SH DEFINED Dorset 3,400 Allied Capital Corporation Common 01903Q108 347,250 25,000 SH OTHER 25,000 Alpha Security Group Corporation Common 02078A209 5,869,584 582,300 SH DEFINED Dorset 582,300 Alpha Security Group Corporation Common 02078A209 97,776 9,700 SH DEFINED Dorset 9,700 Alpha Security Group Corporation Common 02078A209 80,640 8,000 SH DEFINED Dorset 8,000 Alphatec Holdings, Inc. Common 02081G102 3,992,664 978,594 SH DEFINED Dorset 978,594 Alphatec Holdings, Inc. Common 02081G102 66,626 16,330 SH DEFINED Dorset 16,330 Alphatec Holdings, Inc. Common 02081G102 54,754 13,420 SH DEFINED Dorset 13,420 American Eagle Outfitters Common 02553E106 1,461,000 107,181 SH OTHER Dorset 107,181 American Express Common 025816109 1,915,000 50,832 SH OTHER Dorset 50,832 American Express @50 Exp 1/17/2009 Common 025816109 176,000 1,409 SH Call OTHER Dorset 1,409 American International Group Inc. Common 026874107 4,233,600 160,000 SH DEFINED Dorset 160,000 American Water Works Co., Inc Common 030420103 4,196,456 189,200 SH DEFINED Dorset 189,200 American Water Works Co., Inc Common 030420103 70,976 3,200 SH DEFINED Dorset 3,200 American Water Works Co., Inc Common 030420103 57,668 2,600 SH DEFINED Dorset 2,600 Anadarko Petroleum Corporation Common 032511107 144,418,748 1,929,700 SH DEFINED Dorset 1,929,700 Anadarko Petroleum Corporation Common 032511107 95,885,008 1,281,200 SH DEFINED Dorset 1,281,200 Anadarko Petroleum Corporation Common 032511107 1,751,256 23,400 SH DEFINED Dorset 23,400 Anadarko Petroleum Corporation Common 032511107 269,424 3,600 SH OTHER 3,600 Anadarko Petroleum Corporation Common 032511107 733,432 9,800 SH SOLE 9,800 Apollo Group Inc. Common 037604105 5,151,864 116,400 SH DEFINED Dorset 116,400 Apollo Group Inc. Common 037604105 212,448 4,800 SH DEFINED Dorset 4,800 Apollo Group Inc. Common 037604105 66,390 1,500 SH DEFINED Dorset 1,500 Arcade Acquisition Corporation Common 038798203 586,000 75,000 SH OTHER Dorset 75,000 Arcade Acquisition Corporation Common 038798203 2,273,491 291,100 SH DEFINED Dorset 291,100 Arcade Acquisition Corporation Common 038798203 38,269 4,900 SH DEFINED Dorset 4,900 Arcade Acquisition Corporation Common 038798203 31,240 4,000 SH DEFINED Dorset 4,000 Aristotle Corp. Common 040448201 25,215 3,380 SH DEFINED Dorset 3,380 Ascend Acquisition Corportation Common 04350H100 767,000 130,300 SH OTHER Dorset 130,300 Ascend Acquisition Corportation Common 04350H100 1,836,502 311,800 SH DEFINED Dorset 311,800 Ascend Acquisition Corportation Common 04350H100 30,628 5,200 SH DEFINED Dorset 5,200 Ascend Acquisition Corportation Common 04350H100 24,738 4,200 SH DEFINED Dorset 4,200 Aveta, Inc. Common 05365U101 4,139,874 554,200 SH DEFINED Dorset 554,200 Aveta, Inc. Common 05365U101 176,292 23,600 SH DEFINED Dorset 23,600 Aveta, Inc. Common 05365U101 52,290 7,000 SH DEFINED Dorset 7,000 Baker Hughes Incorporated Common 057224107 82,973,000 950,000 SH DEFINED Dorset 950,000 Beazer Homes USA, Inc. Common 07556Q105 1,465,467 263,100 SH DEFINED Dorset 263,100 Beazer Homes USA, Inc. Common 07556Q105 55,143 9,900 SH DEFINED Dorset 9,900 Beazer Homes USA, Inc. Common 07556Q105 2,785 500 SH DEFINED Dorset 500
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ----------------------------------------------------------------------------------------------------------------------------- NAME OF ISSUER TITLE OF CUSIP VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY CLASS ------------------------- ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ----------------------------------------------------------------------------------------------------------------------------- Blockbuster Inc.- Class B Common 093679207 5,539,163 2,742,160 SH DEFINED Dorset 2,742,160 Blockbuster Inc.- Class B Common 093679207 390,264 193,200 SH DEFINED Dorset 193,200 Blockbuster Inc.