0001047469-12-010502.txt : 20121114
0001047469-12-010502.hdr.sgml : 20121114
20121114082433
ACCESSION NUMBER: 0001047469-12-010502
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120930
FILED AS OF DATE: 20121114
DATE AS OF CHANGE: 20121114
EFFECTIVENESS DATE: 20121114
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: 121201070
MAIL ADDRESS:
STREET 1: 485 UNDERHILL BLVD
STREET 2: STE 205
CITY: SYOSSET
STATE: NY
ZIP: 11791-3419
13F-HR
1
a2211873z13f-hr.txt
13F-HR
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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: September 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
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Address: 485 Underhill Boulevard
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Suite 205
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Syosset, NY 11791
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Form 13F File Number: 28-03121
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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
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Phone: (516) 364-0303
-------------------------------
Signature, Place, and Date of Signing:
/s/ David M. Knott Syosset, New York November 14, 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
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Form 13F Information Table Entry Total: 96
--------------------
Form 13F Information Table Value Total: $609,232
--------------------
(thousands)
List of Other Included Managers:
No. Form 13F File Number Name
28- Dorset Management Corporation ("Dorset")
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Page 2
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COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
------------------------------------------------------------------------------------------------------------------------------------
NAME OF ISSUER TITLE OF CUSIP VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
CLASS ($) PRN AMT PRN CALL DISCRETION MANAGERS -------------------------
CLASS SOLE SHARED NONE
-------------------------------------------------------------- --------------------------------------------------------------------
AMAG Pharmaceuticals, Inc. Common 00163U106 4408692 248517 SH DEFINED Dorset 248517
Anadarko Petroleum Corporation Common 032511107 22391880 320250 SH DEFINED Dorset 320250
Anadarko Petroleum Corporation Common 032511107 31813600 455000 SH DEFINED Dorset 455000
Anadarko Petroleum Corporation Common 032511107 734160 10500 SH DEFINED Other 10500
Anadarko Petroleum Corporation Common 032511107 321632 4600 SH DEFINED Other 4600
Apache Corporation Common 037411105 8647000 100000 SH DEFINED Dorset 100000
Apple Inc. Common 037833100 13742363 20600 SH DEFINED Dorset 20600
Apple Inc. Common 037833100 50033 75 SH DEFINED Other 75
Apple Inc. Common 037833100 50033 75 SH DEFINED Other 75
Anchor Bancorp WA Common 032838104 58250 5000 SH DEFINED Other 5000
Anchor Bancorp WA Common 032838104 58250 5000 SH DEFINED Other 5000
Asia Entertainment & Resources Ltd. Common G0539K108 1054019 349013 SH DEFINED Dorset 349013
Baker Hughes Incorporated Common 057224107 18092000 400000 SH DEFINED Dorset 400000
Banco Santander SA ADR Common 05964H105 2090292 280200 SH DEFINED Dorset 280200
Black Diamond, Inc. Common 09202G101 1720674 196200 SH DEFINED Dorset 196200
Build-A-Bear Workshop, Inc. Common 120076104 604110 154900 SH DEFINED Dorset 154900
Cabot Oil & Gas Corporation Common 127097103 5612500 125000 SH DEFINED Dorset 125000
Canadian Natural Resources Ltd. Common 136385101 12059656 390900 SH DEFINED Dorset 390900
Canadian Natural Resources Ltd. Common 136385101 13929226 451500 SH DEFINED Dorset 451500
Canadian Natural Resources Ltd. Common 136385101 652748 21200 SH DEFINED Other 21200
Canadian Natural Resources Ltd. Common 136385101 300203 9750 SH DEFINED Other 9750
Capital One Financial Corporation Common 14040H105 4241544 74400 SH DEFINED Dorset 74400
Capitol Federal Financial, Inc. Common 14057J101 23920 2000 SH DEFINED Dorset 2000
Capitol Federal Financial, Inc. Common 14057J101 8684156 726100 SH DEFINED Dorset 726100
Capitol Federal Financial, Inc. Common 14057J101 71760 6000 SH DEFINED Other 6000
Capitol Federal Financial, Inc. Common 14057J101 23920 2000 SH DEFINED Other 2000
Chevron Corporation Common 166764100 5828000 50000 SH DEFINED Dorset 50000
China Ceramics Co. Ltd. Common G2113X100 1635825 884230 SH DEFINED Dorset 884230
Coca Cola Company Common 191216100 318612 8400 SH DEFINED Other 8400
Columbia Laboratories, Inc. Common 197779101 1386 1400 SH DEFINED Dorset 1400
Columbia Laboratories, Inc. Common 197779101 702292 709386 SH DEFINED Dorset 709386
Cosi, Inc. Common 22122P101 248771 323500 SH DEFINED Dorset 323500
Devon Energy Corp. Common 25179M103 19662500 325000 SH DEFINED Dorset 325000
Du Pont EI De Nemours & Co. Common 263534109 180972 3600 SH DEFINED Other 3600
