0001047469-11-009384.txt : 20111110 0001047469-11-009384.hdr.sgml : 20111110 20111110172017 ACCESSION NUMBER: 0001047469-11-009384 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111110 DATE AS OF CHANGE: 20111110 EFFECTIVENESS DATE: 20111110 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: 111196425 MAIL ADDRESS: STREET 1: 485 UNDERHILL BLVD STREET 2: STE 205 CITY: SYOSSET STATE: NY ZIP: 11791-3419 13F-HR 1 a2206332z13f-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: September 30, 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 November 10, 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: 106 -------------------- Form 13F Information Table Value Total: $804,718 -------------------- (thousands) List of Other Included Managers: Dorset Management Corporation ("Dorset") FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ----------------------------------------------------------------------------------------------------------------------------------- VOTING AUTHORITY NAME OF ISSUER TITLE OF CUSIP VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER -------------------------- CLASS ($) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ----------------------------------------------------------------------------------------------------------------------------------- AMAG Pharmaceuticals, Inc. Common 00163U106 5,114,340 346,500 SH DEFINED Dorset 346,500 Amarin Corporation PLC Common 023111206 963,240 104,700 SH DEFINED Dorset 104,700 Amedisys, Inc. Common 023436108 3,693,589 249,230 SH DEFINED Dorset 249,230 Anadarko Petroleum Corporation Common 032511107 630,500 10,000 SH SOLE 10,000 Anadarko Petroleum Corporation Common 032511107 64,689,300 1,026,000 SH DEFINED Dorset 1,026,000 Anadarko Petroleum Corporation Common 032511107 29,062,897 460,950 SH DEFINED Dorset 460,950 Anadarko Petroleum Corporation Common 032511107 290,030 4,600 SH OTHER 4,600 Anchor Bancorp WA Common 032838104 46,575 7,500 SH SOLE 7,500 Anchor Bancorp WA Common 032838104 31,050 5,000 SH OTHER 5,000 Anheuser-Busch InBev NV Common 03524A108 24,895,302 469,900 SH DEFINED Dorset 469,900 Anheuser-Busch InBev NV Common 03524A108 890,064 16,800 SH DEFINED Dorset 16,800 Apache Corporation Common 037411105 14,443,200 180,000 SH DEFINED Dorset 180,000 Asia Entertainment & Resources Ltd. Common G0539K108 3,661,740 678,100 SH DEFINED Dorset 678,100 Auxilium Pharmaceuticals Inc. Common 05334D107 2,098,600 140,000 SH DEFINED Dorset 140,000 Baker Hughes Incorporated Common 057224107 19,613,750 425,000 SH DEFINED Dorset 425,000 Black Diamond, Inc. Common 09202G101 1,953,907 299,679 SH DEFINED Dorset 299,679 Cabot Oil & Gas Corporation Common 127097103 29,097,700 470,000 SH DEFINED Dorset 470,000 Cambium Learning Group Inc. Common 13201A107 1,445,665 483,500 SH DEFINED Dorset 483,500 Canadian Natural Resources Ltd. Common 136385101 689,894 23,570 SH DEFINED Dorset Canadian Natural Resources Ltd. Common 136385101 17,371,129 591,700 SH DEFINED Dorset 591,700 Canadian Natural Resources Ltd. Common 136385101 19,854,815 676,300 SH DEFINED Dorset 676,300 Canadian Natural Resources Ltd. Common 136385101 285,383 9,750 SH OTHER 9,750 Capitol Federal Financial, Inc. Common 14057J101 10,116,480 958,000 SH DEFINED Dorset 958,000 Capitol Federal Financial, Inc. Common 14057J101 21,120 2,000 SH DEFINED Dorset 2,000 Chemtura Corporation Common 163893209 1,955,850 195,000 SH DEFINED Dorset 195,000 Chevron