- Class B Common 093679207 56,358 27,900 SH DEFINED Dorset 27,900 Blockbuster, Inc. Common 093679108 6,815,750 2,726,300 SH DEFINED Dorset 2,726,300 Blockbuster, Inc. Common 093679108 171,000 68,400 SH DEFINED Dorset 68,400 Blockbuster, Inc. Common 093679108 106,250 42,500 SH DEFINED Dorset 42,500 Bristow Group, Inc. Common 110394103 13,535,515 273,500 SH DEFINED Dorset 273,500 Bristow Group, Inc. Common 110394103 262,297 5,300 SH DEFINED Dorset 5,300 Bristow Group, Inc. Common 110394103 158,368 3,200 SH DEFINED Dorset 3,200 Bunge Ltd. Common G16962105 807,675 7,500 SH OTHER 7,500 Bunge Ltd. Common G16962105 18,016,537 167,300 SH DEFINED Dorset 167,300 Bunge Ltd. Common G16962105 269,225 2,500 SH DEFINED Dorset 2,500 Bunge Ltd. Common G16962105 226,149 2,100 SH DEFINED Dorset 2,100 Butler International, Inc. Common 123649105 579,240 965,400 SH DEFINED Dorset 965,400 Butler International, Inc. Common 123649105 47,340 78,900 SH DEFINED Dorset 78,900 Butler International, Inc. Common 123649105 4,500 7,500 SH DEFINED Dorset 7,500 Cabot Oil & Gas Corporation Common 127097103 8,127,600 120,000 SH DEFINED Dorset 120,000 Callidus Software Common 13123E500 7,966,400 1,593,280 SH DEFINED Dorset 1,593,280 Callidus Software Common 13123E500 225,050 45,010 SH DEFINED Dorset 45,010 Callidus Software Common 13123E500 89,500 17,900 SH DEFINED Dorset 17,900 Canadian Natural Resources Ltd. Common 136385101 274,031,687 2,771,300 SH DEFINED Dorset 2,771,300 Canadian Natural Resources Ltd. Common 136385101 94,798,173 958,700 SH DEFINED Dorset 958,700 Canadian Natural Resources Ltd. Common 136385101 2,155,628 21,800 SH DEFINED Dorset 21,800 Canadian Natural Resources Ltd. Common 136385101 521,300 5,200 SH OTHER 5,200 Canadian Natural Resources Ltd. Common 136385101 1,443,600 14,400 SH SOLE 14,400 CapitolOne Common 14040H105 68,494 1,802 SH SOLE 1,802 Cepheid, Inc. Common 15670R107 21,396,508 760,900 SH DEFINED Dorset 760,900 Cepheid, Inc. Common 15670R107 157,472 5,600 SH DEFINED Dorset 5,600 Cepheid, Inc. Common 15670R107 129,352 4,600 SH DEFINED Dorset 4,600 Cerus Corporation Common 157085101 7,915,091 1,935,230 SH DEFINED Dorset 1,935,230 Cerus Corporation Common 157085101 131,698 32,200 SH DEFINED Dorset 32,200 Cerus Corporation Common 157085101 108,385 26,500 SH DEFINED Dorset 26,500 Charlotte Russe Holdings Inc. Common 161048103 1,045,000 58,841 SH OTHER Dorset 58,841 Chevron Corporation Common 166764100 94,173,500 950,000 SH DEFINED Dorset 950,000 China Discovery Aquisition Corp Common G2112B125 338,000 49,000 SH OTHER Dorset 49,000 China Discovery Aquisition Corp Common G2112B125 1,289,610 186,900 SH DEFINED Dorset 186,900 China Discovery Aquisition Corp Common G2112B125 46,230 6,700 SH DEFINED Dorset 6,700 China Discovery Aquisition Corp Common G2112B125 16,560 2,400 SH DEFINED Dorset 2,400 China Finance Online Co. Ltd. Common 169379104 458,100 30,000 SH OTHER 30,000 China Finance Online Co. Ltd. Common 169379104 722,271 47,300 SH DEFINED Dorset 47,300 China Finance Online Co. Ltd. Common 169379104 22,905 1,500 SH DEFINED Dorset 1,500 China Finance Online Co. Ltd. Common 169379104 7,635 500 SH DEFINED Dorset 500 China Fortune Acquisition Corp. Common G21098127 984,000 120,000 SH OTHER Dorset 120,000 China Fortune Acquisition Corp. Common G21098127 3,753,140 457,700 SH DEFINED Dorset 457,700 China Fortune Acquisition Corp. Common G21098127 133,660 16,300 SH DEFINED Dorset 16,300
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ----------------------------------------------------------------------------------------------------------------------------- NAME OF ISSUER TITLE OF CUSIP VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY CLASS -------------------------- ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ----------------------------------------------------------------------------------------------------------------------------- China Fortune Acquisition Corp. Common G21098127 49,200 6,000 SH DEFINED Dorset 6,000 China Holdings Acquistion Corp. Common 16942N205 9,507,392 953,600 SH DEFINED Dorset 953,600 China Holdings Acquistion Corp. Common 16942N205 337,983 33,900 SH DEFINED Dorset 