Du Pont EI De Nemours & Co. Common 263534109 50270 1000 SH DEFINED Other 1000
Eagle Materials Inc. Common 26969P108 10547 228 SH DEFINED Other 228
EnCana Corp. Common 292505104 6570000 300000 SH DEFINED Dorset 300000
Essex Rental Corporation Common 297187106 5801272 1889665 SH DEFINED Dorset 1889665
FMC Technologies, Inc. Common 30249U101 13890000 300000 SH DEFINED Dorset 300000
FutureFuel Corporation Common 36116M106 12110 1000 SH DEFINED Dorset 1000
FutureFuel Corporation Common 36116M106 7463672 616323 SH DEFINED Dorset 616323
General Electric Co. Commom 369604103 81756 3600 SH DEFINED Other 3600
Getty Realty Corporation Common 374297109 5672200 316000 SH DEFINED Dorset 316000
Gulfport Energy Corporation Common 402635304 2344500 75000 SH DEFINED Dorset 75000
Halliburton Company Common 406216101 12970650 385000 SH DEFINED Dorset 385000
Helmerich & Payne, Inc. Common 423452101 16901550 355000 SH DEFINED Dorset 355000
Hess Corporation Common 42809H107 21488000 400000 SH DEFINED Dorset 400000
Hyde Park Acquisition Corp. II Common 448640102 1458550 145855 SH DEFINED Dorset 145855
JP Morgan Chase & Co. Common 46625H100 595056 14700 SH DEFINED Other 14700
JP Morgan Chase & Co. Common 46625H100 267168 6600 SH DEFINED Other 6600
Johnson & Johnson Common 478160104 358332 5200 SH DEFINED Other 5200
Johnson & Johnson Common 478160104 82692 1200 SH DEFINED Other 1200
Kraft Foods Inc. Common 50075N104 330800 8000 SH DEFINED Other 8000
Kraft Foods Inc. Common 50075N104 82700 2000 SH DEFINED Other 200
Lazard Ltd. Class A Common G54050102 29230 1000 SH DEFINED Dorset 1000
Ligand Pharmaceuticals Inc. Common 53220K504 26893893 1568157 SH DEFINED Dorset 1568157
Ligand Pharmaceuticals Inc. Common 53220K504 28572 1666 SH DEFINED Dorset 1666
Ligand Pharmaceuticals Inc. Common 53220K504 47043 2743 SH DEFINED Other 2743
Merck & Co. Inc. Common 58933Y105 10056185 223000 SH DEFINED Dorset 223000
Molson Coors Brewing Company Common 60871R209 10077685 223700 SH DEFINED Dorset 223700
Murphy Oil Corporation Common 626717102 15033200 280000 SH DEFINED Dorset 280000
National Oilwell Varco Inc. Common 637071101 24834100 310000 SH DEFINED Dorset 310000
Noble Corporation Common H5833N103 23614800 660000 SH DEFINED Dorset 660000
Noble Energy, Inc. Common 655044105 24104600 260000 SH DEFINED Dorset 260000
OBA Financial Services, Inc. Common 67424G101 378747 25000 SH DEFINED Dorset 25000
OBA Financial Services, Inc. Common 67424G101 75750 5000 SH DEFINED Other 5000
Oritani Financial Corp Common 68633D103 90300 6000 SH DEFINED Other 6000
Oritani Financial Corp Common 68633D103 30100 2000 SH DEFINED Other 2000
Pfizer Inc. Common 717081103 74550 3000 SH DEFINED Dorset 3000
Pfizer Inc. Common 717081103 32376469 1302876 SH DEFINED Dorset 1302876
Pfizer Inc. Common 717081103 1491000 60000 SH DEFINED Other 60000
Pfizer Inc. Common 717081103 437360 17600 SH DEFINED Other 17600
Pioneer Natural Resources Company Common 723787107 20880000 200000 SH DEFINED Dorset 200000
Plains Exploration & Production
Company Common 726505100 13226910 353000 SH DEFINED Dorset 353000
QLT Inc. Common 746927102 3473764 445926 SH DEFINED Dorset 445926
Rand Logistics, Inc. Common 752182105 6777 900 SH DEFINED Dorset 900
Rand Logistics, Inc. Common 752182105 19182667 2547499 SH DEFINED Dorset 2547499
Saga Communications Inc. Class A Common 786598300 20260 500 SH DEFINED Dorset 500
Schlumberger Limited Common 806857108 26400450 365000 SH DEFINED Dorset 365000
Sealed Air Corporation Common 81211K100 30920 2000 SH DEFINED Dorset 2000
Sequential Brand Group Inc. Common 817340102 28800 6400 SH DEFINED Dorset 6400
SM Energy Company Common 78454L100 16774100 310000 SH DEFINED Dorset 310000
Southwestern Energy Company Common 845467109 16172700 465000 SH DEFINED Dorset 465000
Standard Financial Corp. Common 853393106 337000 20000 SH DEFINED Dorset 20000
State Investors Bancorp, Inc. Common 857030100 400500 30000 SH DEFINED Dorset 30000
Summer Infant Inc. Common 865646103 45933 25100 SH DEFINED Dorset 25100
Target Corporation Common 87612E106 545842 8600 SH DEFINED Dorset 8600
Tempur-Pedic International Inc. Common 88023U101 3000956 100400 SH DEFINED Dorset 100400
The Stephan Co. Common 858603103 192141 89368 SH DEFINED Dorset 89368
Total SA Sponsored ADR Common 89151E109 120240 2400 SH DEFINED Other 2400
Total SA Sponsored ADR Common 89151E109 120240 2400 SH DEFINED Other 2400
Westway Group Inc. Common 96169B100 188003 30372 SH DEFINED Dorset 30372
Westway Group Inc. Common 96169B100 16548587 2673439 SH DEFINED Dorset 2673439
Wet Seal Inc. Class A Common 961840105 29925 9500 SH DEFINED Dorset 9500
Whiting Petroleum Corporation Common 966387102 16592476 350200 SH DEFINED Dorset 350200
WPX Energy, Inc Common 98212B103 8792700 530000 SH DEFINED Dorset 530000
Total 609,232,279 25,010,413 17,244,529 7,764,084
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