0001047469-12-008139.txt : 20120813
0001047469-12-008139.hdr.sgml : 20120813
20120813060141
ACCESSION NUMBER: 0001047469-12-008139
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120630
FILED AS OF DATE: 20120813
DATE AS OF CHANGE: 20120813
EFFECTIVENESS DATE: 20120813
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: 121025934
MAIL ADDRESS:
STREET 1: 485 UNDERHILL BLVD
STREET 2: STE 205
CITY: SYOSSET
STATE: NY
ZIP: 11791-3419
13F-HR
1
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: June 30, 2012
-----------------------
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 August 13, 2012
------------------------------- ----------------- ---------------
[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).)
Page 1
FORM 13F SUMMARY PAGE
REPORT SUMMARY:
Number of Other Included Managers: 1
--------------------
Form 13F Information Table Entry Total: 95
--------------------
Form 13F Information Table Value Total: $611,669
--------------------
(thousands)
List of Other Included Managers: Dorset Management Corporation ("Dorset")
Page 2
FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
------------------------- ---------- --------- ----------- ----------------------- ---------- -------- -------------------------
TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS -------------------------
CLASS SOLE SHARED NONE
------------------------- ---------- --------- ----------- ---------- ----- ------ ---------- -------- ---------- --------- ----
AMAG Pharmaceuticals,
Inc. Common 00163U106 4,389,524 285,034 SH DEFINED Dorset 285,034
AMAG Pharmaceuticals,
Inc. Common 00163U106 112,420 7,300 SH DEFINED Dorset 7,300
Anadarko Petroleum
Corporation Common 032511107 304,520 4,600 SH DEFINED Other 4,600
Anadarko Petroleum
Corporation Common 032511107 37,561,880 567,400 SH DEFINED Dorset 567,400
Anadarko Petroleum
Corporation Common 032511107 26,423,730 399,150 SH DEFINED Dorset 399,150
Anadarko Petroleum
Corporation Common 032511107 695,100 10,500 SH DEFINED Sole 10,500
Anchor Bancorp WA Common 032838104 51,700 5,000 SH DEFINED Other 5,000
Anchor Bancorp WA Common 032838104 77,550 7,500 SH DEFINED Sole 7,500
Apache Corporation Common 037411105 12,304,600 140,000 SH DEFINED Dorset 140,000
Apple Inc. Common 037833100 29,200 50 SH DEFINED Other 50
Apple Inc. Common 037833100 14,366,400 24,600 SH DEFINED Dorset 24,600
Apple Inc. Common 037833100 292,000 500 SH DEFINED Dorset 500
Apple Inc. Common 037833100 29,200 50 SH DEFINED Sole 50
Asia Entertainment &
Resources Ltd. Common G0539K108 1,849,892 457,894 SH DEFINED Dorset 457,894
Baker Hughes Incorporated Common 057224107 16,440,000 400,000 SH DEFINED Dorset 400,000
Banco Santander SA ADR Common 05964H105 2,475,744 377,400 SH DEFINED Dorset 377,400
Banco Santander SA ADR Common 05964H105 68,880 10,500 SH DEFINED Dorset 10,500
Black Diamond, Inc. Common 09202G101 2,292,372 242,579 SH DEFINED Dorset 242,579
Cabot Oil & Gas
Corporation Common 127097103 5,713,000 145,000 SH DEFINED Dorset 145,000
Cambium Learning Group
Inc. Common 13201A107 366,700 386,000 SH DEFINED Dorset 386,000
Canadian Natural
Resources Ltd. Common 136385101 261,261 9,750 SH DEFINED Other 9,750
Canadian Natural
Resources Ltd. Common 136385101 12,121,766 451,900 SH DEFINED Dorset 451,900
Canadian Natural
Resources Ltd. Common 136385101 8,272,522 308,400 SH DEFINED Dorset 308,400
Canadian Natural
