0001047469-11-005030.txt : 20110512 0001047469-11-005030.hdr.sgml : 20110512 20110512145659 ACCESSION NUMBER: 0001047469-11-005030 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110512 DATE AS OF CHANGE: 20110512 EFFECTIVENESS DATE: 20110512 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: 11835409 MAIL ADDRESS: STREET 1: 485 UNDERHILL BLVD STREET 2: STE 205 CITY: SYOSSET STATE: NY ZIP: 11791-3419 13F-HR 1 a2204093z13f-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 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2011 ----------------------- 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 May 12, 2011 ------------------------------- ----------------- ------------- [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: 108 -------------------- Form 13F Information Table Value Total: $1,189,117 -------------------- (thousands) List of Other Included Managers: Dorset Management Corporation ("Dorset") FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ----------------------------------------------------------------------------------------------------------------------------------- VOTING AUTHORITY NAME OF ISSUER TITLE OF CUSIP VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER -------------------------- CLASS ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ----------------------------------------------------------------------------------------------------------------------------------- AMAG Pharmaceuticals, Inc. Common 00163U106 5,870,050 351,500 SH DEFINED Dorset 351,500 Amarin Corporation PLC Common 023111206 4,059,610 556,111 SH DEFINED Dorset 556,111 Anadarko Petroleum Corporation Common 032511107 819,200 10,000 SH SOLE 10,000 Anadarko Petroleum Corporation Common 032511107 84,049,920 1,026,000 SH DEFINED Dorset 1,026,000 Anadarko Petroleum Corporation Common 032511107 33,738,752 411,850 SH DEFINED Dorset 411,850 Anadarko Petroleum Corporation Common 032511107 376,832 4,600 SH OTHER 4,600 Anchor Bancorp Common 032838104 80,250 7,500 SH SOLE 7,500 Anchor Bancorp Common 032838104 53,500 5,000 SH OTHER 5,000 Anheuser-Busch InBev NV Common 03524A108 18,345,853 320,900 SH DEFINED Dorset 320,900 Anheuser-Busch InBev NV Common 03524A108 1,840,874 32,200 SH DEFINED Dorset 32,200 Apache Corporation Common 037411105 26,184,000 200,000 SH DEFINED Dorset 200,000 Asia Entertainment & Resources Ltd. Common G0539K108 4,109,760 428,100 SH DEFINED Dorset 428,100 Aveta, Inc. Common 05365U101 4,888,052 561,200 SH DEFINED Dorset 561,200 Aveta, Inc. Common 05365U101 205,556 23,600 SH DEFINED Dorset 23,600 Baker Hughes Incorporated Common 057224107 33,043,500 450,000 SH DEFINED Dorset 450,000 Black Diamond, Inc. Common 09202G101 2,060,593 299,679 SH DEFINED Dorset 299,679 Cabot Oil & Gas Corporation Common 127097103 33,900,800 640,000 SH DEFINED Dorset 640,000 Cambium Learning Group Inc. Common 13201A107 1,643,900 483,500 SH DEFINED Dorset 483,500 Canadian Natural Resources Ltd. Common 136385101 1,423,584 28,800 SH SOLE 28,800 Canadian Natural Resources Ltd. Common 136385101 30,377,779 614,400 SH DEFINED Dorset 614,400 Canadian Natural Resources Ltd. Common 136385101 33,967,341 687,000 SH DEFINED Dorset 687,000 Canadian Natural Resources Ltd. Common 136385101 499,243 10,100 SH OTHER 10,100 Capitol Federal Financial, Inc. Common 14057J101 10,796,660 958,000 SH DEFINED Dorset 958,000 Capitol Federal Financial, Inc. Common 14057J101 22,540 2,000 SH DEFINED Dorset 2,000 Carrols Restaurant Group Common 14574X104 1,297,800 140,000 SH DEFINED Dorset 140,000 Central European Distribution Corporation Common 153435102 5,107,500 450,000 SH DEFINED Dorset 450,000 Check Point Software Technologies Ltd. Common M22465104 4,466,875 87,500 SH DEFINED Dorset 87,500 Chemtura Corporation Common 163893209 3,354,000 195,000 SH DEFINED