33,900 China Holdings Acquistion Corp. Common 16942N205 124,625 12,500 SH DEFINED Dorset 12,500 China Opportunity Acquisition Corp. Common 16941S205 650,000 100,000 SH OTHER Dorset 100,000 China Opportunity Acquisition Corp. Common 16941S205 2,523,300 388,200 SH DEFINED Dorset 388,200 China Opportunity Acquisition Corp. Common 16941S205 42,250 6,500 SH DEFINED Dorset 6,500 China Opportunity Acquisition Corp. Common 16941S205 34,450 5,300 SH DEFINED Dorset 5,300 Chinagrowth North Acquisiton Common G21116119 764,000 100,000 SH OTHER Dorset 100,000 Chinagrowth North Acquisiton Common G21116119 2,965,848 388,200 SH DEFINED Dorset 388,200 Chinagrowth North Acquisiton Common G21116119 49,660 6,500 SH DEFINED Dorset 6,500 Chinagrowth North Acquisiton Common G21116119 40,492 5,300 SH DEFINED Dorset 5,300 Chinagrowth North Acquisiton - - Warrants Common G21116127 18,000 19,300 SH Call OTHER Dorset 19,300 Chinagrowth North Acquisiton - - Warrants Common G21116127 58,520 61,600 SH Call DEFINED Dorset 61,600 Chinagrowth North Acquisiton - - Warrants Common G21116127 2,185 2,300 SH Call DEFINED Dorset 2,300 Chinagrowth North Acquisiton - - Warrants Common G21116127 760 800 SH Call DEFINED Dorset 800 Chinagrowth South Acquisiton Common G21117109 765,000 100,000 SH OTHER Dorset 100,000 Chinagrowth South Acquisiton Common G21117109 2,969,730 388,200 SH DEFINED Dorset 388,200 Chinagrowth South Acquisiton Common G21117109 49,725 6,500 SH DEFINED Dorset 6,500 Chinagrowth South Acquisiton Common G21117109 40,545 5,300 SH DEFINED Dorset 5,300 Chinagrowth South Acquisiton - - Warrants Common G21117117 19,000 21,000 SH Call OTHER Dorset 21,000 Chinagrowth South Acquisiton - - Warrants Common G21117117 68,940 76,600 SH Call DEFINED Dorset 76,600 Chinagrowth South Acquisiton - - Warrants Common G21117117 1,170 1,300 SH Call DEFINED Dorset 1,300 Chinagrowth South Acquisiton - - Warrants Common G21117117 990 1,100 SH Call DEFINED Dorset 1,100 Citizens Savings Bank Common 174903104 15,160 1,895 SH OTHER 1,895 Citizens Savings Bank Common 174903104 120,000 15,000 SH SOLE 15,000 Colonial Bancgroup Inc. Common 195493309 3,862,196 873,800 SH DEFINED Dorset 873,800 Colonial Bancgroup Inc. Common 195493309 187,408 42,400 SH DEFINED Dorset 42,400 Colonial Bancgroup Inc. Common 195493309 50,830 11,500 SH DEFINED Dorset 11,500 Columbia Laboratories Inc. Common 197779101 10,022,407 3,037,093 SH DEFINED Dorset 3,037,093 Columbia Laboratories Inc. Common 197779101 462,000 140,000 SH DEFINED Dorset 87,300 Columbia Laboratories Inc. Common 197779101 1,980 600 SH OTHER 600 Corgi International Ltd. Common 21872Q202 634,063 975,481 SH DEFINED Dorset 975,481 Corgi International Ltd. Common 21872Q202 31,590 48,600 SH DEFINED Dorset 48,600 Corgi International Ltd. Common 21872Q202 6,998 10,766 SH DEFINED Dorset 10,766 Crucell NV Common 228769105 26,253,542 1,642,900 SH DEFINED Dorset 1,642,900 Crucell NV Common 228769105 677,552 42,400 SH DEFINED Dorset 42,400 Crucell NV Common 228769105 359,550 22,500 SH DEFINED Dorset 22,500 CVS Corporation Common 126650100 24,513,615 619,500 SH DEFINED Dorset 619,500 CVS Corporation Common 126650100 391,743 9,900 SH DEFINED Dorset 9,900 CVS Corporation Common 126650100 320,517 8,100 SH DEFINED Dorset 8,100 Deckers Outdoor Corporation Common 243537107 2,088,000 15,000 SH OTHER 15,000 Deckers Outdoor Corporation Common 243537107 11,052,480 79,400 SH DEFINED Dorset 79,400 Deckers Outdoor Corporation Common 243537107 431,520 3,100 SH DEFINED Dorset 3,100 Deckers Outdoor Corporation Common 243537107 139,200 1,000 SH DEFINED Dorset 1,000
