13F-HR 1 a2210683z13f-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: 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 ----------- ---------- ---------- ---------