Corporation Common 166764100 23,147,500 250,000 SH DEFINED Dorset 250,000 China Ceramics Co. Ltd. Common G2113X100 3,451,873 1,241,681 SH DEFINED Dorset 1,241,681 China Ceramics Co. Ltd. Common G2113X100 48,372 17,400 SH DEFINED Dorset 17,400 Citizens Community Bancorp Inc. Common 174903104 75,000 15,000 SH SOLE 15,000 Coca-Cola Enterprises Inc. Common 19122T109 7,222,664 290,300 SH DEFINED Dorset 290,300 Columbia Laboratories, Inc. Common 197779101 7,758,235 3,978,582 SH DEFINED Dorset 3,978,582 Columbia Laboratories, Inc. Common 197779101 526,036 269,762 SH DEFINED Dorset 269,762 Columbia Laboratories, Inc. Common 197779101 1,170 600 SH OTHER 600 Cott Corporation Common 22163N106 2,143,672 314,783 SH DEFINED Dorset 314,783 Devon Energy Corp. Common 25179M103 19,404,000 350,000 SH DEFINED Dorset 350,000 Eagle Materials Inc. Common 26969P108 31,052 1,865 SH SOLE 1,865 Eagle Materials Inc. Common 26969P108 3,796 228 SH OTHER 228 Elster Group SE Common 290348101 7,472,010 499,800 SH DEFINED Dorset 499,800 EnCana Corp. Common 292505104 10,584,200 550,000 SH DEFINED Dorset 550,000 Essex Rental Corporation Common 297187106 5,900,964 2,398,766 SH DEFINED Dorset 2,398,766 Essex Rental Corporation Common 297187106 779,574 316,900 SH DEFINED Dorset 316,900 Express Scripts, Inc. Common 302182100 5,616,105 151,500 SH DEFINED Dorset 151,500 Financial Select SPDR @ 13 10/11 Common 9EDD91F13 73,920 4,928 SH DEFINED Dorset 4,928
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 ----------------------------------------------------------------------------------------------------------------------------------- Financial Select SPDR @ 13 10/11 Common 9EDD91F13 4,830 322 SH DEFINED Dorset 322 FMC Technologies, Inc. Common 302490101 11,280,000 300,000 SH DEFINED Dorset 300,000 Fusion-io, Inc. Common 36112J107 1,838,250 96,750 SH DEFINED Dorset 96,750 FutureFuel Corporation Common 36116M106 20,863,284 2,006,085 SH DEFINED Dorset 2,006,085 FutureFuel Corporation Common 36116M106 10,400 1,000 SH DEFINED Dorset 1,000 Gilead Sciences Inc. Common 375558103 10,392,541 267,849 SH DEFINED Dorset 267,849 Gilead Sciences Inc. Common 375558103 19,400 500 SH DEFINED Dorset 500 Golden Gate Homes Inc. Common 381047109 379 5,413 SH DEFINED Dorset 5,413 Halliburton Company Common 406216101 20,601,000 675,000 SH DEFINED Dorset 675,000 Helmerich & Payne, Inc. Common 423452101 21,112,000 520,000 SH DEFINED Dorset 520,000 Hess Corporation Common 42809H107 27,032,638 515,300 SH DEFINED Dorset 515,300 InterOil Corporation Common 460951106 1,463,100 30,000 SH DEFINED Dorset 30,000 JPMorgan Chase & Co. Common 46625H100 406,620 13,500 SH SOLE 13,500 JPMorgan Chase & Co. Common 46625H100 41,011,392 1,361,600 SH DEFINED Dorset 1,361,600 JPMorgan Chase & Co. Common 46625H100 3,942,708 130,900 SH DEFINED Dorset 130,900 JPMorgan Chase & Co. Common 46625H100 198,792 6,600 SH OTHER 6,600 Kraft Foods Inc. Common 50075N104 268,640 8,000 SH SOLE 8,000 Kraft Foods Inc. Common 50075N104 67,160 2,000 SH OTHER 2,000 KB Home Common 48666K109 331,676 56,600 SH DEFINED Dorset 56,600 KB Home Common 48666K109 19,924 3,400 SH DEFINED Dorset 3,400 Ligand Pharmaceuticals Incorporated Common 53220K504 21,162,372 1,546,957 SH DEFINED Dorset 1,546,957 Ligand Pharmaceuticals Incorporated Common 53220K504 1,268,806 92,749 SH DEFINED Dorset 92,749 LM Ericsson Telephone Company Common 294821608 15,428,025 1,615,500 SH DEFINED Dorset 1,615,500 