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ----------------------------------------------------------------------------------------------------------------------------- NAME OF ISSUER TITLE OF CUSIP VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY CLASS ------------------------- ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ----------------------------------------------------------------------------------------------------------------------------- Devon Energy Corp. Common 25179M103 45,060,000 375,000 SH DEFINED Dorset 375,000 Dyadic International Inc. Common 26745T101 802,762 1,070,350 SH DEFINED Dorset 1,070,350 Dyadic International Inc. Common 26745T101 43,012 57,350 SH DEFINED Dorset 57,350 Dyadic International Inc. Common 26745T101 10,162 13,550 SH DEFINED Dorset 13,550 Eagle Materials Inc. Common 26969P108 3,688,048 145,600 SH DEFINED Dorset 145,600 Eagle Materials Inc. Common 26969P108 60,792 2,400 SH DEFINED Dorset 2,400 Eagle Materials Inc. Common 26969P108 50,660 2,000 SH DEFINED Dorset 2,000 Eagle Materials Inc. Common 26969P108 5,775 228 SH OTHER 228 EchoStar Corp. Common 278768106 5,335,000 170,900 SH OTHER Dorset 170,900 EchoStar Corp. Common 278768106 16,572,513 530,830 SH DEFINED Dorset 530,830 EchoStar Corp. Common 278768106 284,102 9,100 SH DEFINED Dorset 9,100 EchoStar Corp. Common 278768106 227,906 7,300 SH DEFINED Dorset 7,300 EnCana Corp. Common 292505104 68,660,250 750,000 SH DEFINED Dorset 750,000 Entergy Corp. Common 29364G103 51,204,000 425,000 SH DEFINED Dorset 425,000 Enzon Pharmaceuticals Inc. Common 293904108 6,191,851 869,642 SH DEFINED Dorset 869,642 Enzon Pharmaceuticals Inc. Common 293904108 103,240 14,500 SH DEFINED Dorset 14,500 Enzon Pharmaceuticals Inc. Common 293904108 84,728 11,900 SH DEFINED Dorset 11,900 First Keystone Financial, Inc. Common 320655103 470,630 49,540 SH DEFINED Dorset 49,540 First Keystone Financial, Inc. Common 320655103 19,000 2,000 SH DEFINED Dorset 2,000 First Keystone Financial, Inc. Common 320655103 4,750 500 SH DEFINED Dorset 500 FMC Technologies, Inc. Common 302490101 46,158,000 600,000 SH DEFINED Dorset 600,000 FreeSeas Inc. Common Y26496102 4,319,886 687,880 SH DEFINED Dorset 687,880 FreeSeas Inc. Common Y26496102 72,220 11,500 SH DEFINED Dorset 11,500 FreeSeas Inc. Common Y26496102 59,032 9,400 SH DEFINED Dorset 9,400 Geneva Acquisition Corp. Common 37185Y104 1,062,000 185,000 SH OTHER Dorset 185,000 Geneva Acquisition Corp. Common 37185Y104 4,122,468 718,200 SH DEFINED Dorset 718,200 Geneva Acquisition Corp. Common 37185Y104 68,880 12,000 SH DEFINED Dorset 12,000 Geneva Acquisition Corp. Common 37185Y104 56,252 9,800 SH DEFINED Dorset 9,800 Genzyme Corporation Common 372917104 1,000 4 SH OTHER Dorset 4 Genzyme Corporation Common 372917104 8,874,630 123,465 SH DEFINED Dorset 123,465 Genzyme Corporation Common 372917104 152,766 2,125 SH DEFINED Dorset 2,125 Genzyme Corporation Common 372917104 122,196 1,700 SH DEFINED Dorset 1,700 Halliburton Company Common 406216101 41,394,600 780,000 SH DEFINED Dorset 780,000 Hansen Natural Corp. Common 411310105 7,666,120 266,000 SH DEFINED Dorset 266,000 Hansen Natural Corp. Common 411310105 126,808 4,400 SH DEFINED Dorset 4,400 Hansen Natural Corp. Common 411310105 103,752 3,600 SH DEFINED Dorset 3,600 Highlands Acquisition Corporation Common 430880203 8,196,765 858,300 SH DEFINED Dorset 858,300 Highlands Acquisition Corporation Common 430880203 291,275 30,500 SH DEFINED Dorset 30,500 Highlands Acquisition Corporation Common 430880203 106,960 11,200 SH DEFINED Dorset 11,200 Hovnanian Enterprises, Inc. Common 442487203 82,200 15,000 SH OTHER 15,000 Hyde Park Acquisition Corp. Common 448638205 15,958,205 1,653,700 SH DEFINED Dorset 1,653,700 Hyde Park Acquisition Corp. Common 448638205 678,395 70,300 SH DEFINED Dorset 70,300 Hyde Park Acquisition Corp. Common 448638205 202,650 21,000 SH DEFINED Dorset 21,000 Hyde Park Acqusition Corp. Common 448638106 1,403,758 180,200 SH DEFINED Dorset 180,200 Hyde Park Acqusition Corp. Common 448638106 1,558,000 200,000 SH DEFINED Dorset 200,000
