Investment Manager

0001104659-13-063226.txt : 20130813 0001104659-13-063226.hdr.sgml : 20130813 20130813151651 ACCESSION NUMBER: 0001104659-13-063226 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130630 FILED AS OF DATE: 20130813 DATE AS OF CHANGE: 20130813 EFFECTIVENESS DATE: 20130813 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: 131032867 MAIL ADDRESS: STREET 1: 485 UNDERHILL BLVD STREET 2: STE 205 CITY: SYOSSET STATE: NY ZIP: 11791-3419 13F-HR 1 primary_doc.xml 13F-HR LIVE 0000808722 XXXXXXXX 06-30-2013 06-30-2013 false Knott David M

485 Underhill Blvd STE 205 Syosset NY 11791-3419

13F HOLDINGS REPORT 028-03121 N David M. Knott Investment Manager 516-364-0303 /s/ David M. Knott Syosset NY 08-13-2013 1 96 480555 false 1 0001203370 028-10281 DORSET MANAGEMENT CORP INFORMATION TABLE 2 a13-18572_1informationtable.xml INFORMATION TABLE ACADIA Pharmaceuticals Inc. Common 004225108 907500 50000 SH DFND 1 50000 0 0 AllianceBernstein Holdings LP Unit Ltd Common 01881G106 10410 500 SH OTR 0 500 0 Ambac Financial Group, Inc. Common 023139884 605902 25426 SH DFND 1 25426 0 0 Anadarko Petroleum Corporation Common 032511107 10741250 125000 SH DFND 1 125000 0 0 Anadarko Petroleum Corporation Common 032511107 19785382 230250 SH DFND 1 0 230250 0 Anadarko Petroleum Corporation Common 032511107 395278 4600 SH OTR 4600 0 0 Anadarko Petroleum Corporation Common 032511107 902265 10500 SH OTR 0 10500 0 Anchor Bancorp Common 032838104 83850 5000 SH OTR 5000 0 0 Anchor Bancorp Common 032838104 125775 7500 SH OTR 0 7500 0 Apple Inc. Common 037833100 29740 75 SH OTR 75 0 0 Apple Inc. Common 037833100 29740 75 SH OTR 0 75 0 Approach Resources, Inc. Common 03834A103 8722350 355000 SH DFND 1 0 355000 0 Baker Hughes Incorporated Common 057224107 6919500 150000 SH DFND 1 0 150000 0 Cabot Oil & Gas Corporation Common 127097103 14204000 200000 SH DFND 1 0 200000 0 Cameron International Corporation Common 13342B105 7339200 120000 SH DFND 1 0 120000 0 Canadian Natural Resources Ltd. Common 136385101 10741152 381000 SH DFND 1 0 381000 0 Canadian Natural Resources Ltd. Common 136385101 275535 9750 SH OTR 9750 0 0 Canadian Natural Resources Ltd. Common 136385101 599112 21200 SH OTR 0 21200 0 Capitol Federal Financial, Inc. Common 14057J101 24290 2000 SH DFND 1 0 2000 0 Capitol Federal Financial, Inc. Common 14057J101 8933862 735600 SH DFND 1 735600 0 0 Capitol Federal Financial, Inc. Common 14057J101 24290 2000 SH OTR 2000 0 0 Capitol Federal Financial, Inc. Common 14057J101 72870 6000 SH OTR 0 6000 0 China Ceramics Co. Ltd. Common G2113X100 485175 233257 SH DFND 1 233257 0 0 Cimarex Energy Co. Common 171798101 11048300 170000 SH DFND 1 0 170000 0 Coca-Cola Company Common 191216100 336906 8400 SH OTR 0 8400 0 Concho Resources, Inc Common 20605P101 15906800 190000 SH DFND 1 0 190000 0 Continental Resources, Inc. Common 212015101 5163600 60000 SH DFND 1 0 60000 0 DepoMed, Inc. Common 249908104 170286 30300 SH DFND 1 30300 0 0 Devon Energy Corp. Common 25179M103 3631600 70000 SH DFND 1 0 70000 0 Du Pont E I De Nemours & Co Common 263534109 52500 1000 SH OTR 1000 0 0 Du Pont E I De Nemours & Co Common 263534109 189000 3600 SH OTR 0 3600 0 Eagle Materials Common 26969P108 15110 228 SH OTR 228 0 0 EnCana Corp. Common 292505104 4228750 250000 SH DFND 1 0 250000 0 Essex Rental Corporation Common 297187106 4997082 1156732 SH DFND 1 1156732 0 0 FMC Technologies, Inc. Common 30249U101 14476800 260000 SH DFND 1 0 260000 0 FutureFuel Corporation Common 36116M106 14170 1000 SH DFND 1 0 1000 0 FutureFuel Corporation Common 36116M106 8051210 568187 SH DFND 1 568187 0 0 General Electric Co. Common 369604103 83484 3600 SH OTR 0 3600 0 Getty Realty Corporation Common 374297109 6525400 316000 SH DFND 1 316000 0 0 Halliburton Company Common 406216101 18774000 450000 SH DFND 1 0 450000 0 Hancock Fabrics Inc. Common 409900107 38800 40000 SH DFND 1 40000 0 0 Helmerich & Payne, Inc. Common 