LM Ericsson Telephone Company Common 294821608 1,104,935 115,700 SH DEFINED Dorset 115,700 MELA Sciences, Inc. Common 55277R100 398,700 90,000 SH DEFINED Dorset 90,000 MetLife, Inc. Common 59156R108 11,128,373 397,300 SH DEFINED Dorset 397,300 MetLife, Inc. Common 59156R108 750,668 26,800 SH DEFINED Dorset 26,800 Millicom International Cellular SA Common L6388F110 7,561,330 76,300 SH DEFINED Dorset 76,300 Murphy Oil Corporation Common 626717102 12,806,400 290,000 SH DEFINED Dorset 290,000 Noble Corporation Common G65422100 15,262,000 520,000 SH DEFINED Dorset 520,000 Noble Energy Inc Common 655044105 24,780,000 350,000 SH DEFINED Dorset 350,000 Northfield Bancorp Inc. Common 66611L105 103,074 7,785 SH SOLE 7,785 OBA Financial Services, Inc. Common 67424G101 293,200 20,000 SH SOLE 20,000 OBA Financial Services, Inc. Common 67424G101 362,500 25,000 SH DEFINED Dorset 25,000 OBA Financial Services, Inc. Common 67424G101 73,300 5,000 SH OTHER 5,000 Onyx Pharmaceuticals, Inc. Common 683399109 2,573,898 85,768 SH DEFINED Dorset 85,768 Orient-Express Hotels Ltd. Common G67743107 1,142,223 165,300 SH DEFINED Dorset 165,300 Petroleo Brasileiro SA Common 71654V408 10,102,500 450,000 SH DEFINED Dorset 450,000 Pfizer Inc. Common 717081103 801,381 45,327 SH SOLE 45,327 Pfizer Inc. Common 717081103 31,091,624 1,758,576 SH DEFINED Dorset 1,758,576 Pfizer Inc. Common 717081103 3,392,792 191,900 SH DEFINED Dorset 191,900 Pfizer Inc. Common 717081103 282,880 16,000 SH OTHER 16,000 Pioneer Natural Resources Company Common 723787107 19,467,920 296,000 SH DEFINED Dorset 296,000
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 ----------------------------------------------------------------------------------------------------------------------------------- QLT Inc. Common 746927102 1,684,611 230,453 SH DEFINED Dorset 230,453 Rand Logistics, Inc. Common 752182105 16,968,757 2,732,489 SH DEFINED Dorset 2,732,489 Rand Logistics, Inc. Common 752182105 5,589 900 SH DEFINED Dorset 900 Repsol YPF SA Common 76026T205 10,438,350 390,000 SH DEFINED Dorset 390,000 Rodinia Oil Corp Common 77487N109 218,860 358,200 SH DEFINED Dorset 358,200 Schlumberger Limited Common 806857108 18,904,545 316,500 SH DEFINED Dorset 316,500 Seacoast Banking Corporation Common 811707306 183,750 125,000 SH DEFINED Dorset 125,000 SeaCube Container Leasing Ltd. Common G79978105 2,829,929 233,300 SH DEFINED Dorset 233,300 SM Energy Company Common 78454L100 12,130,000 200,000 SH DEFINED Dorset 200,000 Southwestern Energy Company Common 845467109 13,332,000 400,000 SH DEFINED Dorset 400,000 Standard Financial Corp. Common 853393106 290,000 20,000 SH DEFINED Dorset 20,000 State Investors Bancorp, Inc. Common 857030100 338,400 30,000 SH DEFINED Dorset 30,000 Target Corporation Common 87612E106 9,489,240 193,500 SH DEFINED Dorset 193,500 The Stephan Co. Common 858603103 371,651 168,168 SH DEFINED Dorset 168,168 Total SA Common 89151E109 52,644 1,200 SH SOLE 1,200 Total SA Common 89151E109 52,644 1,200 SH OTHER 1,200 U.S. Bancorp Common 902973304 4,547,928 193,200 SH DEFINED Dorset 193,200 Westway Group Inc. Common 96169B100 11,930,948 2,826,770 SH DEFINED Dorset 2,826,770 Westway Group Inc. Common 96169B100 128,191 30,372 SH DEFINED Dorset 30,372 YPF Sociedad Anonima Common 984245100 11,460,350 335,000 SH DEFINED Dorset 335,000 Total 804,718,285 41,460,907 31,248,904 10,188,433 0 =========== ========== ========== ========== ====