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ----------------------------------------------------------------------------------------------------------------------------- NAME OF ISSUER TITLE OF CUSIP VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY CLASS ------------------------- ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ----------------------------------------------------------------------------------------------------------------------------- Hyde Park Acqusition Corp. Common 448638106 14,022 1,800 SH DEFINED Dorset 1,800 Hyde Park Acqusition Corp. - Warrants Common 448638114 751,140 385,200 SH DEFINED Dorset 385,200 Hyde Park Acqusition Corp. - Warrants Common 448638114 7,605 3,900 SH DEFINED Dorset 3,900 Hyde Park Acqusition Corp. - Warrants Common 448638114 11,505 5,900 SH DEFINED Dorset 5,900 Imergent Inc. Common 45247Q100 138,161 11,669 SH OTHER 11,669 IndyMac Bancorp, Inc. Common 456607100 15,500 25,000 SH OTHER 25,000 IndyMac Bancorp, Inc. Common 456607100 157,790 254,500 SH DEFINED Dorset 254,500 IndyMac Bancorp, Inc. Common 456607100 6,076 9,800 SH DEFINED Dorset 9,800 IndyMac Bancorp, Inc. Common 456607100 1,922 3,100 SH DEFINED Dorset 3,100 Israel Growth Partners Acquistion Corp. Common 465090207 126,000 24,000 SH OTHER Dorset 24,000 Israel Growth Partners Acquistion Corp. Common 465090207 489,825 93,300 SH DEFINED Dorset 93,300 Israel Growth Partners Acquistion Corp. Common 465090207 7,875 1,500 SH DEFINED Dorset 1,500 Israel Growth Partners Acquistion Corp. Common 465090207 6,300 1,200 SH DEFINED Dorset 1,200 ITT Corporation Common 450911102 19,693,097 310,960 SH DEFINED Dorset 310,960 ITT Corporation Common 450911102 322,983 5,100 SH DEFINED Dorset 5,100 JK Acquisition Corp. Common 47759H304 1,000 44,034 SH OTHER Dorset 44,034 JK Acquisition Corp. Common 47759H304 3,789 189,469 SH DEFINED Dorset 189,469 JK Acquisition Corp. Common 47759H304 135 6,734 SH DEFINED Dorset 6,734 JK Acquisition Corp. Common 47759H304 49 2,467 SH DEFINED Dorset 2,467 JPMorgan Chase & Co. Common 46625H100 2,412,130 70,304 SH DEFINED Dorset 70,304 JPMorgan Chase & Co. Common 46625H100 94,782 2,763 SH DEFINED Dorset 2,763 JPMorgan Chase & Co. Common 46625H100 30,570 891 SH DEFINED Dorset 891 Ligand Pharmaceuticals Incorporated Common 53220K207 888,000 341,584 SH OTHER Dorset 341,584 Ligand Pharmaceuticals Incorporated Common 53220K207 20,640,236 7,938,552 SH DEFINED Dorset 7,938,552 Ligand Pharmaceuticals Incorporated Common 53220K207 518,414 199,390 SH DEFINED Dorset 199,390 Ligand Pharmaceuticals Incorporated Common 53220K207 269,181 103,531 SH DEFINED Dorset 103,531 Limpco-Piedmont Inc. Common 53261T109 299,000 68,720 SH OTHER Dorset 68,720 Lululemon Athletica Inc. Common 550021109 1,365,820 47,000 SH DEFINED Dorset 47,000 Lululemon Athletica Inc. Common 550021109 49,402 1,700 SH DEFINED Dorset 1,700 Lululemon Athletica Inc. Common 550021109 14,530 500 SH DEFINED Dorset 500 Magna Entertainment Corp. Common 559211107 1,813,820 3,238,964 SH DEFINED Dorset 3,238,964 Magna Entertainment Corp. Common 559211107 78,512 140,200 SH DEFINED Dorset 140,200 Marathon Acquisition Corp. Common 565756103 5,865,000 750,000 SH OTHER Dorset 750,000 Marathon Acquisition Corp. Common 565756103 14,989,376 1,916,800 SH DEFINED Dorset 1,916,800 Marathon Acquisition Corp. Common 565756103 249,458 31,900 SH DEFINED Dorset 31,900 Marathon Acquisition Corp. Common 565756103 205,666 26,300 SH DEFINED Dorset 26,300 Microsoft Corporation Common 594918104 40,222,371 1,462,100 SH DEFINED Dorset 1,462,100 Microsoft Corporation Common 594918104 693,252 25,200 SH DEFINED Dorset 25,200 Microsoft Corporation Common 594918104 550,200 20,000 SH DEFINED Dorset 20,000 Middle Kingdom Alliance Corporation Common 595750308 276,000 32,800 SH OTHER Dorset 32,800 Middle Kingdom Alliance Corporation Common 595750308 1,050,840 125,100 SH DEFINED Dorset 125,100 Middle Kingdom Alliance Corporation Common 595750308 37,800 4,500 SH DEFINED Dorset 4,500 Middle Kingdom Alliance Corporation Common 595750308 13,440 1,600 SH DEFINED Dorset 1,600 Murphy Oil Corporation Common 626717102 66,674,000 680,000 SH DEFINED Dorset 680,000 Nabi Common 629519109 21,840,208 5,543,200 SH DEFINED Dorset 5,250,200
