13F-HR 1 a2211873z13f-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: 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 ------------------------------- 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 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 -------------------- Form 13F Information Table Entry Total: 96 -------------------- Form 13F Information Table Value Total: $609,232 -------------------- (thousands) List of Other Included Managers: No. Form 13F File Number Name 28- Dorset Management Corporation ("Dorset") ------ ----------------- ---------------------------------------- Page 2
------------------------------------------------------------------------------------------------------------------------------------ COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------------------------------------------------------------------------------------------------------ NAME OF ISSUER TITLE OF CUSIP VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY CLASS ($) 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 ----- ----------- ---------- ---------- ---------