Dorset 195,000 Chevron Corporation Common 166764100 36,009,150 335,000 SH DEFINED Dorset 335,000 China Ceramics Co. Ltd. Common G2113X100 8,122,805 1,316,500 SH DEFINED Dorset 1,316,500 China Ceramics Co. Ltd. Common G2113X100 206,695 33,500 SH DEFINED Dorset 33,500 Citigroup Inc. Common 172967101 14,317,706 3,239,300 SH DEFINED Dorset 3,239,300 Citigroup Inc. Common 172967101 1,675,180 379,000 SH DEFINED Dorset 379,000 Citizens Community Bancorp Common 174903104 74,850 15,000 SH SOLE 15,000 Columbia Laboratories, Inc. Common 197779101 2,262 600 SH OTHER 600 Columbia Laboratories, Inc. Common 197779101 14,706,680 3,900,976 SH DEFINED Dorset 3,900,976 Columbia Laboratories, Inc. Common 197779101 156,711 41,568 SH DEFINED Dorset 41,568 CVS Caremark Corporation Common 126650100 10,598,016 308,800 SH DEFINED Dorset 308,800 CVS Caremark Corporation Common 126650100 1,019,304 29,700 SH DEFINED Dorset 29,700 Devon Energy Corp. Common 25179M103 33,954,900 370,000 SH DEFINED Dorset 370,000 Eagle Materials Common 26969P108 6,899 228 SH OTHER 228 Elster Group SE Common 290348101 5,105,750 314,200 SH DEFINED Dorset 314,200 EnCana Corp. Common 292505104 34,581,000 1,000,000 SH DEFINED Dorset 1,000,000 Essex Rental Corporation Common 297187106 17,254,635 2,447,466 SH DEFINED Dorset 2,447,466 Essex Rental Corporation Common 297187106 1,890,810 268,200 SH DEFINED Dorset 268,200
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ----------------------------------------------------------------------------------------------------------------------------------- VOTING AUTHORITY NAME OF ISSUER TITLE OF CUSIP VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER -------------------------- CLASS ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ----------------------------------------------------------------------------------------------------------------------------------- Express Scripts, Inc. Common 302182100 8,741,892 157,200 SH DEFINED Dorset 157,200 FMC Technologies, Inc. Common 302490101 15,589,200 165,000 SH DEFINED Dorset 165,000 FutureFuel Corporation Common 36116M106 22,450,139 2,088,385 SH DEFINED Dorset 2,088,385 FutureFuel Corporation Common 36116M106 10,750 1,000 SH DEFINED Dorset 1,000 Gilead Sciences Inc. Common 375558103 18,680,387 439,849 SH DEFINED Dorset 439,849 Gilead Sciences Inc. Common 375558103 21,235 500 SH DEFINED Dorset 500 Golden Gate Homes Inc. Common 381047109 1,083 5,413 SH DEFINED Dorset 5,413 Halliburton Company Common 406216101 33,642,000 675,000 SH DEFINED Dorset 675,000 Helmerich & Payne, Inc. Common 423452101 36,405,700 530,000 SH DEFINED Dorset 530,000 Hess Corporation Common 42809H107 31,953,750 375,000 SH DEFINED Dorset 375,000 Jazz Pharmaceuticals, Inc. Common 472147107 11,395,930 357,800 SH DEFINED Dorset 357,800 Johnson&Johnson Common 478160104 29,625 500 SH SOLE 500 JPMorgan Chase & Co. Common 46625H100 862,070 18,700 SH SOLE 18,700 JPMorgan Chase & Co. Common 46625H100 74,354,690 1,612,900 SH DEFINED Dorset 1,612,900 JPMorgan Chase & Co. Common 46625H100 8,210,410 178,100 SH DEFINED Dorset 178,100 JPMorgan Chase & Co. Common 46625H100 304,260 6,600 SH OTHER 6,600 Kraft Foods Inc. Common 50075N104 194,432 6,200 SH SOLE 6,200 Kraft Foods Inc. Common 50075N104 125,440 4,000 SH OTHER 4,000 Kroger Co. Common 501044101 4,794,000 200,000 SH DEFINED Dorset 200,000 Ligand Pharmaceuticals Incorporated Common 53220K504 11,846,180 1,184,618 SH DEFINED Dorset 1,184,618 Ligand Pharmaceuticals Incorporated Common 53220K504 563,490 56,349 SH DEFINED Dorset 56,349 LM Ericsson Telephone Company Common 294821608 51,440 4,000 SH SOLE 4,000 LM Ericsson Telephone Company Common 294821608 21,577,794 1,677,900 SH DEFINED Dorset 1,677,900 LM Ericsson Telephone Company Common 294821608 2,572,000 200,000 SH DEFINED Dorset 200,000 