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------ NAME OF ISSUER TITLE OF CUSIP VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY CLASS -------------------------- ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------ Nabi Common 629519109 774,604 196,600 SH DEFINED Dorset 157,600 Nabi Common 629519109 285,650 72,500 SH DEFINED Dorset 72,500 National-Oilwell Varco Inc. Common 637071101 15,489,092 174,584 SH DEFINED Dorset 174,584 News Corporation Common 65248E104 2,463,000 163,767 SH OTHER Dorset 163,767 News Corporation Common 65248E104 28,754,976 1,911,900 SH DEFINED Dorset 1,911,900 News Corporation Common 65248E104 476,768 31,700 SH DEFINED Dorset 31,700 News Corporation Common 65248E104 392,544 26,100 SH DEFINED Dorset 26,100 News Corporation Common 65248E104 141,376 9,400 SH SOLE 9,400 Noble Corporation Common G65422100 64,960,000 1,000,000 SH DEFINED Dorset 1,000,000 North American Insurance Leaders, Inc. Common 65687M104 436,000 55,000 SH OTHER Dorset 55,000 North American Insurance Leaders, Inc. Common 65687M104 1,664,507 209,900 SH DEFINED Dorset 209,900 North American Insurance Leaders, Inc. Common 65687M104 58,682 7,400 SH DEFINED Dorset 7,400 North American Insurance Leaders, Inc. Common 65687M104 21,411 2,700 SH DEFINED Dorset 2,700 Onyx Pharmaceuticals Inc. Common 683399109 25,406,581 713,668 SH DEFINED Dorset 713,668 Onyx Pharmaceuticals Inc. Common 683399109 423,640 11,900 SH DEFINED Dorset 11,900 Onyx Pharmaceuticals Inc. Common 683399109 348,880 9,800 SH DEFINED Dorset 9,800 Pantheon China Acquisition Corporation Common 698659109 346,000 60,000 SH OTHER Dorset 60,000 Pantheon China Acquisition Corporation Common 698659109 1,320,753 228,900 SH DEFINED Dorset 228,900 Pantheon China Acquisition Corporation Common 698659109 46,737 8,100 SH DEFINED Dorset 8,100 Pantheon China Acquisition Corporation Common 698659109 17,310 3,000 SH DEFINED Dorset 3,000 Pet DRx Corporation(Echo) Common 715813101 3,734,556 1,034,503 SH DEFINED Dorset 1,034,503 Pet DRx Corporation(Echo) Common 715813101 264,869 73,371 SH DEFINED Dorset 73,371 Pet DRx Corporation(Echo) Common 715813101 54,731 15,161 SH DEFINED Dorset 15,161 Pet DRx Corpration (Echo) Common 715813200 2,333,200 583,300 SH DEFINED Dorset 583,300 Pet DRx Corpration (Echo) Common 715813200 103,200 25,800 SH DEFINED Dorset 25,800 Pet DRx Corpration (Echo) Common 715813200 23,600 5,900 SH DEFINED Dorset 5,900 Petroleo Brasileiro SA Common 71654V408 81,319,923 1,148,100 SH DEFINED Dorset 1,148,100 Petroleo Brasileiro SA Common 71654V408 98,779,518 1,394,600 SH DEFINED Dorset 1,394,600 Petroleo Brasileiro SA Common 71654V408 1,119,114 15,800 SH DEFINED Dorset 15,800 Petroleo Brasileiro SA Common 71654V408 1,643,256 23,200 SH SOLE 23,200 Petroleo Brasileiro SA Common 71654V408 113,328 1,600 SH OTHER 1,600 Pfizer Inc. Common 717081103 5,713 327 SH SOLE 327 Pfizer Inc. Common 717081103 33,193 1,900 SH OTHER 1,900 Progenics Pharmaceuticals Inc. Common 743187106 12,605,541 794,300 SH DEFINED Dorset 794,300 Progenics Pharmaceuticals Inc. Common 743187106 209,484 13,200 SH DEFINED Dorset 13,200 Progenics Pharmaceuticals Inc. Common 743187106 171,396 10,800 SH DEFINED Dorset 10,800 Pulte Homes, Inc. Pfd. Common 745867200 1,996,000 106,800 SH OTHER Dorset 106,800 Pulte Homes, Inc. Common 745867101 2,812,923 292,100 SH DEFINED Dorset 292,100 Pulte Homes, Inc. Common 745867101 93,411 9,700 SH DEFINED Dorset 9,700 Pulte Homes, Inc. Common 745867101 29,853 3,100 SH DEFINED Dorset 3,100 QuadraMed Corporation Common 74730W507 7,385,868 734,912 SH DEFINED Dorset 734,912 QuadraMed Corporation Common 74730W507 373,257 37,140 SH DEFINED Dorset 37,140 QuadraMed Corporation Common 74730W507 106,148 10,562 SH DEFINED Dorset 10,562 Rand Logistics, Inc. Common 752182105 14,277,388 2,544,989 SH DEFINED Dorset 2,544,989 Rand Logistics, Inc. Common 752182105 897,600 160,000 SH DEFINED Dorset 160,000