Resources Ltd. Common 136385101 568,074 21,200 SH DEFINED Sole 21,200
Capital One Financial
Corporation Common 14040H105 5,028,720 92,000 SH DEFINED Dorset 92,000
Capitol Federal
Financial, Inc. Common 14057J101 23,760 2,000 SH DEFINED Other 2,000
Capitol Federal
Financial, Inc. Common 14057J101 10,646,856 896,200 SH DEFINED Dorset 896,200
Capitol Federal
Financial, Inc. Common 14057J101 23,760 2,000 SH DEFINED Dorset 2,000
Capitol Federal
Financial, Inc. Common 14057J101 71,280 6,000 SH DEFINED Sole 6,000
Chevron Corporation Common 166764100 7,385,000 70,000 SH DEFINED Dorset 70,000
China Ceramics Co. Ltd. Common G2113X100 3,437,080 1,119,570 SH DEFINED Dorset 1,119,570
Citizens Community
Bancorp Common 174903104 84,750 15,000 SH DEFINED Sole 15,000
Coca-Cola Company Common 191216100 328,398 4,200 SH DEFINED Sole 4,200
Columbia Laboratories,
Inc. Common 197779101 482,383 709,386 SH DEFINED Dorset 709,386
Columbia Laboratories,
Inc. Common 197779101 952 1,400 SH DEFINED Dorset 1,400
Devon Energy Corp. Common 25179M103 21,746,250 375,000 SH DEFINED Dorset 375,000
Du Pont E I De Nemours
& Co Inc. Common 263534109 50,570 1,000 SH DEFINED Other 1,000
Du Pont E I De Nemours
& Co Inc. Common 263534109 182,052 3,600 SH DEFINED Sole 3,600
Eagle Materials Inc Common 26969P108 8,513 228 SH DEFINED Other 228
EnCana Corp. Common 292505104 6,246,900 300,000 SH DEFINED Dorset 300,000
Essex Rental Corporation Common 297187106 7,945,488 2,289,766 SH DEFINED Dorset 2,289,766
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
------------------------- ---------- --------- ----------- ----------------------- ---------- -------- -------------------------
TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS -------------------------
CLASS SOLE SHARED NONE
------------------------- ---------- --------- ----------- ---------- ----- ------ ---------- -------- ---------- --------- ----
Essex Rental Corporation Common 297187106 225,550 65,000 SH DEFINED Dorset 65,000
Express Scripts Holding
Company Common 30219G108 9,022,128 161,600 SH DEFINED Dorset 161,600
FMC Technologies, Inc. Common 30249U101 11,769,000 300,000 SH DEFINED Dorset 300,000
FutureFuel Corporation Common 36116M106 14,985,736 1,425,855 SH DEFINED Dorset 1,425,855
FutureFuel Corporation Common 36116M106 10,510 1,000 SH DEFINED Dorset 1,000
General Electric Co Common 369604103 75,024 3,600 SH DEFINED Sole 3,600
Getty Realty Corporation Common 374297109 7,158,270 373,800 SH DEFINED Dorset 373,800
Getty Realty Corporation Common 374297109 275,760 14,400 SH DEFINED Dorset 14,400
Halliburton Company Common 406216101 9,084,800 320,000 SH DEFINED Dorset 320,000
Helmerich & Payne, Inc. Common 423452101 13,261,400 305,000 SH DEFINED Dorset 305,000
Hess Corporation Common 42809H107 19,987,000 460,000 SH DEFINED Dorset 460,000
Johnson & Johnson Common 478160104 81,072 1,200 SH DEFINED Other 1,200
Johnson & Johnson Common 478160104 351,312 5,200 SH DEFINED Sole 5,200
JP Morgan Chase & Co. Common 46625H100 235,818 6,600 SH DEFINED Other 6,600
JP Morgan Chase & Co. Common 46625H100 525,231 14,700 SH DEFINED Sole 14,700
Kraft Foods Inc. Common 50075N104 77,240 2,000 SH DEFINED Other 2,000
Kraft Foods Inc. Common 50075N104 308,960 8,000 SH DEFINED Sole 8,000
Ligand Pharmaceuticals
Incorporated Common 53220K504 26,564,580 1,568,157 SH DEFINED Dorset 1,568,157
Ligand Pharmaceuticals