423452101 12177750 195000 SH DFND 1 0 195000 0 Hess Corporation Common 42809H107 13298000 200000 SH DFND 1 0 200000 0 Hyde Park Acquisition Corp. II Common 448640102 1458550 145855 SH DFND 1 145855 0 0 Johnson & Johnson Common 478160104 103032 1200 SH OTR 1200 0 0 Johnson & Johnson Common 478160104 446472 5200 SH OTR 0 5200 0 JP Morgan Chase & Co. Common 46625H100 348414 6600 SH OTR 6600 0 0 JP Morgan Chase & Co. Common 46625H100 776013 14700 SH OTR 0 14700 0 Kraft Foods Group Inc. Common 50076Q106 37209 666 SH OTR 666 0 0 Kraft Foods Group Inc. Common 50076Q106 171242 3065 SH OTR 0 3065 0 Kythera Biopharmaceutical Common 501570105 676250 25000 SH DFND 1 25000 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 62308 1666 SH DFND 1 0 1666 0 Ligand Pharmaceuticals Incorporated Common 53220K504 54161072 1448157 SH DFND 1 1448157 0 0 Ligand Pharmaceuticals Incorporated Common 53220K504 102588 2743 SH OTR 2743 0 0 M/I Homes, Inc. Common 55305B101 4362400 190000 SH DFND 1 190000 0 0 Marathon Oil Corporation Common 565849106 3112200 90000 SH DFND 1 0 90000 0 Merck & Co. Inc. Common 58933Y105 18580 400 SH OTR 0 400 0 Microsoft Corporation Common 594918104 3749860 108550 SH DFND 1 108550 0 0 Microsoft Corporation Common 594918104 13818 400 SH OTR 0 400 0 Molson Coors Brewing Company Common 60871R209 3139616 65600 SH DFND 1 65600 0 0 Mondelez Int'l Inc. Class A Common 609207105 57060 2000 SH OTR 2000 0 0 Mondelez Int'l Inc. Class A Common 609207105 228240 8000 SH OTR 0 8000 0 Murphy Oil Corporation Common 626717102 1826700 30000 SH DFND 1 0 30000 0 National Oilwell Varco Inc. Common 637071101 9646000 140000 SH DFND 1 0 140000 0 Noble Corporation Common H5833N103 12025600 320000 SH DFND 1 0 320000 0 Noble Energy, Inc. Common 655044105 19813200 330000 SH DFND 1 0 330000 0 OBA Financial Services, Inc. Common 67424G101 461000 25000 SH DFND 1 25000 0 0 OBA Financial Services, Inc. Common 67424G101 92200 5000 SH OTR 5000 0 0 Oritani Financial Corp Common 68633D103 31360 2000 SH OTR 2000 0 0 Oritani Financial Corp Common 68633D103 94080 6000 SH OTR 0 6000 0 Pfizer Inc. Common 717081103 84030 3000 SH DFND 1 0 3000 0 Pfizer Inc. Common 717081103 34112707 1217876 SH DFND 1 1217876 0 0 Pfizer Inc. Common 717081103 492976 17600 SH OTR 17600 0 0 Pfizer Inc. Common 717081103 1680600 60000 SH OTR 0 60000 0 Pioneer Natural Resources Company Common 723787107 18817500 130000 SH DFND 1 0 130000 0 Proctor & Gamble Company Common 742718109 41113 534 SH DFND 1 534 0 0 QLT Inc. Common 746927102 1957615 445926 SH DFND 1 445926 0 0 Rand Logistics, Inc. Common 752182105 4617 900 SH DFND 1 0 900 0 Rand Logistics, Inc. Common 752182105 8293963 1616757 SH DFND 1 1616757 0 0 Ryman Hospitality PPTYS Inc. Common 78377T107 15604 400 SH OTR 0 400 0 Sanofi Aventis Rights exp 12/31/20 Common 80105N113 174800 92000 SH DFND 1 92000 0 0 Schlumberger Limited Common 806857108 20781400 290000 SH DFND 1 0 290000 0 SM Energy Company Common 78454L100 17994000 300000 SH DFND 1 0 300000 0 Smith & Wesson Holding Corporation Common 831756101 1197600 120000 SH DFND 1 120000 0 0 Southwestern Energy Company Common 845467109 7671300 210000 SH DFND 1 0 210000 0 Standard Financial Corp. Common 853393106 381000 20000 SH DFND 1 20000 0 0 State Investors Bancorp, Inc. Common 857030100 445800 30000 SH DFND 1 30000 0 0 Starwood PPTY TR Inc. Common 85571B105 9900 400 SH OTR 0 400 0 The Howard Hughes Corporation Common 44267D107 3362700 30000 SH DFND 1 30000 0 0 The Stephan Co. Common 858603103 33413 21282 SH DFND 1 21282 0 0 TheStreet Inc. Common 88368Q103 217620 117000 SH DFND 1 117000 0 0 Total SA Common 89151E109 116880 2400 SH OTR 2400 0 0 Total SA Common 89151E109 116880 2400 SH OTR 0 2400 0 Toll Brothers, Inc. Common 889478103 3263000 100000 SH DFND 1 100000 0 0 Whiting Petroleum Corporation Common 966387102 18445218 400200 SH DFND 1 0 400200 0 WPX Energy, Inc Common 98212B103 12689800 670000 SH DFND 1 0 670000 0