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------ NAME OF ISSUER TITLE OF CUSIP VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY CLASS -------------------------- ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------ Rand Logistics, Inc. Common 752182105 159,324 28,400 SH DEFINED Dorset 28,400 Renaissance Acquisition Corp. Common 75966C305 1,777,000 308,000 SH OTHER Dorset 308,000 Renaissance Acquisition Corp. Common 75966C305 6,778,019 1,174,700 SH DEFINED Dorset 1,174,700 Renaissance Acquisition Corp. Common 75966C305 241,763 41,900 SH DEFINED Dorset 41,900 Renaissance Acquisition Corp. Common 75966C305 88,858 15,400 SH DEFINED Dorset 15,400 Renaissance Acquisition Corp. - - Warrants Common 75966C115 50,000 332,000 SH Call OTHER Dorset 332,000 Renaissance Acquisition Corp. - - Warrants Common 75966C115 187,860 1,252,400 SH Call DEFINED Dorset 1,252,400 Renaissance Acquisition Corp. - - Warrants Common 75966C115 3,120 20,800 SH Call DEFINED Dorset 20,800 Renaissance Acquisition Corp. - - Warrants Common 75966C115 2,565 17,100 SH Call DEFINED Dorset 17,100 Schlumberger Limited Common 806857108 97,761,300 910,000 SH DEFINED Dorset 910,000 Shanghai Century Acquistion Corporation Common G80637104 158,000 20,000 SH OTHER Dorset 20,000 Shanghai Century Acquistion Corporation Common G80637104 4,938,290 625,100 SH DEFINED Dorset 625,100 Shanghai Century Acquistion Corporation Common G80637104 82,160 10,400 SH DEFINED Dorset 10,400 Shanghai Century Acquistion Corporation Common G80637104 67,150 8,500 SH DEFINED Dorset 8,500 Shaw Group Inc. Common 820280105 5,196,539 84,100 SH DEFINED Dorset 84,100 Shaw Group Inc. Common 820280105 203,907 3,300 SH DEFINED Dorset 3,300 Shaw Group Inc. Common 820280105 61,790 1,000 SH DEFINED Dorset 1,000 Southpeak Interactive Corp - -Warrants Common 844649111 14,000 52,000 SH Call OTHER Dorset 52,000 Southpeak Interactive Corp - -Warrants Common 844649111 54,513 201,900 SH Call DEFINED Dorset 201,900 Southpeak Interactive Corp - -Warrants Common 844649111 918 3,400 SH Call DEFINED Dorset 3,400 Southpeak Interactive Corp - -Warrants Common 844649111 729 2,700 SH Call DEFINED Dorset 2,700 Southwestern Energy Company Common 845467109 9,998,100 210,000 SH DEFINED Dorset 210,000 Spark Networks Inc. ADR Common 84651P100 177,000 41,300 SH OTHER Dorset 41,300 Spring Creek Aquisition Corp. Common G8374R104 2,260,536 287,600 SH DEFINED Dorset 287,600 Spring Creek Aquisition Corp. Common G8374R104 83,316 10,600 SH DEFINED Dorset 10,600 Spring Creek Aquisition Corp. Common G8374R104 14,148 1,800 SH DEFINED Dorset 1,800 Stone Tan China Acquisition Common 861752202 2,793,000 350,000 SH OTHER Dorset 350,000 Stone Tan China Acquisition Common 861752202 10,653,300 1,335,000 SH DEFINED Dorset 1,335,000 Stone Tan China Acquisition Common 861752202 379,050 47,500 SH DEFINED Dorset 47,500 Stone Tan China Acquisition Common 861752202 139,650 17,500 SH DEFINED Dorset 17,500 Stoneleigh Partners Acquisition Corp. Common 861923100 829,000 108,400 SH OTHER Dorset 108,400 Stoneleigh Partners Acquisition Corp. Common 861923100 2,935,159 380,202 SH DEFINED Dorset 380,202 Stoneleigh Partners Acquisition Corp. Common 861923100 104,220 13,500 SH DEFINED Dorset 13,500 Stoneleigh Partners Acquisition Corp. Common 861923100 38,600 5,000 SH DEFINED Dorset 5,000 Tailwind Financial Inc. Common 874023104 975,000 125,000 SH OTHER Dorset 125,000 Tailwind Financial Inc. Common 874023203 983,000 125,000 SH OTHER Dorset 125,000 Tailwind Financial Inc. Common 874023104 7,569,900 970,500 SH DEFINED Dorset 970,500 Tailwind Financial Inc. Common 874023104 126,360 16,200 SH DEFINED Dorset 16,200 Tailwind Financial Inc. Common 874023104 103,740 13,300 SH DEFINED Dorset 13,300 Tailwind Financial Inc. - Warrants Common 874023112 6,000 61,300 SH Call OTHER Dorset 61,300 Tailwind Financial Inc. - Warrants Common 874023112 71,582 715,100 SH Call DEFINED Dorset 715,100 Tailwind Financial Inc. - Warrants Common 874023112 1,191 11,900 SH Call DEFINED Dorset 11,900 Tailwind Financial Inc. - Warrants Common 874023112 981 9,800 SH Call DEFINED Dorset 9,800 Talisman Energy Inc. Common 87425E103 4,787,100 216,200 SH DEFINED Dorset 216,200 TFS Financial Corp. Common 87240R107 14,525,747 1,253,300 SH DEFINED Dorset 1,253,300