Microsoft Corporation Common 594918104 4,720,001 185,900 SH DEFINED Dorset 185,900 Millicom International Cellular SA Common L6388F110 7,337,771 76,300 SH DEFINED Dorset 76,300 Molson Coors Brewing Company Common 60871R209 20,087,676 428,400 SH DEFINED Dorset 428,400 Molson Coors Brewing Company Common 60871R209 28,134 600 SH DEFINED Dorset 600 Murphy Oil Corporation Common 626717102 26,798,300 365,000 SH DEFINED Dorset 365,000 Noble Corporation Common G65422100 11,405,000 250,000 SH DEFINED Dorset 250,000 Noble Energy Inc Common 655044105 33,827,500 350,000 SH DEFINED Dorset 350,000 OBA Financial Services, Inc. Common 67424G101 73,300 5,000 SH OTHER 5,000 OBA Financial Services, Inc. Common 67424G101 363,000 25,000 SH DEFINED Dorset 25,000 Onyx Pharmaceuticals, Inc. Common 683399109 20,301,252 577,068 SH DEFINED Dorset 577,068 Orient-Express Hotels Ltd. Common G67743107 1,693,453 136,900 SH DEFINED Dorset 136,900 Owens-Illinois, Inc. Common 690768403 9,751,370 323,000 SH DEFINED Dorset 323,000 Owens-Illinois, Inc. Common 690768403 606,819 20,100 SH DEFINED Dorset 20,100 Petroleo Brasileiro SA Common 71654V408 8,086,000 200,000 SH DEFINED Dorset 200,000 Pfizer Inc. Common 717081103 514,391 25,327 SH SOLE 25,327 Pfizer Inc. Common 717081103 36,750,458 1,809,476 SH DEFINED Dorset 1,809,476 Pfizer Inc. Common 717081103 4,720,044 232,400 SH DEFINED Dorset 232,400 Pfizer Inc. Common 717081103 284,340 14,000 SH OTHER 14,000 Philip Morris International Inc. Common 718172109 13,132,563 200,100 SH DEFINED Dorset 200,100 Philip Morris International Inc. Common 718172109 2,132,975 32,500 SH DEFINED Dorset 32,500 Pioneer Natural Resources Company Common 723787107 13,963,040 137,000 SH DEFINED Dorset 137,000
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ----------------------------------------------------------------------------------------------------------------------------------- VOTING AUTHORITY NAME OF ISSUER TITLE OF CUSIP VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER -------------------------- CLASS ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ----------------------------------------------------------------------------------------------------------------------------------- Rand Logistics, Inc. Common 752182105 19,974,495 2,732,489 SH DEFINED Dorset 2,732,489 Rand Logistics, Inc. Common 752182105 6,579 900 SH DEFINED Dorset 900 RC2 Corporation Common 749388104 2,776,280 98,800 SH DEFINED Dorset 98,800 Repsol YPF SA Common 76026T205 13,435,500 390,000 SH DEFINED Dorset 390,000 Schlumberger Limited Common 806857108 30,775,800 330,000 SH DEFINED Dorset 330,000 SeaCube Container Leasing Ltd. Common G79978105 3,900,036 243,600 SH DEFINED Dorset 243,600 SM Energy Company Common 78454L100 11,128,500 150,000 SH DEFINED Dorset 150,000 Southpeak Inter. Corp. @5 Exp. 4/17/2011 Common 844649111 972,000 194,400 SH Call DEFINED Dorset 194,400 Southwestern Energy Company Common 845467109 18,584,525 432,500 SH DEFINED Dorset 432,500 Standard Financial Corp. Common 853393106 314,000 20,000 SH DEFINED Dorset 20,000 State Street Corporation Common 857477103 8,992,494 200,100 SH DEFINED Dorset 200,100 The Stephan Co. Common 858603103 442,147 180,468 SH DEFINED Dorset 180,468 Total SA Sponsored ADR Common 89151E109 73,164 1,200 SH SOLE 1,200 Total SA Sponsored ADR Common 89151E109 73,164 1,200 SH OTHER 1,200 Wells Fargo & Company Common 949746101 6,373,710 201,000 SH DEFINED Dorset 201,000 Westway Group Inc. Common 96169B100 12,394,451 2,785,270 SH DEFINED Dorset 2,785,270 Westway Group Inc. Common 96169B100 319,830 71,872 SH DEFINED Dorset 71,872 YPF Sociedad Anonima Spon ADR Common 984245100 11,357,700 255,000 SH DEFINED Dorset 255,000 Total: 1,189,117,336 46,612,462 36,258,695 10,353,767 0 ============= ========== ========== ========== =