Incorporated Common 53220K504 732,638 43,249 SH DEFINED Dorset 43,249
Magellan Health Services
Inc. Common 559079207 43,154 952 SH DEFINED Dorset 952
Magellan Health Services
Inc. Common 559079207 4,488 99 SH DEFINED Dorset 99
Molson Coors Brewing
Company Common 60871R209 10,889,337 261,700 SH DEFINED Dorset 261,700
Murphy Oil Corporation Common 626717102 17,601,500 350,000 SH DEFINED Dorset 350,000
National Oilwell Varco
Inc. Common 637071101 23,198,400 360,000 SH DEFINED Dorset 360,000
Noble Corporation Common H5833N103 21,469,800 660,000 SH DEFINED Dorset 660,000
Noble Energy, Inc. Common 655044105 22,053,200 260,000 SH DEFINED Dorset 260,000
OBA Financial Services,
Inc. Common 67424G101 74,250 5,000 SH DEFINED Other 5,000
OBA Financial Services,
Inc. Common 67424G101 371,250 25,000 SH DEFINED Dorset 25,000
Oritani Financial Corp Common 68633D103 28,780 2,000 SH DEFINED Other 2,000
Oritani Financial Corp Common 68633D103 86,340 6,000 SH DEFINED Sole 6,000
Pfizer Inc. Common 717081103 404,800 17,600 SH DEFINED Other 17,600
Pfizer Inc. Common 717081103 34,757,048 1,511,176 SH DEFINED Dorset 1,511,176
Pfizer Inc. Common 717081103 1,573,200 68,400 SH DEFINED Dorset 68,400
Pfizer Inc. Common 717081103 1,380,000 60,000 SH DEFINED Sole 60,000
Pioneer Natural Resources
Company Common 723787107 21,170,400 240,000 SH DEFINED Dorset 240,000
Plains Exploration &
Production Company Common 726505100 10,202,200 290,000 SH DEFINED Dorset 290,000
QLT Inc. Common 746927102 3,502,739 459,677 SH DEFINED Dorset 459,677
Rand Logistics, Inc. Common 752182105 23,226,156 2,732,489 SH DEFINED Dorset 2,732,489
Rand Logistics, Inc. Common 752182105 7,650 900 SH DEFINED Dorset 900
Ruby Tuesday, Inc. Common 781182100 834,225 122,500 SH DEFINED Dorset 122,500
Ruby Tuesday, Inc. Commom 781182100 17,025 2,500 SH DEFINED Dorset 2,500
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
------------------------- ---------- --------- ----------- ----------------------- ---------- -------- -------------------------
TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER CLASS CUSIP ($) PRN AMT PRN CALL DISCRETION MANAGERS -------------------------
CLASS SOLE SHARED NONE
------------------------- ---------- --------- ----------- ---------- ----- ------ ---------- -------- ---------- --------- ----
Schlumberger Limited Common 806857108 22,069,400 340,000 SH DEFINED Dorset 340,000
SM Energy Company Common 78454L100 14,733,000 300,000 SH DEFINED Dorset 300,000
Southwestern Energy
Company Common 845467109 14,528,150 455000 SH DEFINED Dorset 455000
Standard Financial Corp. Common 853393106 323,000 20000 SH DEFINED Dorset 20000
State Investors Bancorp,
Inc. Common 857030100 397,200 30000 SH DEFINED Dorset 30000
Target Corporation Common 87612E106 9,903,938 170200 SH DEFINED Dorset 170200
The Stephan Co. Common 858603103 303,170 121268 SH DEFINED Dorset 121268
Total SA Common 89151E109 107,880 2400 SH DEFINED Other 2400
Total SA Common 89151E109 107,880 2400 SH DEFINED Sole 2400
Ventrus Biosciences Inc. Common 922822101 533,750 125000 SH DEFINED Dorset 125000
Westway Group Inc. Common 96169B100 16,932,352 2826770 SH DEFINED Dorset 2826770
Westway Group Inc. Common 96169B100 181,928 30372 SH DEFINED Dorset 30372
Whiting Petroleum
Corporation Common 966387102 13,158,400 320000 SH DEFINED Dorset 320000
TOTAL 611,668,766 27,408,421 20,003,823 7,404,598
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