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ----------------------------------------------------------------------------------------------------------------------------------- NAME OF ISSUER TITLE OF CUSIP VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY CLASS ------------------------------- ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ----------------------------------------------------------------------------------------------------------------------------------- TFS Financial Corp. Common 87240R107 257,298 22,200 SH DEFINED Dorset 22,200 TFS Financial Corp. Common 87240R107 198,189 17,100 SH DEFINED Dorset 17,100 The Stephan Co. Common 858603103 210,000 76,560 SH OTHER Dorset 76,560 The Stephan Co. Common 858603103 798,546 291,440 SH DEFINED Dorset 291,440 The Stephan Co. Common 858603103 12,878 4,700 SH DEFINED Dorset 4,700 The Stephan Co. Common 858603103 10,275 3,750 SH DEFINED Dorset 3,750 Total SA Common 89151E109 61,394,400 720,000 SH DEFINED Dorset 720,000 Tansgenomic, Inc. Common 89365K206 3,533,961 4,417,451 SH DEFINED Dorset 4,417,451 Transgenomic, Inc. Common 89365K206 188,080 235,100 SH DEFINED Dorset 235,100 Transgenomic, Inc. Common 89365K206 41,200 51,500 SH DEFINED Dorset 51,500 Tansocean Inc. Common G90078109 57,908,200 380,000 SH DEFINED Dorset 380,000 Triplecrown Acquisition Corp. Common 89677G208 853,000 87,500 SH OTHER Dorset 87,500 Triplecrown Acquisition Corp. Common 89677G208 5,796,375 594,500 SH DEFINED Dorset 594,500 Triplecrown Acquisition Corp. Common 89677G208 96,525 9,900 SH DEFINED Dorset 9,900 Triplecrown Acquisition Corp. Common 89677G208 78,975 8,100 SH DEFINED Dorset 8,100 United Technologies Corp. Common 913017109 9,853,490 159,700 SH DEFINED Dorset 159,700 United Technologies Corp. Common 913017109 191,270 3,100 SH DEFINED Dorset 3,100 Victory Acquistion Corp Common 92644D100 762,000 80,000 SH OTHER Dorset 80,000 Victory Acquistion Corp Common 92644D100 2,956,912 310,600 SH DEFINED Dorset 310,600 Victory Acquistion Corp Common 92644D100 49,504 5,200 SH DEFINED Dorset 5,200 Victory Acquistion Corp Common 92644D100 39,984 4,200 SH DEFINED Dorset 4,200 Wachovia Common 929903102 27,643 1,780 SH OTHER 1,780 Wal-Mart Stores, Inc. Common 931142103 37,361,760 664,800 SH DEFINED Dorset 664,800 Wal-Mart Stores, Inc. Common 931142103 3,321,420 59,100 SH DEFINED Dorset 59,100 Washington Mutual, Inc. Common 939322103 914,761 185,550 SH DEFINED Dorset 185,550 Washington Mutual, Inc. Common 939322103 28,594 5,800 SH DEFINED Dorset 5,800 Washington Mutual, Inc. Common 939322103 9,367 1,900 SH DEFINED Dorset 1,900 Wells Fargo & Co. Common 949746101 15,266,500 642,800 SH DEFINED Dorset 642,800 Wells Fargo & Co. Common 949746101 118,750 5,000 SH OTHER 5,000 Wells Fargo & Co. Common 949746101 228,000 9,600 SH SOLE 9,600 Willis Group Holdings Limited Common G96655108 8,691,058 277,050 SH DEFINED Dorset 277,050 Willis Group Holdings Limited Common G96655108 155,281 4,950 SH DEFINED Dorset 4,950 Willis Group Holdings Limited Common G96655108 119,206 3,800 SH DEFINED Dorset 3,800 Willis Group Holdings Limited Common G96655108 12,548 400 SH OTHER 400 Willis Group Holdings Limited Common G96655108 116,069 3,700 SH SOLE 3,700 Xinhua Finance Media Ltd. Common 983982109 327,600 140,000 SH OTHER 140,000 Xinhua Finance Media Ltd. Common 983982109 1,195,272 510,800 SH DEFINED Dorset 510,800 Xinhua Finance Media Ltd. Common 983982109 46,332 19,800 SH DEFINED Dorset 19,800 Xinhua Finance Media Ltd. Common 983982109 14,742 6,300 SH DEFINED Dorset 6,300 Zions Bancorp Common 989701107 15,354,524 487,600 SH DEFINED Dorset 487,600 Zions Bancorp Common 989701107 519,585 16,500 SH DEFINED Dorset 16,500 Zions Bancorp Common 989701107 163,748 5,200 SH DEFINED Dorset 5,200 TOTALS: 2,367,892,425 107,726,017 85,842,468 20,253,082 1,245,767 ============= =========== ========== ========== =========
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